Articles Posted in Oil and Gas Complaints

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Thomas MurrayPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 5, 2018 indicate that New York-based FSC Securities Corporation broker Thomas Murray has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Murray (CRD# 721725).

Thomas Murray has spent 37 years in the securities industry and has been registered with FSC Securities Corporation in Hartsdale, New York since 2009. Previous registrations include Advantage Capital Corporation in Hartsdale, New York (2007-2009; 1983-2007) and First Investors Corporation (1981-1983). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 23, 2007; Series 62 (Corporate Securities Limited Representative Examination), which he obtained on February 27, 2001; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 6, 1981. He is a registered broker with seven US states and territories: Connecticut, Florida, Maryland, New Jersey, New York, North Carolina, and Virginia. He is registered with one self-regulatory organization (SRO): FINRA.

According to his BrokerCheck report, he has received one pending customer complaint.

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Andrew BloomPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 30, 2018 indicate that Illinois-based Wunderlich Securities broker/adviser Andrew Bloom has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bloom (CRD# 4387784).

Andrew Bloom has spent 16 years in the securities industry and has been registered with Wunderlich Securities in Chicago, Illinois since 2012. Previous registrations include BC Ziegler & Company in Chicago, Illinois (2009-2012); Morgan Stanley Smith Barney in Deerfield, Illinois (2009); Citigroup Global Markets in Deerfield, Illinois (2003-2009); and Morgan Stanley DW in Purchase, New York (2001-2003). He has passed three securities industry examinations: Series 65 (Uniform Combined State Law Examination), which he obtained on June 29, 2001; Series 3 (National Commodity Futures Examination), which he obtained on July 10, 2001; and Series 7 (General Securities Representative Examination), which he obtained on June 14, 2001. He is a registered broker and investment adviser with 26 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Georgia, Illinois, Indiana, Iowa, Kansas, Massachusetts, Michigan, Minnesota, Missouri, Nevada, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, Texas, Virginia, Washington, and Wisconsin.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.

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Tom ParksPublic records published by the Financial Industry Regulatory Authority (FINRA) on May 7, 2018 indicate that former Texas-based Ameriprise Financial Services broker/adviser Tom Parks has been involved in resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Parks (CRD# 1558909).

Tom Parks has spent 29 years in the securities industry and was most recently registered with Ameriprise Financial Services in Stephenville, Texas (1993-2016). Previous registrations include IDS Life Insurance Company in Minneapolis, Minnesota (1999-2006); American Express Services Corporation in Minneapolis, Minnesota (1994); InterSecurities in St. Petersburg, Florida (1992-1993); Signal Securities in Fort Worth, Texas (1990-1992); and IFP in Dallas, Texas (1987-1990). he has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 3, 1987; Series 7 (General Securities Representative Examination), which he obtained on February 21, 1987; Series 3 (National Commodity Futures Examination), which he obtained on August 25, 1986; and Series 24 (General Securities Principal Examination), which he obtained on January 15, 2001. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received 19 customer complaints and two pending customer 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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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 →