Articles Posted in Oil and Gas Complaints

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James Pinzker Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 15, 2016 indicate that Illinois-based National Securities broker/adviser James Pinzker has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Pinzker (CRD# 2525439).

James Pinzker has spent 21 years in the securities industry and has been registered with National Securities in Chicago, Illinois since December 2015. Previous registrations include Oppenheimer & Company in Chicago, Illinois; UBS Financial Services in Chicago, Illinois; Citigroup Global Markets in Chicago, Illinois; and Merrill Lynch in New York, New York. He is a registered broker and investment adviser with fifteen US states and territories;

According to his BrokerCheck report, James Pinzker has been the subject of one customer complaint.

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Breitling EnergyPublicly available records provided by the Securities and Exchange Commission (SEC) on June 24, 2016 indicate that the SEC has filed charges against four companies and eight individuals in connection to a purported “$80 million oil and gas fraud” allegedly conducted by the CEO of Breitling Energy Corporation, Chris Faulkner. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Breitling Energy or Mr. Faulkner.

According to the SEC’s complaint, Chris Faulkner has been charged with “disseminated false and misleading offering materials, misappropriating millions of dollars of investor funds and attempting to manipulate BECC’s stock.” Breitling Energy has also been charged, and its securities are suspended from trading. Continue reading →

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Behrooz SoltaniFormer California-based Colorado Financial Service Corporation broker Behrooz Soltani is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Soltani, also known as Bruce Soltani and Behrooz Soltani Juneghani (CRD# 4650376).

Behrooz Soltani has spent nine years in the securities industry and was most recently registered with Colorado Financial Services Corporation in Beverly Hills, California (2012-2013). Previous registrations include Independent Financial Group in Beverly Hills, California (2011-2012); Girard Securities in Los Angeles, California (2008-2011); Midpoint Financial Services in San Diego, California (2007-2008); USA Financial Securities Corporation in San Diego, California (2006-2007); and World Group Securities in Carlsbad, California (2003-2006). He is currently not registered with any state or firm. Continue reading →

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ATP Oil & Gas

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments in ATP Oil & Gas (ATPAQ).

ATP Oil & Gas Corporation is a developer and producer of oil and gas in the Gulf of Mexico and the North Sea. Based in Houston, ATP Oil & Gas trades over the counter as ATPAQ; it previously traded on the NASDAQ exchange as ATPG. In 2012, ATP Oil & Gas filed for Chapter 11 bankruptcy, which was later converted to a Chapter 7 proceeding. In 2014, ATPAQ’s Chapter 7 trustee sued the company’s executives, alleging that “the company’s senior management failed to properly plan, budget or take the appropriate proactive action to lessen the company’s damages caused by the Deepwater Horizon oil spill.” The trustee in question, Rodney Tow, asserted that ATPAQ “spent money on long-term projects the company could no longer afford given the impact of the oil spill on ATP’s business. While ATP’s actual and projected cash flow was significantly impacted by the oil spill and foreseeable government response, ATP’s obligations and expenses were not similarly constrained.” Continue reading →

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Dennis Van PatterPublic records provided by the Financial Industry Regulatory Authority (FINRA) on March 2, 2016 indicate that Texas-based VSR broker/adviser Dennis Van Patter is the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Van Patter (CRD# 1364583).

Dennis Van Patter has spent 30 years in the securities industry and has been registered with VSR Financial Services in Plano, Texas since 1997. Previous registrations include Dominion Capital Corporation in Dallas, Texas (1990-1997); Anchor National Financial Services (1987-1989); and NWNL Management Corporation (1985-1986). He is a registered broker and investment adviser in Texas. Continue reading →

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 Jesse GriffinThe securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Florida-based VSR Financial Services broker/adviser Jesse Griffin (CRD# 1165095).

Jesse Griffin has spent 32 years in the securities industry and has been registered with VSR Financial Services in Palm City, Florida since 2006. Previous registrations include ProEquities in Boynton Beach, Florida (2000-2006); Royal Alliance Associates in New York, New York (1989-2000); Integrated Resources Equity Corporation (1987-1989); American Express Financial Advisors (1983-1987); IDS Securities Corporation (1986); and IDS Financial Services (1983-1986). He is a registered broker and investment adviser in seventeen US states and territories. Continue reading →

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Robert SetserAccording to records provided by the Financial Industry Regulatory Authority (FINRA), former California-based Newport Coast Securities broker Robert Setser 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 speaking to investors who have complaints regarding Mr. Setser (CRD# 1005169).

Robert Setser has spent 28 years in the securities industry and was most recently registered with Newport Coast Securities in Redwood City, California (2010-2012). Previous registrations include JP Turner & Company in San Bruno, California (2009-2010); Direct Capital Securities in Foster City, California (2008-2009); Charter Pacific Securities in Burlingame, California (2008); Berthel Fisher & Company in Burlingame, California (2004-2008); and five other broker-dealer firms. He is currently not registered with any state or firm. Continue reading →

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Paul LarsenAccording to the Financial Industry Regulatory Authority (FINRA), former Florida-based VSR broker Paul Larsen has been permanently barred from acting as a broker. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Larsen (CRD# 1066833).

Paul Larsen has spent 24 years in the securities industry and was most recently registered with VSR Financial in Naples, Florida. Previous registrations include ProEquities in Birmingham, Alabama; Roan-Meyers Associates in New York, New York; FAS Wealth Management Services in Sarasota, Florida; Dean Witter Reynolds in Purchase, New York; RJ Steichen & Company; AG Edwards & Sons; and IRI Securities Corporation. He is currently not registered with any state or firm. Continue reading →

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Noel VincentThe securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Texas-based Madison Avenue Securities broker/adviser Noel Vincent (CRD# 1370987).

Noel Vincent has spent twenty-five years in the securities industry and has been registered with Madison Avenue Securities in Houston, Texas since 2009. Previous registrations include Investors Capital in Houston, Texas (2001-2009); Planmember Securities in Carpinteria, California (1999-2001); AAG Securities in Cincinnati, Ohio (1997-1998); and Aragon Financial Services in Irvine, California (1989-1996). Continue reading →

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Mark SeehermanThe securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding New York-based VSR Financial Services broker Mark Seeherman (CRD# 1131557).

Mark Seeherman has spent thirty-one years in the securities industry and has been registered with VSR Financial Services in New York, New York since 2003. Previous registrations include Alliance Affiliated Equities Corporation in Overland Park, Kansas (2001-2003); Princeton Equity Securities in New York, New York (1992-2001); Seidel & Fasano, which was expelled by FINRA in 2001, in New York, New York (1991-1992); Stratford Securities (1990-1992); Windsor Capital Markets (1984-1992); HMS Securities in Montvale, New Jersey (1989-1990); and First Atlantic Investment Corporation (1984-1989). He is a registered broker in 31 US states and territories. Continue reading →