Articles Posted in Suspended Brokers

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.

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.

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.

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.

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

Daniel MyersPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 7, 2016 indicate that former Connecticut-based Wells Fargo Advisors broker Daniel Myers 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. Myers (CRD# 5202769).

Daniel Myers has spent nine years in the securities industry and was most recently registered with Wells Fargo Advisors in New Haven, Connecticut (2014-2016). Previous registrations include Morgan Stanley in New Haven, Connecticut; Morgan Stanley & Company in New Haven, Connecticut; and UBS Financial Services in New Haven, Connecticut. He is currently not registered with any state or firm. Continue Reading

James ScullinPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 2, 2016 indicate that former Florida-based UBS Financial Services broker James Scullin has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Scullin (CRD# 1577362).

James Scullin has spent four years in the securities industry and was most recently registered with UBS Financial Services in Coral Gables, Florida (2011-2014). He was previously registered with Mosely Securities (1986-1988). He is currently not registered with any state or firm. Continue Reading

Philip DinaPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 2, 2016 indicate that New Jersey-based Network 1 Financial broker Philip Dina is the subject of several pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Dina (CRD# 1368917).

Philip Dina has spent 28 years in the securities industry and has been registered with Network 1 Financial in Red Bank, New Jersey since 2013. Previous registrations include Obsidian Financial Group, which has since been expelled by FINRA, in Woodbury, New York; Mercer Capital in New York, New York; Utendahl Capital Group in New York, New York; National Securities in Seattle, Washington; E Street Access, which has since been expelled by FINRA, in Englishtown, New Jersey; Mercer Partners in New York, New York; Millennium Securities, which has since been expelled by FINRA, in New York, New York; Dina Securities in Wayne, New Jersey; All-Tech Investment Group, which has since been expelled by FINRA, in Montvale, New Jersey; and Blinder Robinson & Company. He is a registered broker with New Jersey and New York. Continue Reading

Dennis Mehringer Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that California-based Western International Securities broker/adviser Dennis Mehringer is the subject of a pending FINRA investigation. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mehringer (CRD# 722569).

Dennis Mehringer has spent 34 years in the securities industry and has been registered with Western International Securities in Pasadena, California since 2009. Previous registrations include First Allied Securities in Pasadena, California; FSC Securities in Atlanta, Georgia; Walnut Street Securities in El Segundo, California; Equico Securities in New York, New York; the Equitable Life Assurance Society of the United States in New York, New York; United Pacific Securities in Carlsbad, California; New England Securities in New York, New York; US Securities Clearing Corporation, which has since been expelled by FINRA, in San Diego, California; Guardian Investor Services Corporation; PML Securities; and NEL Equity Services Corporation. He is a registered broker and investment adviser with six US states and territories: California, Florida, Michigan, Montana, North Carolina, and Washington. Continue Reading

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