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Steven Wine Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 9, 2016 indicate that Chicago-based Stifel Nicolaus & Company broker/adviser Steven Wine has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wine (CRD# 1503868).

Steven Wine has spent 30 years in the securities industry and has been registered with Stifel Nicolaus & Company in Chicago, Illinois since 2014. Previous registrations include UBS Financial Services in Chicago, Illinois; Mesirow Investment Services; and Terra Securities. He is a registered broker and investment adviser with nine US states and territories: California, Florida, Illinois, Indiana, Louisiana, Mississippi, New York, Ohio, and Virginia. Continue reading →

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Dennis HayesPublic records published by the Financial Industry Regulatory Authority (FINRA) on September 9, 2016 indicate that Florida-based Newbridge Securities broker/adviser Dennis Hayes is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hayes (CRD# 4403550).

Dennis Hayes has spent 13 years in the securities industry and has been registered with Newbridge Securities in Boca Raton, Florida since 2010. Previous registrations include NFP Securities in Charlotte, North Carolina; Capital Investment Group in Charlotte, North Carolina; MML Investors Services in Charlotte, North Carolina; Equity Services in Montpelier, Vermont; Veravest Investments in Worcester, Massachusetts; and AAL Capital Management in Minneapolis, Minnesota. He is a registered broker and investment adviser with nine US states and territories: Delaware, Florida, Georgia, Illinois, Indiana, Maryland, Nevada, North Carolina, and South Carolina. Continue reading →

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Robert YahneyPublic records published by the Financial Industry Regulatory Authority (FINRA) on September 9, 2016 indicate that Florida-based Merrill Lynch broker Robert Yahney is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Yahney (CRD# 4038119).

Robert Yahney has spent 16 years in the securities industry and has been registered with Merrill Lynch in Tampa, Florida since 1999. He has no previous registrations. He is a registered broker and investment adviser with 27 US states and territories. Continue reading →

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Jeffrey SmithPublic records published by the Financial Industry Regulatory Authority (FINRA) on September 9, 2016 indicate that former California-based Accelerated Capital Group broker Jeffrey Smith is the subject of a pending FINRA investigation. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Smith (CRD# 2400590).

Jeffrey Smith has spent 22 years in the securities industry and was most recently registered with Accelerated Capital Group in Irvine, California (2010-2016). Previous registrations include Longview Financial Group in Costa Mesa, California; Western Growers Financial Services in Irvine, California; Citigroup Global Markets in New York, New York; and Prudential Securities in New York, New York. He is currently not registered with any state or firm. Continue reading →

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Margaret Lech-LoubetPublic records published by the Financial Industry Regulatory Authority (FINRA) on September 9, 2016 indicate that California-based UBS Financial Services broker/adviser Margaret Lech-Loubet has received a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Lech-Loubet (CRD# 1564472).

Margaret Lech-Loubet has spent 24 years in the securities industry and has been registered with UBS Financial Services in Beverly Hills, California since 2011. Previous registrations include Merrill Lynch in Los Angeles, California; Banc of America in Los Angeles, California; Nationsbanc Montgomery Securities in New York, New York; BancAmerica Securities in San Francisco, California; BA Investment Services in Oakland, California; and GNA Securities in Richmond, Virginia. She is a registered broker and investment adviser with nine US states and territories: Alaska, California, Florida, Georgia, Hawaii, Nebraska, New York, Texas, and Washington. Continue reading →

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 Stephen MedinaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 9, 2016 indicate that Texas-based Merrill Lynch broker/adviser Stephen Medina has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Medina (CRD# 2614773).

Stephen Medina has spent 21 years in the securities industry and has been registered with Merrill Lynch in Corpus Christi, Texas since 1995. He has no previous registrations. He is a registered broker and investment adviser with 20 US states and territories: Alabama, Alaska, Arizona, California, Florida, Georgia, Iowa, Massachusetts, Minnesota, Nevada, New Jersey, New Mexico, New York, North Carolina, Pennsylvania, Tennessee, Texas, Virginia, Washington, and Wisconsin. Continue reading →

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F-Squared According to a press release published on August 25, 2016, the Securities and Exchange Commission (SEC) has “announced penalties against 13 investment advisory firms found to have violated securities laws by spreading the false claims made by an investment management firm about its flagship product.” The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints involving the following advisory firms:

AssetMark

BB&T Securities

Banyan Partners

Congress Wealth Management

Constellation Wealth Advisors

Executive Monetary Management

HT Partners

Hilliard Lyons

Ladenburg Thalmann Asset Management

Prospera Financial Services

Risk Paradigm Group

Schneider Downs Wealth Management Advisors

Shamrock Asset Management Continue reading →

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Brian ShepherdPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 8, 2016 indicate that New York-based Wells Fargo Advisors broker/adviser Brian Shepherd has been the subject of a denied customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Shepherd (CRD# 2234721).

Brian Shepherd has spent 22 years in the securities industry and has been registered with Wells Fargo Advisors in New York, New York since February 2016. Previous registrations include Credit Suisse Securities in New York, New York (2013-2016); Morgan Stanley in New York, New York (2009-2013); and Citigroup Global Markets in New York, New York (1994-2009). He is a registered broker with 21 US states and territories: Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Illinois, Maryland, Massachusetts, Michigan, New Jersey, New York, North Carolina, North Dakota, Ohio, Pennsylvania, South Dakota, Texas, Utah, and Virginia. Continue reading →

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Frederick Alan Voight According to a press release published on August 3, 2016, the Securities and Exchange Commission has charged Houston-area businessman Frederick Alan Voight with the operation of a “$114 million Ponzi scheme that defrauded investors, some of whom were told that their money would fund technology to prevent accidents caused by drowsy driving.” The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Voight.

The SEC alleges that Mr. Voight, of Richmond, Texas, defrauded “more than 300 investors in multiple offerings of promissory notes issued by two partnerships he owns, F.A. Voight & Associates LP and DayStar Funding LP.” His most recent offering, according to the SEC’s release, “promised investors returns as high as 42 percent a year from loans to small public companies, most of the funds went to pay earlier investors.” Roughly $22 million of his “ill-gotten gains” allegedly are still unaccounted for. Continue reading →

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James Mahan Public records published by the Financial Industry Regulatory Authority (FINRA) on September 7, 2016 indicate that former Texas-based Raymond James Financial Services broker James Mahan has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mahan (CRD# 5787176).

James Mahan has spent six years in the securities industry and was most recently registered with Raymond James Financial Services in New Braunfels, Texas (2015-2016). Previous registrations include JP Morgan Securities in New Braunfels, Texas; Merrill Lynch in San Antonio, Texas; and Chase Investment Services in New Braunfels, Texas. He is currently not registered with any state or firm. Continue reading →