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Articles Posted in Misappropriation

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FINRA Permanently Bars Kimberly Pine Kitts After Allegations

Kimberly Pine Kitts (CRD #2768200) is a previously registered broker and investment advisor, last employed with Royal Alliance Associates Inc., (CRD #23131) from 2004 through 2017. In the industry since 1993, she was previously employed with ING Financial Partners, Inc. (CRD #2882) in Des Moines, IA, and Forum Fund Services,…

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Silver Law Group is Investigating Marcus Parker of Wells Fargo Clearing Services, LLC

Marcus Parker was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Parker consented to the sanction and to the entry of findings that he refused to respond to FINRA’s requests for documents and information in connection with its investigation of Parker’s termination…

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Silver Law Group is Investigating Sonya D. Camarco of LPL Financial LLC

Silver Law Group is currently investigating Colorado Springs, CO based broker Sonya D. Camarco regarding complaints pertaining to failure to provide due diligence to investor clients, misappropriation of client funds, and misrepresentation. Based on FINRA’s BrokerCheck report on Camarco, a complaint was filed on August 23, 2017 alleging that Camarco…

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Silver Law Group is Investigating Cornelius Peterson of Morgan Stanley Smith Barney

Silver Law Group is currently investigating Boston, MA and New York, NY based broker Cornelius Peterson regarding complaints pertaining to failure to provide due diligence to investor clients, misappropriation of client funds and misrepresentation. Based on FINRA’s BrokerCheck report on Peterson, a complaint was filed on September 1, 2017 alleging…

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Silver Law Group is Investigating James S. Polese of Morgan Stanley Smith Barney

Silver Law Group is currently investigating Boston, MA and New York, NY based broker James S. Polese regarding complaints pertaining to failure to provide due diligence to investor clients, misrepresentation regarding client fees and security of investments, and misappropriation of client funds. Based on FINRA’s BrokerCheck report on Polese, a…

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Silver Law Group is Investigating Kimberly Kitts of Royal Alliance Associates

Kimberly Kitts (CRD# 2768200) has been with Royal Alliance Associates in Palmer, Massachusetts since 2004. In a regulatory action from 2017, FINRA found that Kitts failed to respond to a FINRA request for information. Kitts also failed to request termination of her earlier suspension within the allotted time. As a…

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Utah-based Ameriprise Broker Kim Isaacson Under Investigation For Fraudulent Misrepresentation & Unauthorized Trading

Kim D. Isaacson CRD#855618 Silver Law Group is investigating former Midvale, Utah based Ameriprise Financial Services, Inc broker Kim D. Isaacson after FINRA received a complaint of fraudulent misrepresentation, omission of material facts and unauthorized trading According to FINRA’s BrokerCheck report on Clarke, a complaint alleging misrepresentation and omission of…

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Roger Kroeger, Invest Financial Corporation: Misappropriated customers funds

The Silver Law Group and the Law Firm of David Chase have announced their joint investigation into allegations that Fort Lauderdale, Florida based Invest Financial Corporation broker Roger Kroeger made improper loans from a customer account to a family members and/or misappropriated customers funds.  Invest Financial Corporation terminated Kroeger on…

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Barry F. Connell, Formerly of Morgan Stanley, Under Investigation Over Allegations that he Stole From Clients

Silver Law Group is investigating former New Jersey-based Morgan Stanley (CRD# 149777) broker Barry F. Connell (CRD# 3070984) over SEC allegations that he stole money from his customers. According to the SEC complaint, Connell misappropriated approximately $5 million from Morgan Stanley clients from December 2015 through November 2016.  Allegedly, Connell…

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