Articles Tagged with breach of fiduciary duty

Trevor WurtzebachPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 8, 2016 indicate that Illinois-based JP Morgan broker/adviser Trevor Wurtzebach 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. Wurtzebach (CRD# 5134519).

Trevor Wurtzebach has spent nine years in the securities industry and has been registered with JP Morgan in Wilmette, Illinois since April 2016. Previous registrations include JP Morgan Securities in Chicago, Illinois (2014-2016); Sigma Financial Corporation in Chicago, Illinois (2010-2013); and National Securities Corporation in Chicago, Illinois (2006-2010). He is a registered broker and investment adviser five US states and territories: California, Florida, Illinois, North Carolina, and Texas. Continue Reading

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

Cheryl KitashimaPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that Washington-based Centaurus Financial broker/adviser Cheryl Kitashima 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 Ms. Kitashima (CRD# 729389).

Cheryl Kitashima has spent 35 years in the securities industry and has been registered with Centaurus Financial in Bellevue, Washington since 2005. Previous registrations include KMS Financial Services in Seattle, Washington; Pacific Harbor Securities in Highland, Utah; Royal Alliance Associates in New York, New York; Integrated Resources Equity Corporation; FSC Securities; and Waddell & Reed. She is a registered broker and investment adviser with nine US states and territories: Arizona, California, Colorado, Idaho, Montana, New Mexico, Oregon, Utah, and Washington. Continue Reading

Raymond ClarkPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 5, 2016 indicate that New York-based Woodstock Financial Group broker Raymond Clark has received several customer complaints. The securities and investment fraud law firm is interested in speaking to investors who have complaints regarding Mr. Clark (CRD# 2865619).

Raymond Clark has spent 19 years in the securities industry and has been registered with Woodstock Financial Group in Staten Island, New York since 2013. Previous registrations include Chelsea Financial Services in Staten Island, New York; JP Turner & Company in Tinton Falls, New Jersey; Grayson Financial, which has since been expelled by FINRA, in Red Bank, New Jersey; and MS Farrell & Company in Syosset, New York. He is a registered broker and investment adviser with 25 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

Michael MartinoPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that New York-based Four Points Capital broker Michael Martino 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. Martino (CRD# 2579146).

Michael Martino has spent 21 years in the securities industry and has been registered with Four Points Capital in New York, New York since 2001. Previous registrations include Wedbush Securities in Tarrytown, New York; Brookstreet Securities Corporation in White Plains, New York; Emerson Bennett & Associates, which has since been expelled by FINRA, in Fort Lauderdale, New York; SG Martin Securities in Jericho, New York; Fin-Atlantic Securities in Jupiter, Florida; VTR Capital, which has since been expelled by FINRA, in New York, New York; and Monroe Parker Securities, which has since been expelled by FINRA, in Purchase, New York. He is a registered broker with 47 US states and territories. 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

Tuan PhanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that New York-based National Securities broker Tuan Phan, also known as Peter Phan, has received a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Phan (CRD# 4179988).

Tuan Phan has spent 15 years in the securities industry and has been registered with National Securities Corporation in New York, New York since 2001. Previous registrations include Roan-Meyers Associates in New York, New York (2001) and JW Barclay & Company in Woodbridge, New Jersey (2000-2001). He is a registered broker and investment adviser with 37 US states and territories. Continue Reading

Marc RogersPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that California-based Wells Fargo broker/adviser Marc Rogers, also known as Buck Rogers, has 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. Rogers (CRD# 1008145).

Marc Rogers has spent 34 years in the securities industry and has been registered with Wells Fargo Advisors in Palo Alto, California since 2010. Previous registrations include RBC Capital Markets in San Jose, California; Morgan Stanley DW in Purchase, New York; Piper Jaffray in Minneapolis, Minnesota; Smith Barney in New York, New York; PaineWebber in Weehawken, New Jersey; Merrill Lynch; and DRB Financial. He is a registered broker and investment adviser with 14 US states and territories: California, Colorado, Connecticut, Delaware, Idaho, Illinois, Massachusetts, Missouri, North Carolina, Oregon, Tennessee, Texas, Utah, and Washington. Continue Reading

Lance HarshbargerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 17, 2016 indicate that Kansas-based Securities America broker/adviser Lance Harshbarger 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. Harshbarger (CRD# 3059198).

Lance Harshbarger has spent 18 years in the securities industry and has been registered with Securities America in Overland Park, Kansas since 2014. He was previously registered with Sunset Financial Serviecs in Overland Park, Kansas (1998-2014). He is a registered broker and investment adviser with 14 US states and territories: Arizona, Arkansas, Colorado, Florida, Hawaii, Illinois, Iowa, Kansas, Louisiana, Missouri, Nebraska, Oklahoma, Tennessee, and Texas. Continue Reading