Articles Tagged with breach of contract

Timary DelormePublic records provided by the Financial Industry Regulatory Authority (FINRA) on August 8, 2016 indicate that California-based Wedbush Securities broker/adviser Timary Delorme has received customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Delorme (CRD# 736418).

Timary Delorme has spent 35 years in the securities industry and has been registered with Wedbush Securities in Costa Mesa and Los Angeles, California since 1981. She has no previous registrations. She is a registered broker and investment adviser with 30 US states and territories. Continue Reading

 Sean Agahi Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that California-based Independent Financial Group broker/adviser Sean Agahi has been the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Agahi (CRD# 2448745).

Sean Agahi has spent 22 years in the securities industry and has been registered with Independent Financial Group in Folsom, California since August 2015. Previous registrations include First Allied Securities in San Ramon, California; Geneos Wealth Management in San Ramon, California; Securities America in La Vista, Nebraska; and Oak Brook Securities in Oakbrook Terrace, Illinois. He is a registered broker and investment adviser with Arizona, California, Nevada, and Texas. Continue Reading

Lloyd DotsonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 27, 2016 indicate that former Connecticut-based Commonwealth Financial Network broker Lloyd Dotson 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 Mr. Dotson (CRD# 2551716).

Lloyd Dotson has spent 20 years in the securities industry and was most recently registered with Commonwealth Financial Network in New Canaan, Connecticut (2006-2016); Merrill Lynch in Stamford, Connecticut (2001-2006); and AG Edwards & Sons in St. Louis, Missouri (1995-2001). He is currently not registered with any state or firm. Continue Reading

Ralph WardPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that New York-based Morgan Stanley broker/adviser Ralph Ward has received resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ward (CRD# 3245599).

Ralph Ward has spent 16 years in the securities industry and has been registered with Morgan Stanley in New York, New York since 2009. Previous registrations include Citigroup Global Markets in New York, New York; UBS International in Houston, Texas; UBS Painewebber in Weehawken, New Jersey; and Prudential Securities in New York, New York. He is a registered broker and investment adviser with 12 US states: California, Colorado, Connecticut, Florida, Louisiana, Massachusetts, New Hampshire, New Jersey, New Mexico, New York, Texas, and West Virginia. Continue Reading

 Shawn Devillier Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that Massachusetts-based Winslow Evans & Crocker broker/adviser Shawn Devillier 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. Devillier (CRD# 1730798).

Shawn Devillier has spent 28 years in the securities industry and has been registered with Winslow Evans & Crocker in Boston, Massachusetts since 2011. Previous registrations include Raymond James & Associates in Springfield, Massachusetts; Morgan Stanley DW in Purchase, New York; and Merrill Lynch in New York, New York. He is a registered broker and investment adviser with six US states: Colorado, Connecticut, Florida, Massachusetts, New York, and Texas. Continue Reading

 George MerhoffPublic records published by the Financial Industry Regulatory Authority (FINRA) on June 30, 2016 indicate that Oregon-based Cetera Advisors broker/adviser George Merhoff is the subject of pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Merhoff (CRD# 2918171).

George Merhoff has spent 18 years in the securities industry and has been registered with Cetera Advisors in Klamath Falls, Oregon since 2012. Previous registrations include Pacific West Securities in Klamath Falls, Oregon (1998-2012) and AAG Securities in Cincinnati, Ohio (1997-1998). He is a registered broker and investment adviser with 20 US states and territories. Continue Reading

James RaiaPublic records provided by the Financial Industry Regulatory Authority (FINRA) on June 22, 2016 indicate that New York-based Summit Brokerage Services broker James Raia has received 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. Raia (CRD# 2397301).

James Raia has spent 19 years in the securities industry and has been registered with Summit Brokerage Services in Ridgewood, New York since September 2015. Previous registrations include JP Turner & Company in Ridgewood, New York; Gunnallen Financial in Ridgewood, New York; Greenpoint Securities in Lake Success, New York; Essex National Securities in Napa, California; MetLife Securities in New York, New York; Metropolitan Life Insurance in New York, New York; Shamrock Financial Services, which has since been expelled by FINRA, in Lake Success, 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 seven US states: California, Connecticut, Florida, Maryland, New Jersey, New York, and Pennsylvania. Continue Reading

Howard WenPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 22, 2016 indicate that California-based Morgan Stanley broker/adviser Howard Wen 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. Wen (CRD# 2833693).

Howard Wen has spent 18 years in the securities industry and has been registered with Morgan Stanley in Pasadena, California since March 2016. He was previously registered with Merrill Lynch in Pasadena, California (1998-2016). He is a registered broker and investment adviser with eight US states: California, Florida, Massachusetts, Michigan, New Jersey, New York, Pennsylvania, and Washington. Continue Reading

Robert ClinePublic records provided by the Financial Industry Regulatory Authority (FINRA) on June 16, 2016 indicate that Michigan-based Ameriprise Financial Services broker/adviser Robert Cline has received numerous customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Cline (CRD# 824874).

Robert Cline has spent 39 years in the securities industry and has been registered with Ameriprise Financial Services in Shelby Township, Michigan since 2014. Previous registrations include Oppenheimer & Company in Rochester, New York; Ferris Baker Watts in Auburn Hills, Michigan; Merrill Lynch in New York, New York; Lehman Brothers in New York, New York; EF Hutton & Company; First of Michigan Corporation; and Manley Bennett McDonald & Company. He is a registered broker and investment adviser with eleven US states and territories: Arizona, California, Colorado, Delaware, Florida, Georgia, Michigan, New York, Oregon, South Carolina, and Tennessee. Continue Reading

Gregory BarrPublic records published by the Financial Industry Regulatory Authority (FINRA) on June 2, 2016 indicate that Florida-based Raymond James & Associates broker/adviser Gregory Barr has received numerous customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Barr (CRD# 1312703).

Gregory Barr has spent 31 years in the securities industry and has been registered with Raymond James & Associates in Boca Raton, Florida since 2014. Previous registrations include Deutsche Bank Securities in Palm Beach, Florida; Morgan Stanley Smith Barney in Boca Raton, Florida; Citigroup Global Markets in Boca Raton, Florida; Drexel Burnham Lambert; and Smith Barney Harris Upham. He is a registered broker and investment adviser with 25 US states and territories. Continue Reading