Articles Posted in TIC Complaints

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Alan ShorrPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 22, 2016 indicate that that California and Massachusetts-based Independent Financial Group broker/adviser Alan Shorr is the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Shorr (CRD# 1040305).

Alan Shorr has spent 33 years in the securities industry and has been registered with Independent Financial Group in Sherman Oaks, California and Boston, Massachusetts since 2010. Previous registrations include AFA Financial Group in Bakersfield, California (2003-2010); Sentra Securities Corporation in Phoenix, Arizona (1998-2003); United Pacific Securities in Carlsbad, California (1995-1998); Titan/Value Equities Group in Irvine, California (1985-1995); Financial Network Investment Corporation (1983-1985); and University Securities Corporation (1982-1983). He is a registered broker and investment adviser in five US states—California, Connecticut, Massachusetts, Oklahoma, and Oregon. Continue reading →

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Caleb OvertonFormer California-based Centaurus Financial broker/adviser is the subject of settled and pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from customers who have complaints regarding Mr. Overton (CRD# 4582453).

Caleb Overton has spent nine years in the securities industry and was most recently registered with Centaurus Financial in Santa Barbara, California (2003-2012). He was previously registered with Washington Square Securities in Des Moines, Iowa (2002-2003). He is currently not registered with any state or firm. Continue reading →

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Fera ShivaeeCalifornia-based Centaurus Financial broker/adviser Fera Shivaee, also known as Fereshteh Fera and Fereshteh Nahavandi, is the subject of pending customer complaints. The securiteis and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Ms. Shivaee (CRD# 2271590).

Fera Shivaee has spent 22 years in the securities industry and has been registered with Centaurus Financial in Laguna Niguel, California since 1997. Previous registrations include: SunAmerica Securities in Phoenix, Arizona (1996-1997); Finance 500 in Irvine, California (1995-1996); Centaurus Financial in Anaheim, California (1993-1996); and Mariner Financial Services in Largo, Florida (1993). She is a registered broker and investment adviser with six US states: Arizona, California, Missouri, Nevada, New Mexico, and North Carolina. Continue reading →

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Robyn LeePublicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 2, 2016 indicate that former California-based Independent Financial Group broker Robyn Lee 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 speaking to investors who have complaints regarding Ms. Lee (CRD# 2846656).

Robyn Lee has spent 18 years in the securities industry and was most recently registered with Independent Financial Group in San Mateo, California (2007-2015). Previous registrations include Berthel Fisher & Company in Burlingame, California (2004-2007); ePlanning Securities in Roseville, California (2002-2004); Securities America in La Vista, Nebraska (2000-2002); Passport Securities in Burlingame, California (1999-2000); Capital Brokerage Corporation in Richmond, Virginia (1997-1999); and McClurg Capital Corporation in Rafael, California (1997-1998). She is currently not registered with any state or firm. Continue reading →

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Corbin ThomasPublic records published by the Financial Industry Regulatory Authority (FINRA) on March 2, 2016 indicate that California-based McDermott Investment Services broker Corbin Thomas is 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. Thomas (CRD# 4234748).

Corbin Thomas has spent fifteen years in the securities industry and has been registered with McDermott Investment Services in Huntington Beach, California since 2012. Previous registrations include Centaurus Financial in Orange, California (2009-2012); Direct Capital Services in Costa Mesa, California (2004-2009); MCL Financial Group in Santa Ana, California (2003-2004); and NNN Capital Corporation in Santa Ana, California (2000-2003). He is a registered broker in 44 US states and territories. Continue reading →

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shutterstock_45011008California-based Western International Securities broker Kenneth McDonald is the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McDonald (CRD# 816699).

Kenneth McDonald has spent 27 years in the securities industry and has been registered with the following firms: Western International Securities in Westlake Village, California since August 2015. Previous registrations include Newport Coast Securities in New York, New York; Crown Capital Securities in Rancho Mirage, California; Girard Securities in San Diego, California; Pacific West Securities in Renton, Washington; Sentra Securities in Phoenix, Arizona; United Pacific Securities in Carlsbad, California; NIF Securities in Newport Beach, California; Shearson/American Express; Drexel Burnham Lambert; Wedbush Noble Cooke; Paine Webber Jackson & Curtis; Blythe Eastman Dillon & Company; and Bateman Eichler Hill Richards. He is a registered broker with five US states: California, Nevada, Oklahoma, Texas, and Washington. Continue reading →

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Damian DeringPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 25th, 2016 indicate that California-based Concorde Investment Services broker/adviser Damian Dering is the subject of several settled, withdrawn or denied customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Dering (CRD# 2854253).

Damian Dering has spent eighteen years in the securities industry and has been registered with Concorde Investment Services in Playa Del Rey, California since 2014. Previous registrations include Independent Financial Group in Los Angeles, California (2008-2014); EPlanning Securities in Los Angeles, California (2007-2008); LINSCO/Private Ledger Corporation in Henderson, Nevada (2004-2007); SunAmerica Securities in Phoenix, Arizona (2003-2004); American Express Financial Advisors in Minneapolis, Minnesota (1997-2003); and IDS Life Insurance Company in Minneapolis, Minnesota (1997-2003). He is a registered broker and investment adviser with three US states: California, Idaho, and Washington. Continue reading →

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Erinn FordAccording to publicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 26 , 2016,Colorado-based Cetera Advisors broker/adviser Erinn Ford is the subject of more than a dozen settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Ford (CRD# 2176816).

Erinn Ford has spent 23 years in the securities industry and has been registered with Cetera Advisors in Denver, Colorado since 2012. She was previously registered with Pacific West Securities in Renton, Washington (1992-2012). She is a registered broker and investment adviser in two US states: California and Washington. Continue reading →

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Richard ZitoThe securities and investment fraud law firm Fitapelli Kurta is investigating allegations pertaining to unsuitable tenant-in-common (TIC) investments recommended by New York-based LPL Financial broker/investment adviser Richard Zito (CRD# 2280859).

Richard Zito has spent twenty-three years in the securities industry and has been registered with LPL Financial in Garden City, New York since 1997. Previous registrations include Investment Management & Research in St. Petersburg, Florida (1997); American Express Financial Advisors in Minneapolis, Minnesota (1992-1997); and IDS Life Insurance Company in Minneapolis, Minnesota (1992-1997). He is a registered broker and investment adviser in nineteen US states. Continue reading →

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shutterstock_216799618The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Colorado-based First Financial Equity broker/adviser Joseph Yanofsky (CRD# 870054).

Joseph Yanofsky has spent 35 years in the securities industry and has been registered with First Financial Equity Corporation in Greenwood Village, Colorado since June 2015. Previous registrations include Merrill Lynch in Greenwood Village, Colorado (1990-2015); Hanifen Imhoff Securities Corporation (1988-1990); Hanifen Imhoff Incorporated (1987-1988); Painewebber Incorporated (1983-1987); EF Hutton & Company (1982-1983); and Merrill Lynch (1979-1982). Continue reading →