Articles Tagged with Fort Lauderdale

According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Douglas Wayne Studer was accused of violating his firm’s policy. He was registered with Kovack Securities in Fort Lauderdale, Florida when he was accused of naming himself in his 91-year-old customer’s estate documents in order to inherit the customer’s waterfront condominium. This is against securities rules and regulations. Studer was also accused of not appearing for a FINRA on-the-record testimony and was barred from the industry because of it.

Studer was registered with Prime Capital Services in Port Richey, Florida from August 2001 until August 2006, H&R Block Financial Advisors in New Port Richey, Florida from July 2006 until September 2007, VSR Financial Services in Apollo Beach, Florida from September 2007 until March 2009, Prime Capital Services in Tampa, Florida from March 2009 until November 2013, National Securities Corp in Aventura, Florida from November 2013 until November 2015 and Kovack Securities in Fort Lauderdale from October 2015 until July 2016. He has two customer disputes against him. He is not licensed and has been barred from the industry, according to his online FINRA BrokerCheck report.

If you suffered losses with Douglas Studer, you may be able to recover them by bringing a claim against his former firm, Kovack Securities, in the FINRA arbitration process. We take cases on a contingency fee basis only, which means we do not make money unless your recover your losses. The call to us is free, so please call our Chicago-based law offices today to speak to a securities attorney. There is no obligation. 312-332-4200.

Stoltmann Law Office is investigating Brian Michael Berger of Fort Lauderdale, Florida. There were allegations made against him for which he was subsequently barred from the securities industry by the Financial Industry Regulatory Authority (FINRA). Berger allegedly misappropriated or stole customer funds from elderly customers. Berger was registered with Citigroup Global Markets in Boca Raton, Florida from November 1999 until June 2009, Morgan Stanley Smith Barney in Boca Raton from June 2009 until August 2010, Wells Fargo Advisors in Boca Raton from July 2010 until July 2014, MetLife Securities in Fort Lauderdale, Florida from July 2014 until April 2015 and Newbridge Securities in Fort Lauderdale from April 2015 until June 2015. He has three customer disputes against him. He is not licensed within the industry and FINRA permanently barred him from acting as a broker or associating with firms that sell securities to the public. If you invested money with Brian Michael Berger, please call our securities law firm at 312-332-4200 to speak with an attorney about your options.

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