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

Brian ParkerLouisiana-based USA Financial Securities broker/adviser Brian Parker is the subject of one customer complaint, one pending customer complaint, and one regulatory sanction. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations against Mr. Parker (CRD# 2161106).

Brian Parker has spent 23 years in the securities industry and has been registered with USA Financial Securities in Covington and Metairie, Louisiana since September 2015. Previous registrations include MML Investors Services in Covington, Louisiana; Park Avenue Securities in Covington, Louisiana; National Planning Corporation in El Segundo, California; SunAmerica Securities in Phoenix, Arizona; Securities America in La Vista, Nebraska; ProFinancial in Baton Rouge, Louisiana; and Fidelity Equity Services Corporation. He is a registered broker and investment adviser with two US states: Louisiana and Mississippi. Continue Reading

Joseph PetryNew York-based HBW Securities broker Joseph Petry is currently not licensed to act as a broker. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Petry (CRD# 4649782).

Joseph Petry has spent nine years in the securities industry and was most recently registered with HBW Securities in Latham, New York (2008-2016). He was previously registered with PFS Investments in Duluth, Georgia (2003-2006). He is currently not registered with any state or firm.

According to his BrokerCheck report, Joseph Petry is the subject of two customer complaints. 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