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Stock broker Jerry P. Michna (CRD#: 2711435) of Cetera Advisors in Louisville, Ohio, and formerly of Questar Capital, is involved in a legal dispute with a brokerage customer who alleges that Michna recommended unsuitable investments in energy-sector stocks in 2013 and 2014. The customer has demanded $250,000 in damages. Michna was involved…
Stock broker Michael J Haffling (CRD#: 5133150) of Orlando Park, Illinois is involved in a legal dispute with a brokerage customer who alleges that Haffling recommended unsuitable investments. The customer is seeking $60,000 in damages from Haffling and his employer, Kalos Capital, Inc. Haffling has been working in the securities…
Investor attorneys at Mika Meyers, PLC are interested in talking to former customers of stock broker James Henry Dresselaers (CRD#: 1106109) of Bethesda, Maryland, who was recently sanctioned by securities regulators for recommending unsuitable investments in nontraditional exchange-traded funds (ETFs) and for over-concentrating accounts in metal and mining-sector stocks. According…
Former stock broker Michael Giokas (CRD#: 1398674) of Williamsville, New York has pled guilty to felony wire fraud charges after admitting that he cheated more than 20 of his clients out of an aggregate amount of approximately $1.4 million. Giokas has also been permanently barred from associating with any securities…