Articles Posted in Suspended Brokers

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Li-Lin HsuPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 25, 2018, as well as a news report published on April 23, 2018 indicate that former California-based Ameriprise broker/adviser Li-Lin Hsu has been sanctioned by FINRA, barred from acting as a broker, and arrested in connection with an alleged embezzlement scheme. Fitapelli Kurta is investigating allegations of misconduct against Ms. Hsu (CRD# 4706509).

Li-Lin Hsu has spent nine years in the securities industry and was most recently registered with Ameriprise Financial Services in Los Angeles, California (2006-2015). She was previously registered with Ameriprise Financial Services in Minneapolis, Minnesota (2005). She has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on May 1, 2006; Series 65 (Uniform Investment Adviser Law Examination), which she obtained on April 14, 2006; and Series 7 (General Securities Representative Examination), which she obtained on November 18, 2005. She is currently not registered with any state, firm, or self-regulatory organization (SRO).

According to her BrokerCheck report and news reports, she has received three FINRA sanctions and one customer complaint, and she was recently arrested in connection to alleged embezzlement of customer funds.

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Daniel WilsonPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that Iowa-based Northwestern Mutual Investment Services broker Daniel Wilson has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wilson (CRD# 1033853).

Daniel Wilson has spent 35 years in the securities industry and has been registered with Northwestern Mutual Investment Services in Cedar Rapids, Iowa since 1092. He was previously registered with Robert W. Baird & Company in Milwaukee, Iowa (1988-1990; 1991); 1997-2002). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 30, 1998, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 13, 1982. He is a registered broker with six US states: Florida, Georgia, Iowa, Missouri, New York, and Pennsylvania.

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

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Dion PadillaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2017 indicate that former Texas-based Next Financial Group broker/adviser Dion Padilla has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Padilla (CRD# 4432230).

Dion Padilla has spent fourteen years in the securities industry and was most recently registered with Next Financial Group in San Antonio, Texas (2016-2017). Previous registrations include Securities America in La Vista, Nebraska; UBS Financial Services in Weehawken, New Jersey; Valic Financial Advisors in Houston, Texas; and Merrill Lynch in New York, New York. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two customer complaints, one pending customer complaint, and one FINRA sanction.

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Dennis CoralPublic records published by the Financial Industry Regulatory Authority (FINRA) on March 17, 2017 indicate that former Florida-based Kovack Securities broker/adviser Dennis Coral has been sanctioned by FINRA and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Coral (CRD# 4561718).

Dennis Coral has spent fourteen years in the securities industry and was most recently registered with Kovack Securities in Fort Lauderdale, Florida (2017). Previous registrations include Suntrust Investment Services in Fort Lauderdale, Florida; Morgan Stanley in Aventura, Florida; Morgan Stanley & Company in Aventura, Florida; Morgan Stanley DW in Aventura, Florida; Ladenburg Thalmann & Company in New York, New York; and Ladenburg Capital Management in Bethpage, New York. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 31 (Futures Managed Funds Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Dennis Coral has been sanctioned and suspended by FINRA.

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Leigh GarberPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 24, 2017 indicate New York-based National Securities and Adirondack Trading Group broker Leigh Garber has been sanctioned by FINRA. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Garber (CRD# 2768572).

Leigh Garber has spent eighteen years in the securities industry and has been registered with National Securities in New Woodstock, New York since 2015. Previous registrations include Adirondack Trading Group in New Woodstock, New York; Clayton Lowell & Conger in New Woodstock, New York; Newbridge Securities Corporation in New Woodstock, New York; and IBN Financial Services in Liverpool, New York. She is a registered broker in New York.

According to her BrokerCheck report, Leigh Garber has received two FINRA sanctions and one NASD sanction.

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James SpenoPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 26, 2017 indicate that former New York-based Morgan Stanley broker/adviser James Speno has been suspended by FINRA and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Speno (CRD# 431912).

James Speno has spent 45 years in the securities industry and was most recently registered with Morgan Stanley in New York, New York (2013-2015). Previous registrations include Oppenheimer & Company in New York, New York; RBC Capital Markets in New York, New York; Salomon Smith Barney in New York, New York; Lehman Brothers in New York, New York; Merrill Lynch; Sussex Securities; and Lehman Brothers Kuhn Loeb. He is currently not registered with any state or firm.

According to his BrokerCheck report, James Speno has been sanctioned by FINRA and was terminated from Morgan Stanley in connection to alleged rule violations.

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Matthew GiannonePublic records published by the Financial Industry Regulatory Authority (FINRA) on January 23, 2017 indicate that New York-based Oppenheimer & Company broker/adviser Matthew Giannone has been sanctioned by FINRA and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Giannone (CRD# 2800349).

Matthew Giannone has spent nineteen years in the securities industry and has been registered with Oppenheimer & Company in New York, New York since 2013. Previous registrations include Merrill Lynch in New York (2005-2013) and Citigroup Global Markets in New York (1997-2005). He is currently not registered with any state or firm.

According to his BrokerCheck report, Matthew Giannone has received two customer complaints and seven pending customer complaints.

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Ronald Paul IIIPublic records published by the Financial Industry Regulatory Authority (FINRA) on January 5, 2017 indicate that Pennsylvania-based Cambridge Investment Research broker/adviser Ronald Paull III has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Paull (CRD# 2968273).

Ronald Paull has spent nineteen years in the securities industry and has been registered with Cambridge Investment Research in Olyphant, Pennsylvania since September 2015. Previous registrations include LPL Financial in Olyphant, Pennsylvania (2012-2015); National Planning Corporation in Olyphant, Pennsylvania (2008-2012); AIG Financial Advisors in Olyphant, Pennsylvania (2005-2008); SunAmerica Securities in Phoenix, Arizona (2001-2005); and Franklin Financial Services Corporation in Houston, Texas (1997-2001). He is a registered broker and investment adviser with ten US states and territories.

According to his BrokerCheck report, Ronald Paull has received one FINRA sanction and one customer complaint, and was discharged from LPL Financial.

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Robert EstevezPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 30, 2016 indicate that Connecticut-based Investors Capital broker Robert Estevez 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. Estevez (CRD# 3161419).

Robert Estevez has spent seventeen years in the securities industry and has been registered with Investors Capital in Greenwich, Connecticut since 2008. He was previously registered with Eastbrook Capital Group, which has since been expelled by FINRA, in New York, New York (2001-2008), and Prime Charter in New York, New York (1998-2001). He is a registered broker with 41 US states and territories.

According to his BrokerCheck report, Robert Estevez has received one regulatory sanction, one pending customer complaint, and four customer complaints that were denied or withdrawn.

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Alexander LessardPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 29, 2016 indicate that California-based Independent Financial Group broker/adviser Alexander Lessard has been the subject of a customer complaint and a FINRA sanctioned. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lessard (CRD# 2978066).

Alexander Lessard has spent fifteen years in the securities industry and has been registered with Independent Financial Group in Pasadena, California since 2013. Previous registrations include AFA Financial in Northridge, California; UBS Financial Services in La Jolla, California; MML Investors Services in Northridge, California; and Pruco Securities in Newark, New Jersey. He is a registered broker and investment adviser in California and Connecticut.

According to his BrokerCheck report, Alexander Lessard has received one customer complaint and one regulatory sanction.