Published on:

Heath BowenPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 20, 2017 indicate that Idaho-based Allegis Investment Services broker/adviser Heath Bowen has been named in a pending regulatory complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bowen (CRD# 4824684).

Heath Bowen has spent 12 years in the securities industry and has been registered with Allegis Investment Services in Idaho Falls, Idaho since 2014. Previous registrations include Signator Financial Services in Idaho Falls, Idaho; LPL Financial in Idaho Falls, Idaho; Beneficial Investment Services in Salt Lake City, Utah; and Equity Services in Idaho Falls, Idaho. He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 6 (Investment Company Products/Variable Contracts Representative Examination); and Series 24 (General Securities Principal Examination). He is a registered broker and investment adviser with eleven US states.

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

Published on:

General MotorsPublicly available records indicate that a class action lawsuit has been filed on behalf of investors in General Motors (NYSE:GM) in connection to alleged violations of securities laws by GM. Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments made in General Motors between February 27, 2012 and May 25, 2017.

The class action complaint specifically alleges that during the period in question, GM might have provided false and/or misleading material information, and/or failed to disclose adverse material information to the public, namely: that GM installed three separate devices in more than 700,000 Duramax diesel-engine trucks so as to pass US emissions tests; that consequently the vehicles in question emit nitrogen oxide pollutants reaching as much as 500% the legal limit; and that thus the Company’s statements to the public were false and misleading during the relevant period.

According to the company’s website, General Motors is “a global automotive company united by a single purpose: to earn customers for life.” Headquartered in Detroit, Michigan, it has approximately $225,000 employees across six continents. The company’s description continues: “From electric cars to heavy-duty full-size trucks, General Motors provides a complete range of vehicles that meets the needs and expectations of drivers on a truly global scale. There are 10 distinctive automotive brands under the General Motors corporate umbrella: Chevrolet, Buick, GMC, Cadillac, Opel, Vauxhall, Holden, Baojun, Wuling, and Jiefang.”

Published on:

Dominick & DickermanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 19, 2017 indicate that New York-based brokerage firm Dominick & Dickerman, also known as Dominick & Dominick, was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Dominick & Dickerman (CRD# 7344).

Established in New York in 1998, Dominick & Dickerman is headquartered in New York, New York and registered with 49 US states and territories. Robert Hladek is Chief Executive officer, Senior Vice President, and Chief Compliance Officer; the firm is owned by DM Trust, whose trustee is Derby West LLC. The firm is registered with FINRA and the Securities and Exchange Commission.

According to the firm’s BrokerCheck report report, it was recently sanctioned by FINRA.

Published on:

IBN Financial Services Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 19, 2017 indicate that New York-based brokerage and advisory firm IBN Financial Services was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding IBN Financial Services (CRD# 42360).

Established in New York in 1995, IBN Financial Services is headquartered in Liverpool, New York and registered with 41 US states and territories. Richard Carleso Jr. is Chief Executive Officer and Chief Financial Officer; Christopher Avery is President; Timothy Evans is Chief Compliance Officer. The firm is registered with the Securities and Exchange Commission and FINRA.

According to the firm’s BrokerCheck report, IBN Financial Services has received three regulatory sanctions.

Published on:

Trump SecuritiesPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 19, 2017 indicate that New York-based brokerage firm Trump Securities was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Trump Securities (CRD# 47107).

Established in Delaware in 1998, Trump Securities is headquartered in New York, New York and registered with 50 US states and territories. Fredric Obsbaum is Chief Compliance Officer; Shelley Stupay is a Member; Michael Stupay is a Member; Shelley Spindel is a Member; and Howard Spindel is a Member. The firm is registered with FINRA and the Securities and Exchange Commission.

According to the firm’s BrokerCheck report, it was recently sanctioned by FINRA.

Published on:

FSC Securities Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 16, 2017 indicate that Georgia-based brokerage and investment adviser firm FSC Securities has been sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding FSC Securities (CRD# 7461).

Established in Delaware in 1977, FSC Securities Corporation is headquartered in Atlanta, Georgia and registered with 52 US states and territories. John Dillon is Vice President and Chief Financial Officer; Robert Guldner is Chief Compliance Officer, Investment Advisory; Jerome Murphy is Chief Executive Officer and President; Thomas Sidlo is Municipal Principal; Noah Sorkin is Executive Vice President, General Counsel, and Secretary; James Price is Chairman; Cynthia Hamel is Chief Operations Officer; David Schmidt is Treasurer and Financial Operations Principal. The firm is registered with the Securities and Exchange Commission and FINRA.

According to the firm’s BrokerCheck report, FSC Securities was recently sanctioned by FINRA.

Published on:

Merrill LynchPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on June 16, 2017 indicate that New York-based broker-dealer Merrill Lynch was recently sanctioned in connection to alleged rule violations. Fitapalli Kurta is interested in speaking to investors who have complaints regarding Merrill Lynch (CRD# 7691).

Founded in Delaware in 1958, Merrill Lynch is headquartered in New York, New York and registered with 53 US states and territories. Thomas Montag is Chairman of the Board and Chief Executive Officer; Joseph Guardino is Chief Operations Officer and Financial and Operations Principal; Lizbeth Applebaum is Chief Financial Officer; William Caccamise is Chief Legal Officer and General Counsel; Gloria Greco is Co-Chief Compliance Officer. The firm is registered with the Securities and Exchange Commission, FINRA and 20 other self regulatory organizations

According to the firm’s BrokerCheck report, Merrill Lynch was recently sanctioned by FINRA.

Published on:

Laurence PierronPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 15, 2017 indicate that Texas-based Morgan Stanley broker/adviser Laurence Pierron, also known as Chip Pierron, has been named in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pierron (CRD# 1465942).

Laurence Pierron has spent 31 years in the securities industry and has been registered with Morgan Stanley in Plano, Texas since 2011. Previous registrations include Southwest Securities in Plano, Texas; Merrill Lynch in McKinney, Texas; Fiserv Investor Services in Houston, Texas; Tradestar Investments in Houston, Texas; GR Phelps & Company; and Dean Witter Reynolds in Purchase, New York. He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 15 (Foreign Currency Options Examination); and Series 31 (Futures Managed Funds Examination). He is a registered broker and investment adviser with 11 US states and territories: Alabama, Arizona, Arkansas, California, Colorado, Indiana, Kansas, Ohio, Oklahoma, Pennsylvania, and Texas.

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

Published on:

Steven PagartanisPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 14, 2017 indicate that former New York-based Cadaret Grant & Company broker Steven Pagartanis has received 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. Pagartanis (CRD# 1958879).

Steven Pagartanis has spent 27 years in the securities industry and was most recently registered with Cadaret Grant & Company in Setauket, New York (2012-2017). Previous registrations include Woodbury Financial Services in East Setauket, New York; Cadaret Grant & Company in East Setauket, New York; Invest Financial Corporation in South Setauket, New York; Cadaret Grant & Company in Syracuse, New York; Yankee Financial Group in Melville, New York; Park Avenue Securities in New York, New York; Guardian Investor Services in New York, New York; Tower Square Securities in El Segundo, California; John Hancock Distributors in Boston, Massachusetts; John Hancock Mutual Life Insurance Company in Boston, Massachusetts; Pruco Securities Corporation in Newark, New Jersey; and the Prudential Life Insurance Company of America in Newark, New Jersey. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and one pending complaint, and resigned from his former employer.

Published on:

Sumitro PalPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 14, 2017 indicate that Maryland-based Morgan Stanley broker/adviser Sumitro Pal has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Pal (CRD# 4763364).

Sumitro Pal has spent 13 years in the securities industry and has been registered with Morgan Stanley in Bethesda, Maryland since 2009. Previous registrations include Morgan Stanley & Company in Bethesda, Maryland and Morgan Stanley DW in Bethesda, Maryland. He has passed three securities industry examinations: 66 (Uniform Combined State Law Examination); Series 31 (Futures Managed Funds Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 32 US states and territories.

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