Articles Tagged with Capitol Securities Management

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Samuel LamPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2018 indicate that Virginia and Maryland-based Capitol Securities Management broker/adviser Samuel Lam has been sanctioned by regulatory authorities and received customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lam (CRD# 3157188).

Samuel Lam has spent 18 years in the securities industry and has been registered with Capitol Securities Management in Reston, Virginia and Silver Spring, Maryland since 2016. Previous registrations include Wells Fargo Advisors in Rockville, Maryland (2009-2016); Citigroup Global Markets in Washington, DC (2007-2009); Citicorp Investment Services in Washington, DC (1999-2007); American Express Financial Services in Minneapolis, Minnesota (1999); and IDS Life Insurance Company in Minneapolis, Minnesota (1999). He has passed three securities industry examinations: Series 66 (Uniform Investment Adviser Law Examination), which he obtained on August 2, 2001; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 20, 1999; and Series 7 (General Securities Representative Examination), which he obtained on July 30, 1999. He is a registered broker and investment adviser with nine US states and territories: Alabama, California, Delaware, the District of Columbia, Florida, Maryland, New York, Texas, and Virginia.

According to his BrokerCheck report, Samuel Lam has received one regulatory sanction and two customer complaints, and was discharged from his former employer in connection to alleged rule violations.

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Ian Greenblatt

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 7, 2017 indicate that New York-based Capitol Securities Management broker Ian Greenblatt, also known as Eric Green, is involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Greenblatt (CRD# 2276966).

Ian Greenblatt has spent 25 years in the securities industry and has been registered with Capitol Securities Management in Melville, New York since 2012. Previous registrations include Capitol Securities & Associates in Melville, New York (2010-2012); Westrock Advisors in Melville, New York (2002-2010); Weatherly Securities Corporation in New York, New York (2001-2002); Tasin & Company in Hauppage, New York (1994-2001); and Robert Todd Financial Corporation in New York, New York (1992-1994). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 8, 1992, and Series 7 (General Securities Representative Examination), which he obtained on October 1, 1992. He is a registered broker and investment adviser with 19 US states and territories: California, Colorado, Connecticut, Florida, Georgia, Maryland, Massachusetts, Michigan, Minnesota, New Hampshire, New Jersey, North Carolina, Ohio, Oklahoma, Oregon, South Carolina, Texas and Virginia.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and two denied customer complaints.

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Steve HeathPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 16, 2017 indicate that former Virginia-based Capitol Securities Management broker/adviser Steve Heath is under FINRA investigation and currently not affiliate with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Heath (CRD# 2812758).

Steve Heath has spent eighteen years in the securities industry and was most recently registered with Capitol Securities Management in Newport News, Virginia (2014-2016). Previous registrations include LPL Financial in Newport News, Virginia; Merrill Lynch in Newport News, Virginia; Wachovia Securities in St. Louis, Missouri; First Union Capital Management in Charlotte, North Carolina; and Wheat First Securities in Charlotte, North Carolina. He is currently not registered with any broker-dealer firm.

According to his BrokerCheck report, Steve Heath has been named in a FINRA investigation and was discharged from two former employers.

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Gilbert KutaPublic records published by the Financial Industry Regulatory Authority (FINRA) on September 28, 2016 indicate that Maryland-based Capitol Securities broker/adviser Gilbert Kuta 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. Kuta (CRD# 1084075).

Gilbert Kuta has spent 33 years in the securities industry and has been registered with Capitol Securities Management in Timonium, Maryland since 2009. Previous registrations include RBC Capital Markets in Hunt Valley, Maryland; Ferris Baker Watts in Hunt Valley, Maryland; Smith Barney Shearson in New York, New York; Lehman Brothers in New York, New York; Painewebber Incorporated in Weehawken, New Jersey; A.G. Edwards & Sons in St. Louis, Missouri; Laidlaw Ansbacher Incorporated; and Merrill Lynch, Pierce, Fenner & Smith.

According to his BrokerCheck report, Gilbert Kuta has received four customer complaints and three regulatory sanctions, and resigned from his position at Smith Barney Shearson.

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Troy BaldridgePublic records provided by the Financial Industry Regulatory Authority (FINRA) on September 7, 2016 indicate that former Virginia-based Capitol Securities Management broker Troy Baldridge is under investigation by the US Department of Justice. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Baldridge (CRD# 2976766).

Troy Baldridge has spent 18 years in the securities industry and was most recently registered Capitol Securities Management in Glen Allen, Virginia (2007-2016). Previous registrations include Capitol Securities & Associates in Glen Allen, Virginia; Anderson & Strudwick in Richmond, Virginia; RBC Dain Rauscher in New York, New York; Tucker Anthony in Boston, Massachusetts; Branch Cabell & Company in Richmond, Virginia; American Express Financial Advisors in Minneapolis, Minnesota; and IDS Life Insurance Company in Minneapolis, Minnesota. He is currently not registered with any state or firm. Continue reading →