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News & Insights

Resources and blog for some of our previous cases

Joseph Sorok: Puerto Rico Bond Complaint Against TD Ameritrade Rep

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 23, 2019 indicate that New York-based TD Ameritrade broker/adviser Joseph Sorok has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sorok.

Kristian Gaudet: Ameritas Rep Discharged Over Alleged Client Fund Use

Kristian Gaudet: Ameritas Rep Discharged Over Alleged Client Fund Use

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 23, 2019 indicate that former Louisiana-based Ameritas Investment Corporation broker Kristian Gaudet was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm.