Articles Posted in TIC Complaints

Nick CochranThe securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding California-based American Investors Company broker/adviser Nick Cochran (CRD# 713570).

Nick Cochran has spent 35 years in the securities industry and has been registered with American Investors Company in San Ramon, California since 1992. Previous registrations include Foothill Securities in Santa Clara, California (1990-1992) and Equity Engineering (1980-1990). He is a registered broker and investment adviser in California, Michigan, Montana, Texas, and Utah. Continue Reading

The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding California-based Independent Financial broker Ellen Friedman, also known as Ellen Kaplan and Ellen Simon (CRD# 424527).

Ellen Friedman has spent 39 years in the securities industry and has been registered with Independent Financial Group in Sherman Oaks, California since 2013. Previous registrations include GB Investment Securities in Los Angeles, California (2009-2011); AFA Financial Group in Calabasas, California (2005-2009); Financial West Group in Westlake Village, California (2004-2005); Planmember Securities Corporation in Carpinteria, California (2003-2004); Schoff & Baxter in Burlington, Iowa (2001-2003); Sutro & Company in San Francisco, California (2000-2001); Round Hill Securities in Alamo, California (1999-2000); Bear Stearns & Company in New York, New York (1976-1999); and Shearson Hayden Stone (1974-1975). She is a registered broker in California. Continue Reading

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding California and Massachusetts-based Independent Financial Group broker/adviser Alan 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 seven US states: California, Connecticut, Massachusetts, Ohio, Oklahoma, Oregon, and Texas. Continue Reading

shutterstock_123948847According to records provided by the Financial Industry Regulatory Authority (FINRA), 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 hearing from investors who have complaints regarding Ms. Lee (CRD# 2846656).

Robyn Lee has spent eighteen 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

The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding California-based Sigma broker Tomas Velken (CRD# 1600404).

Tomas Velken has spent twelve years in the securities industry and has been registered with Sigma Financial Corporation in Lafayette, California since 2003. He is a registered broker in eight US states: Arizona, California, Florida, Indiana, Nevada, New Jersey, New York, and Wisconsin. Continue Reading

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Virginia-based Concorde broker/adviser James Fillmore Crawford (CRD# 1327638).

James Fillmore Crawford has spent 27 years in the securities industry and has been registered with Concorde Investment Services in Harrisonburg, Virginia since January 2015. Previous registrations include Independent Financial Group in Harrisonburg, Virginia (2012-2014); Centaurus Financial in Harrisonburg, Virginia (2012); Pacific West Securities in Harrisonburg, Virginia (2005-2011); Linsco/Private Ledger Corporation in Boston, Massachusetts (1999-2006); and MML Investors Services in Springfield, Massachusetts (1988-1999). He is a registered broker and investment adviser in Maryland, South Carolina, Virginia, and West Virginia. Continue Reading

The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Florida-based Summit Brokerage Services broker/adviser Anthony Marcello (CRD# 2844880).

Anthony Marcello has spent eighteen years in the securities industry and has been registered with Summit Brokerage Services Anthony Marcelloin Fort Lauderdale, Florida since August 2015. Previous registrations include JP Turner & Company in Fort Lauderdale, Florida (2010-2015); Gunnallen Financial in Fort Lauderdale, Florida (2004-2010); Brookstreet Securities in San Juan Capistrano, California (2000-2004); Fin-Atlantic Securities in Jupiter, Florida (1997-2000); and Biltmore Securities, which has since been expelled by the Financial Industry Regulatory Authority (FINRA), in Fort Lauderdale, Florida (1997). He is a registered broker and investment adviser in eighteen US states: Alaska, California, Florida, Louisiana, Maine, Maryland, Massachusetts, Michigan, Mississippi, New Jersey, New York, North Carolina, Pennsylvania, Rhode Island, South Carolina, Vermont, Washington, and West Virginia. Continue Reading

iStock_000008431693Medium-300x200The securities and investment fraud law firm Fitapelli Kurta is interested in hearing form investors who have complaints regarding former California-based Berthel Fisher broker/adviser John Notman (CRD# 1033267).

John Notman has spent 30 years in the securities industry and was most recently registered with Berthel Fisher & Company in Stockton, California (2003-2012). Previous registrations include Continental Capital Investment Services in Bryan, Ohio (1997-2003); Dean Witter Reynolds in Purchase, New York (1995-1997); Merrill Lynch in New York, New York (1990-1995); Painewebber in Weehawken (1986-1990); Prudential-Bache Securities (1984-1986); and Private Ledger Financial Services (1982-1984). He is currently not registered with any firm, though records indicate he is currently employed with the Notman Financial Group in Stockton, California. Continue Reading

William “Pat” BrennanThe securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against California-based Independent Financial Group broker/adviser William “Pat” Brennan (CRD# 3090544).

William “Pat” Brennan has spent seventeen years in the securities industry and has been registered with Independent Financial Group in San Diego, California since 2003. He was previously registered with Sentra Securities Corporation in Phoenix, Arizona (1998-2003). He is a registered broker with nineteen US states. Continue Reading