Articles Tagged with Bankruptcy

Ricardo Sanchez Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 8, 2016 indicate that Florida-based PFS Investments broker Ricardo Sanchez has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sanchez (CRD# 2341541).

Ricardo Sanchez has spent 3 years in the securities industry and has been registered with PFS Investments in Miami, Florida since 2000. Previous registrations include WM Financial Services in Irvine, California; Nationsbanc Investments in Boston, Massachusetts; Nations Securities; First Union Brokerage Services in Charlotte, North Carolina; Great Western Financial Securities in Northridge, California; and GKN Securities in New York, New York. He is a registered broker in Florida, Illinois, and New York. Continue Reading

Christian Herrera Public records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that New York-based Laidlaw & Company broker Christian Herrera has received customer complaints and a regulatory sanction. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Herrera (CRD# 4158466).

Christian Herrera has spent 15 years in the securities industry and has been registered with Laidlaw & Company in New York, New York since September 2015. Previous registrations include Spartan Capital Securities in New York, New York; Empire Asset Management Company in New York, New York; Garden State Securities in New York, New York; Great Eastern Securities in New York, New York; Gunnallen Financial in New York, New York; and Continental Broker-Dealer Corporation, which has since been expelled by FINRA, in Carle Place, New York. He is a registered broker with 23 US states and territories. Continue Reading

Guy MadsenPublic records published by the Financial Industry Regulatory Authority (FINRA) on July 6, 2016 indicate that Utah-based Allegis Investment Services broker/adviser Guy Madsen has been named in a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Madsen (CRD# 3072294).

Guy Madsen has spent 17 years in the securities industry and has been registered with Allegis Investment Services in Lindon, Utah since November 2015. Previous registrations include Signator Financial Services in Lindon, Utah; Securian Financial Services in Orem, Utah; Beneficial Investment Services in Orem, Utah; and Equity Services in Orem, Utah. He is a registered broker and investment adviser in Utah. Continue Reading

Donald RasweilerPublic records provided by the Financial Industry Regulatory Authority (FINRA) on June 16, 2016 indicate that former New Jersey-based Wells Fargo Advisors broker/advisor Donald Rasweiler has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rasweiler (CRD# 1142752).

Donald Rasweiler has spent 29 years in the securities industry and has been registered with Wells Fargo Advisors in Short Hills, New Jersey since 2012. Previous registrations include Morgan Stanley Smith Barney in Short Hills, New Jersey; Morgan Stanley & Company in Short Hills, New Jersey; Bear Stearns & Company in Whippany, New Jersey; AG Edwards & Sons in St. Louis, Missouri; Prudential Securities in New York, New York; Merrill Lynch in New York, New York; Smith Barney in New York, New York; Lehman Brothers in New York, New York; and Merrill Lynch in New York, New York. He is a registered broker and investment adviser with 13 US states and territories: Arizona, California, Connecticut, Delaware, Florida, Georgia, Louisiana, Maine, Maryland, Massachusetts, New Jersey, New York, and Pennsylvania. Continue Reading

Robert Wyman

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 27, 2016 indicate that Massachusetts-based Morgan Stanley broker Robert Wyman is the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wyman (CRD# 1222282).

Robert Wyman has spent 32 years in the securities industry and has been registered with Morgan Stanley in Hyannis, Massachusetts since 2009. Previous registrations include Morgan Stanley & Company in Hyannis, Massachusetts (2007-2009); Morgan Stanley DW in Hyannis, Massachusetts (2007); Citigroup Global Markets in Hyannis, Massachusetts (1993-2007); and Lehman Brothers in New York, New York (1983-1993). He is a registered broker in Massachusetts. Continue Reading

ATP Oil & Gas

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments in ATP Oil & Gas (ATPAQ).

ATP Oil & Gas Corporation is a developer and producer of oil and gas in the Gulf of Mexico and the North Sea. Based in Houston, ATP Oil & Gas trades over the counter as ATPAQ; it previously traded on the NASDAQ exchange as ATPG. In 2012, ATP Oil & Gas filed for Chapter 11 bankruptcy, which was later converted to a Chapter 7 proceeding. In 2014, ATPAQ’s Chapter 7 trustee sued the company’s executives, alleging that “the company’s senior management failed to properly plan, budget or take the appropriate proactive action to lessen the company’s damages caused by the Deepwater Horizon oil spill.” The trustee in question, Rodney Tow, asserted that ATPAQ “spent money on long-term projects the company could no longer afford given the impact of the oil spill on ATP’s business. While ATP’s actual and projected cash flow was significantly impacted by the oil spill and foreseeable government response, ATP’s obligations and expenses were not similarly constrained.” Continue Reading

Daniel Alcide

According to public records provided by FINRA (the Financial Industry Regulatory Authority) on February 16, 2016, New Jersey-based National Securities Corporation broker Daniel Alcide is the subject of several settled, pending or closed customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Alcide (CRD# 3007996).

Daniel Alcide has spent sixteen years in the securities industry and has been registered with National Securities Corporation in Eatontown, New Jersey since 2014. Previous registrations include JP Turner & Company in Red Bank, New Jersey (2010-2014); Maxim Group in New York, New York (2005-2010); Laidlaw & Company in London (2004-2005); and Sands Brothers & Company in New York, New York (1999-2004). He is a registered broker in thirteen US states: Arizona, California, Colorado, Florida, Illinois, Kentucky, Maryland, New Jersey, New York, New Mexico, North Carolina, Pennsylvania, and South Dakota. Continue Reading

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding California-based Independent Financial broker/adviser Nicholas DeStefano (CRD# 2933489).

Nicholas DeStefano has spent sixteen years in the securities industry and has been registered with Independent Financial Group in Folsom, California since 2014. Previous registrations include WFG Investments in Dallas, Texas (2013-2014); Merrill Lynch in El Dorado Hills, California (2011-2013); WRP Investments in Folsom, California (2010); Securities America in Folsom, California (2009-2010); Brecek & Young Advisors in Folsom, California (2006-2009); Money Concepts Capital Corporation in Folsom, California (2003-2006); Equity Services in Montpelier, Vermont (1999-2002); Wells Fargo Securities in San Francisco, California (1999); Piper Jaffray in Minneapolis, Minnesota (1998-1999); and Pruco Securities Corporation in Newark, New Jersey (1997-1998). He is a registered broker and investment adviser in California and Idaho. 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