Articles Tagged with Arbitration

 Catherine SheridanBoston-based Race Rock Capital broker Catherine Sheridan is the subject of pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Sheridan (CRD# 1203915).

Catherine Sheridan has spent 30 years in the securities industry and has been registered with Race Rock Capital, LLC in Boston, Massachusetts since 2015. Previous registrations include North South Capital in Chicago, Illinois (2010-2015); Sound Securities in Jericho, New York (2007-2010); Tradition Asiel Securities in Chicago (2004-2007); Orion Securities in Toronto, Ontario (1999-2004); Midland Walwyn Capital Corporation (1984-1999); and Merrill Lynch in New York, New York (1998). Ms. Sheridan is a registered broker in Texas and Wisconsin. Continue Reading

Geraldine GordonKentucky-based Ameriprise Financial Services broker/adviser Geraldine Gordon is the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Ms. Gordon (CRD# 2499098).

Geraldine Gordon has spent 21 years in the securities industry and has been registered with Ameriprise Financial Services in Lexington, Kentucky since 1994. She was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota (1994-2006). She is a registered broker and investment adviser with sixteen US states and territories: Arkansas, Colorado, Florida, Illinois, Indiana, Kentucky, New Jersey, New York, North Carolina, Ohio, Oregon, Rhode Island, South Carolina, Tennessee, Virginia, and West Virginia. Continue Reading

Raul JacobsIllinois-based Waddell & Reed broker Raul Jacobs Has been barred from the securities industry. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Jacobs (CRD# 6004416).

Raul Jacobs has spent three years in the securities industry and was most recently registered with Waddell & Reed in Orland Park, Illinois (2012-2015). He was previously registered with MetLife Securities in Orland Park, Illinois (2012). He is currently not registered with any state or firm. Continue Reading

 William DesserCalifornia-based JP Morgan broker/adviser William Desser is the subject of settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Desser (CRD# 1496152).

William Desser has spent 29 years in the securities industry and has been registered with JP Morgan Securities in Los Angeles, California since 1988. Previous registrations include Pollock Financial Corporation (1986-1988). He is a registered broker and investment adviser with 48 US states and territories. Continue Reading

Martin Walcoe New York-based David Lerner Associates broker Martin Walcoe is the subject of resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Walcoe (CRD# 1593935).

Martin Walcoe has spent 29 years in the securities industry and has been registered with David Lerner Associates in Syosset, New York since 1996. He was previously registered with David Lerner Associates in New York, New York (1986-1995). He is a registered broker with 24 US states and territories. Continue Reading

Kalomira ZangoulosMichigan-based Sagepoint Financial broker/adviser Kalomira Zangoulos is the subject of customer complaints and a FINRA investigation. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Zangoulos (CRD# 4451124).

Kalomira Zangoulos has spent fourteen years in the securities industry and has been registered with Sagepoint Financial in Sterling Heights, Michigan since January 2015. Previous registrations include JP Morgan Securities in Clinton Township, Michigan (2012-2014); Chase Investment Services in Clinton Township, Michigan (2005-2012); and Banc One Securities in Chicago, Illinois (2001-2005). She is a registered broker and investment adviser in California and Michigan. Continue Reading

Mazhar MahmoodCalifornia-based Ameriprise Financial Services broker Mazhar Mahmood 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. Mahmood (CRD# 2876589).

Mazhar Mahmood has spent eighteen years in the securities industry and has been registered with the following firms: Ameriprise Financial Services in Irvine, California since 1998. Previous registrations include IDS Life Insurance Company in Minneapolis, Minnesota (1998-2006) and Miller Johnson & Kuehn in Minneapolis, Minnesota (1997). He is a registered broker and investment adviser with seven US states: Arizona, California, New Jersey, North Carolina, South Carolina, Tennessee, and Texas. Continue Reading

Edward SchwarzCalifornia-based Merrill Lynch broker/adviser Edward Schwarz is the subject of resolved or pending customer disputes. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Schwarz (CRD# 843622).

Edward Schwarz has spent 38 years in the securities in the securities industry and has been registered with Merrill Lynch in San Diego, California since 1978. He is a registered broker and investment adviser with 25 US states and territories. Continue Reading

Douglas WilliamsTexas-based VFinance Investments broker Douglas Williams 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. Williams (CRD# 1401005).

Douglas Williams has spent thirty years in the securities industry and has been registered with VFinance Investments in the Woodlands, Texas since 2002. Previous registrations include VFinance Investments in Boca Raton, Florida (2001-2002); TDI Incorporated in Englewood, Colorado (1998-2001); Amherst Securities Group in Austin, Texas (1996-1997); Lehwald O’Rosey & Pepe Capital Markets in Boca Raton, Florida (1995-1996); Lehwald O’Rosey & Pepe Incorporated in Boca Raton, Florida (1994-1996); Meridian Securities Incorporated (1994); Marcus Stowell & Beye Government Securities in Fort Lauderdale, Florida (1987-1994); and Marcus Stowell & Beye Incorporated in Fort Lauderdale, Florida (1985-1994). He is a registered broker with ten US states and territories: Alabama, California, Florida, Nevada, New York, Ohio, Puerto Rico, Texas, Wisconsin, and Wyoming. Continue Reading

Noyeg ArkoianFormer Nevada-based US Bancorp Investments broker Noyeg Arkoian 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. Arkoian (CRD# 2765791).

Noyeg Arkoian has spent fifteen years in the securities industry and was most recently registered with US Bancorp Investments in Las Vegas, Nevada (2012-2015). Previous registrations include:Unionbanc Investment Services in Apple Valley, California; Western International Securities in Pasadena, California; Wells Fargo Investments in Riverside, California; Citigroup Global Markets in Norco, California; Citicorp Investments in Riverside, California; WM Financial Services in Irvine, California; and Cal Fed Investments in Sacramento, California. She is currently not registered with any state or firm. Continue Reading