Articles Tagged with Churning

Scott HechlerNew York-based Legend Securities broker Scott Hechler is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hechler (CRD# 5277526).

Scott Hechler has spent seven years in the securities industry and has been registered with Legend Securities in New York, New York since 2013. Previous registrations include Joseph Gunnar & Company in New York, New York (2012-2013); Brookstone Securities, which has since been expelled by FINRA, in Staten Island, New York (2009-2012); and JP Turner & Company in Staten Island (2007-2008). He is a registered broker with 38 US states and territories. Continue Reading

Frank AvalloneConnecticut-based National Securities broker Frank Avallone is 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. Avallone (CRD# 4814368).

Frank Avallone has spent eleven years in the securities industry and has been registered with National Securities Corporation in South Norwalk, Connecticut since October 2015. Previous registrations include Newbridge Securities Corporation in New York, New York (2012-2015); Global Arena Capital Corporation in New York, New York (2012); First Midwest Securities in New York, New York (2011-2012); Maxim Group in New York, New York (2008-2011); and Eastbrook Capital Group in New York, New York (2004-2008). He is a registered broker with 37 US states and territories. Continue Reading

James FlowerNew York-based Salomon Whitney Financial broker James Flower is the subject of several 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. Flower (CRD# 2817701).

James Flower has spent eighteen years in the securities industry and has been registered with the following companies: Salomon Whitney Financial in Farmingdale, New York since December 2015. Previous registrations include Laidlaw & Company in Melville, New York; Global Arena Capital in Melville, New York; Prestige Financial Center in Melville, New York; Brookstone Securities in Garden City, New York; Obsidian Financial Group in Woodbury, New York; Westrock Advisors in Woodbury, New York; JP Turner & Company in Garden City, New York; Westrock Advisors in New York, New York; Granite Associates in Delray Beach, Florida; Continental Broker-Dealer in Carle Place, New York; Harrison Securities in Port Washington, New York; Whitehall Wellington Investments in Port Washington, New York; Tasin & Company in Hauppage, New York; Duke & Company in New York, New York; and Gaines Berland in Bethpage, New York. Of his former employers, eight have since been expelled by FINRA: Global Arena Capital, Prestige Financial Center, Brookstone Securities, Obsidian Financial Group, Westrock Advisors, Continental Broker-Dealer, Harrison Securities, and Tasin & Company. Mr. Flower is a registered broker in nineteen US states. Continue Reading

Jacquin FinkAccording to publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 2, 2016, New York-based Merrill Lynch broker/adviser Jacquin Fink is the subject of four customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Fink (CRD# 207807).

Jacquin Fink has spent 48 years in the securities industry and has been registered with Merrill Lynch since 1968. He is a registered broker and investment adviser in seventeen US states and territories: Arizona, California, Connecticut, the District of Columbia, Delaware, Florida, Maryland, Massachusetts, New Hampshire, New Jersey New York, North Carolina, Pennsylvania, Rhode Island, South Carolina, Texas, and Virginia. Continue Reading

James IgnatowichPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 22, 2016 indicate that Florida-based Newbridge broker James Ignatowich is the subject of several customer complaints and one regulatory sanction. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ignatowich (CRD# 2490731).

James Ignatowich has spent twenty-one years in the securities industry and has been registered with Newbridge Securities Corporation in Boca Raton, Florida since 2014. Previous registrations include Investors Capital Corporation in Greenwich, Connecticut (2008-2014); Eastbrook Capital Group in New York, New York (2000-2008); Prime Charter in New York, New York (1997-2000); Janney Montgomery Scott in Philadelphia, Pennsylvania (1997); Whale Securities in New York, New York (1996-1997); and Prime Charter in New York, New York (1994-1996). He is a registered broker with 28 US states. Continue Reading

Matthew TurnerAccording to public records provided by the Financial Industry Regulatory Authority (FINRA) on February 16, 2016, Florida-based Westpark Capital broker/adviser Matthew Turner is the subject of  several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Turner (CRD# 4114088).

Matthew Turner has spent fifteen years in the securities industry and has been registered with Westpark Capital in Boca Raton, Florida since 2012. Previous registrations include Laidlaw & Company in Fort Lauderdale, Florida (2010-2012); Jesup & Lamont Securities in Fort Lauderdale, Florida (2009-2010); Gunnallen Financial in Fort Lauderdale, Florida (2002-2009); First Montauk Securities in Red Bank, New Jersey (2001-2002); and First Liberty Investment Group in Philadelphia, Pennsylvania (2000-2001). One of Mr. Turner’s former employers, Jesup & Lamont Securities, has since been expelled by the Financial Industry Regulatory Authority (FINRA). He is a registered broker and investment adviser with 18 US states and territories. Continue Reading

Curtis PilsonThe securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Virginia-based Cetera Advisors broker/adviser Curtis Pilson (CRD# 1853722).

Curtis Pilson has spent 27 years in the securities industry and has been registered with Cetera Advisors in Collinsville, Virginia since 1999. Previous registrations include American Express Financial Advisors in Minneapolis, Minnesota (1988-1999) and IDS Life Insurance Company in Minneapolis, Minnesota (1988-1999). He is a registered broker and investment adviser in eighteen US states and territories. Continue Reading

Michael AndroulakisThe securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding New York-based Legend Securities broker Michael Androulakis (CRD# 2793638).

Michael Androulakis has spent fourteen years in the securities industry and has been registered with Legend Securities in New York, New York since 2010. He was previously registered with JP Turner & Company in Staten Island, New York (2001-2010). He is a registered broker with 32 US states and territories. Continue Reading

Robert PlayerThe securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against New York and Florida-based Wells Fargo broker/adviser Robert Player (CRD# 2122678).

Robert Player has spent 24 years in the securities industry and has been registered with Wells Fargo Advisors in Garden City, New York and Boca Raton, Florida since 2003. Previous registrations include Prudential Securities Incorporated in New York, New York (1998-2003) and Merrill Lynch in New York, New York (1991-1998). He is a registered broker and investment adviser in seven US states: California, Connecticut, Florida, New Jersey, New York, North Carolina, and Pennsylvania. Continue Reading

Joel KamphuisThe securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Florida-based Summit Brokerage Services broker/adviser Joel Kamphuis (CRD# 1730775).

Joel Kamphuis has spent 28 years in the securities industry and has been registered with Summit Brokerage Services in Fort Lauderdale, Florida since August 2015. Previous registrations include JP Turner & Company in Fort Lauderdale, Florida (2010-2015); Gunnallen Financial in Fort Lauderdale, Florida (2004-2010); Brookstreet Securities in San Juan Capistrano, California (1999-2004); First Colonial Securities in Boca Raton, Florida (1997-1999); Barber & Bronson in Miami, Florida (1991-1997); Monmouth Securities (1989-1991); GK Scott & Company in Plainview, New York (1989-1991); Alison Baer Securities (1989); Hanifen Imhoff Securities (1989); and Graystone Nash (1987-1989). He is a registered broker and investment adviser in 15 US states. Continue Reading

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