Articles Tagged with complaint

Reid MalvinNew Jersey-based National Securities Corporation broker/adviser Reid Malvin is the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Malvin (CRD# 4550756).

Reid Malvin has spent thirteen years in the securities industry and has been registered with National Securities Corporation in Tinton Falls, New Jersey since 2009. Previous registrations include Gunnallen Financial Eatontown, New Jersey; Milestone Group Management in Lake Success, New York; and Waddell & Reed in Overland Park, Kansas. He is a registered broker and investment adviser with 30 US states and territories. Continue Reading

Sagepoint FinancialThe Securities and Exchange Commission (SEC) has filed a complaint against Arizona-based brokerage/advisory firm Sagepoint Financial. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Sagepoint Financial (CRD# 133763).

Formed in Delaware in 2004, Sagepoint Financial is headquartered in Phoenix, Arizona and registered with 53 US states and territories. Jeffrey Auld is Chief Executive Officer and President; Inger Fields is Vice President, Treasurer and Financial Operations Principal; Robert Guldner is Chief Compliance Officer, Investment Advisory; Erica McGinnis is Chairperson; Justin Sacca is Vice President and Chief Compliance Officer; Matthew Schlueter is Chief Operations Officer and Executive Vice President. Sagepoint Financial is indirectly owned by American Investment Group (AIG). Continue Reading

iPath Global Carbon ETNThe securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments in iPath Global Carbon exchange-traded notes (NYSE: GRN).

The iPath Global Carbon ETN is an exchange-traded note linked to the Barclays Capital Global Carbon Total Index Return. This index’s underlying assets, according to Business Insider, are carbon allowances, which are credits that permit companies to produce pre-determined levels of carbon from factories and power states. Continue Reading

Publicly available records released by the Securities and Exchange Commission (SEC) on March 14, 2016 indicate that the SEC has filed a complaint against New York-based brokerage/advisory firm Royal Alliance Associates. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Royal Alliance Associates (CRD# 23131).

Formed in Delaware in 1988, Royal Alliance Associates is headquartered in New York, New York and registered with 52 US states and territories. Dmitry Goldin is President and Chief Executive Officer; Robert Guldner is Chief Compliance Officer, Investment Advisory; Inger Fields is Vice President, Treasurer, and Financial Operations Principal; Matthew Schlueter is Chief Operations Officer; Erica McGinnis is Chairperson; Justin Sacca is Executive Vice President and Chief Compliance Officer; Noah Sorkin is Executive Vice President, General Counsel, and Secretary; Thomas Sidlo is Municipal Principal.  Royal Alliance Associates is indirectly owned by American Investment Group (AIG). Continue Reading

John McGinnisFormer California-based RBC broker John McGinnis 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. McGinnis (CRD# 1134105).

John McGinnis has spent 32 years in the securities industry and was most recently registered with RBC Capital Markets in Escondido, California (2008-2015). Previous registrations include Merrill Lynch in Escondido, California (1988-2008); EF Hutton & Company (1983-1988); and Merrill Lynch (1987-1988). He is currently not registered with any state or firm. Continue Reading

American Growth Funding IIAccording to records provided by the Securities and Exchange Commission (SEC), the SEC has filed charges against Manhattan-based lending company American Growth Funding II LLC, alleging the firm and its owner, Ralph Johnson, repeatedly lied to investors purchasing high-yield securities. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have lost money investing in American Growth Funding II.

According to the SEC, American Growth Funding II LLC and Ralph Johnson “promised investors 12-percent annual returns and falsely claimed its financial statements were being audited each year. AGF II, which raises capital from investors to provide loans to businesses, also made misrepresentations in offering documents about its management and concealed details about deteriorating loan values that could imperil full payment of the promised returns to investors.” Continue Reading

J. Randall GladdenThe securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against California-based Securities Equity Group broker/adviser J. Randall Gladden (CRD# 1789356).

Randall Gladden has spent twenty years in the securities industry and has been registered with Securities Equity Group in El Cajon, California since 2002. Previous registrations include Securities Service Network in Knoxville, Tennessee (1997-2002) and Securities America in La Vista, Nebraska (1995-1997). He is a registered broker and investment adviser in California. Continue Reading

Craig TaddonioThe securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against New York-based Craig Scott broker Craig Taddonio (CRD# 4773787).

Craig Taddonio has spent eleven years in the securities industry and has been registered with Craig Scott Capital in Uniondale, New York since 2012. Previous registrations include Brookstone Capital in Uniondale, New York (2010-2012); JHS Capital Advisors in Bethpage, New York (2005-2010); and Gunnallen Financial in New York, New York (2004-2005). He is a registered broker with 25 US states and territories. Continue Reading

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