Our News Library | Levin Papantonio Rafferty - Personal Injury Lawyers

Jenna Kang, Former Broker with AXA Advisors, Barred by FINRA

Broker and investment adviser Jenna Kang, formerly with AXA Advisors, LLC has been barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm. FINRA’s BrokerCheck sheds light on the customer disputes that cloud Kang’s brief career as a broker and investment adviser, ranging from 2016 to 2020. The report details one regulatory event, nine customer disputes, and one termination.

read more

Customers Dispute Surrounding Diamond Investments Sold by Broker Murray Todd Peterson

Murray Todd Peterson is a previously registered broker and investment adviser whose 35-year career included 11 customer disputes, one termination, and 5 judgments/liens, according to Financial Industry Regulatory Authority’s (FINRA) BrokerCheck

Over the course of his career, Peterson worked with Ameriprise; SCF Securities, Inc.; WFG Investments, Inc.; Commonwealth Financial Network; and Financial Network Investment Corporation.

read more

Dexter Leroy Thomas’s Broker Career Ended With Customer Disputes Alleging $500,000 in Damages

Financial Industry Regulatory Authority’s (FINRA) BrokerCheck reports that previously registered broker and investment adviser Dexter Leroy Thomas was discharged by his employer, United Planners Financial Services of America. The termination reportedly followed Thomas’ informing United Planners of his involvement with several firm-unapproved private loans and investments with people who later became clients of the firm.

read more

NorthStar Real Estate Investment Trust (REIT) Investor Lawsuit

Many investors have suffered substantial losses after investing in NorthStar Real Estate Income Trust (REIT) at the unsuitable recommendation of broker-dealers.

The securities lawyers at Levin, Papantonio, Thomas, Mitchell, Rafferty & Proctor, P.A. are investigating claims from investors whose broker-dealers did not inform them of the risks of such an investment and/or neglected the factors of their clients’ risk tolerance, age, liquidity needs, investment experience, or age.

read more

Potential Customer Claims Involving Charles Bonilla of the Miami/Fort Lauderdale Area

Levin Papantonio Rafferty is investigating potential customer claims involving the broker Charles Bonilla, formerly employed by David Lerner Associates, Inc.

According to the Financial Industry Regulatory Authority (FINRA)’s Letter of Acceptance, Waiver, and Consent No. 2020067626001, Charles Bonilla has been suspended for five months, fined $5,000, and has been ordered to disgorge $22,417 in commissions. Bonilla’s suspension is a result of recommending energy-sector securities to his customers without having a reason to believe the investments were suitable.

read more

Former Coastal Broker Luke Michael Johnson’s List of Customer Disputes Runs Long

Now a registered investment advisor with Prime Capital Investment Advisors, LLC,  Luke Michael Johnson was once registered as a broker with several securities firms, according to records gathered by the Financial Industry Regulatory Authority (FINRA)’s BrokerCheck.

In this capacity, 20 customer disputes (14 pending and six final) have been filed against Johnson, BrokerCheck reports. He also experienced three terminations.  

read more

Mutual of Omaha’s Edward Earl Matthes Barred From Working as a Broker

Financial Industry Regulatory Authority (FINRA) has barred Edward (Ed) Earl Matthes from working as a broker or even associating in any capacity with a broker-dealer firm. FINRA’s BrokerCheck reports on the events that led to Matthes’ disbarment, including a 20-year history as a broker, generating multiple disclosed events—five regulatory, one criminal, one investigation, one civil, 15 customer disputes, and two terminations.

read more

The First Black Student to Attend UF Faced Discrimination, But Found a Friend in Fred Levin

Even before he became a larger-than-life attorney and celebrity, Fredric G. Levin did not shy away from a challenge; and that is what he faced in 1958 when he befriended, George Starke, the first Black student to attend the University of Florida. Both had enrolled in their first semester of law school, but UF had only recently become racially integrated. No one knew what to expect and initially Starke was escorted to school by two U.S. marshals. 

“My classmates didn’t really speak to me at first,” Starke said. “My good friends were ostracized for associating with me.”

read more

3M Military Combat Arms Earplug Trial Set for March

More than 220,000 military members have been patiently waiting for 3M to be held accountable for service members’ hearing losses suffered because of the company’s defective earplugs. That wait now draws to a close. A trial date has been set for March 2021, with Judge Casey Rodgers, Chief U.S. District Judge for the Northern District of Florida, hearing the lawsuit in Pensacola, Florida.

read more

Lawyers Push for Statewide Skanska Blacklist

Skanska has filed a limitation of liability complaint, effectively stalling more than 70 lawsuits against the company for damage it caused to Pensacola Bay Bridge—and to the Pensacola and Gulf Breeze areas, as a result.

read more

DOJ Files Lawsuit Against Walmart Over Opioid Crisis

The Department of Justice (DOJ) has filed a nationwide lawsuit against Walmart Inc. According to a civil complaint the DOJ filed, Walmart pharmacies across the country unlawfully dispensed controlled substances. At the height of the country’s prescription opioid crisis, Walmart unlawfully distributed such drug to their pharmacies, according to the complaint.

read more

Looking Beyond Pelvic Mesh Injuries

For years, media outlets, medical practitioners, and legal professionals have publicized, studied, treated, and represented women who endured health issues after receiving pelvic/transvaginal mesh implants.

read more