SEC Complaint

Daniel Kaplan (CRD #: 6609015), a broker formerly registered with Merrill Lynch, Pierce, Fenner & Smith, is involved in a pending SEC complaint, according to […]

Adam Kaplan (CRD #: 6609019), a broker formerly registered with Merrill Lynch, Pierce, Fenner & Smith, is involved in a pending SEC complaint, according to […]

Richard Michalski (CRD #: 4588706), a broker registered with Laidlaw & Company (UK), was recently investigated by the SEC, according to his BrokerCheck record, accessed […]

Terrence Reagan (CRD #: 2672751), a broker formerly registered with Network 1 Financial Securities, is involved in a pending lawsuit, according to his BrokerCheck record, […]

Robert Cuculich (CRD #: 706353), a broker registered with Pinnacle Investments, is involved in an SEC civil complaint, according to his BrokerCheck record, accessed on […]

Gabriel Edelman (CRD #: 5778763), a broker formerly registered with Spartan Capital Securities, is involved in a pending SEC complaint, according to his BrokerCheck record, […]

Joseph Walsh (CRD #: 1519958), a broker registered with Alpine Securities Corporation, is named in a pending SEC civil complaint, according to his BrokerCheck record, […]

Daniel Ives (CRD #: 4205842), a broker registered with Wedbush Securities, was the subject of a recent SEC action, according to his BrokerCheck record, accessed […]

Anthony Prieto (CRD #: 2783560), a previously registered broker, is the subject of an SEC civil action, according to his BrokerCheck record, accessed on June […]

Kurta Law is representing multiple investors who invested in First Capital REIT. Unfortunately, these clients lost their entire investment after First Capital REIT disappeared from […]