Articles Tagged with Criminal charges

William FrascoPublic records provided by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that New York-based First Standard Financial Company broker William Frasco has been the subject of a criminal charge. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Frasco (CRD# 2111432).

William Frasco has spent 19 years in the securities industry and has been registered with First Standard Financial Company in Staten Island, New York since March 2016. Previous registrations include Legend Securities in New York, New York; GP Nurmenkari in New York, New York; JP Turner & Company in Brooklyn, New York; Wilmington Capital Securities in Garden City, New York; National Securities in Old Bridge, New Jersey, Joseph Stevens & Company in New York, New York; Benson York Group, which has since been expelled by FINRA, in Melville, New York; MH Meyerson & Company in Jersey City, New Jersey; Drake & Company in New York, New York; Ladenburg Thalmann & Company in New York, New York; AS Goldmen & Company in Red Bank, New Jersey; and First Hanover Securities in Staten Island, New York. He is a registered broker with New Jersey and New York. Continue Reading

Christopher CervinoPublic records published by the Financial Industry Regulatory Authority (FINRA) on June 29, 2016 indicate that former New York-based Primary Capital broker Christopher Cervino has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from customers who have complaints regarding Mr. Cervino (CRD# 2778817).

Christopher Cervino has spent 18 years in the securities industry and was most recently registered with Primary Capital in New York, New York (2014-2016). Previous registrations include COR Clearing in Edison, New Jersey (2013-2014); Wilson-Davis & Company in Salt Lake City, Utah (2012-2013); Delaney Equity Group in Palm Beach Gardens, Florida (2011); GFI Securities in New York, New York (2010-2011); Lighthouse Financial Group in New York, New York (2008-2010); RBC Professional Trader Group in New York, New York (2008); RBC Capital Markets in New York, New York (2007-2008); Carlin Equities in New York, New York (2002-2007); Ladenburg Thalmann & Company in New York, New York (2000-2002); Sharpe Capital in New York, New York (1998-2000); and HJ Meyers & Company in Rochester, New York (1996-1998). Two of his former employers, Sharpe Capital and HJ Meyers & Company, have since been expelled by the Financial Industry Regulatory Authority (FINRA). He is currently not registered with any state or firm. Continue Reading

Claus FoersterPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on June 20, 2016 indicate that former South Carolina-based Raymond James broker Claus Foerster has been charged with fraud and wire fraud. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Foerster (CRD# 1912949).

Claus Foerster has spent 25 years in the securities industry and was most recently registered with Raymond James & Associates in Greenville, South Carolina (2013-2014). Previous registrations include Morgan Keegan & Company in Greenville, South Carolina (2008-2013); Citigroup Global Markets in Spartanburg, South Carolina (1997-2008); and JC Bradford & Company in New York, New York (1989-1997). He is currently not registered with any state or firm. Continue Reading

David HobsonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 14, 2016 indicate that former Rhode Island-based Oppenheimer & Company broker David Hobson is the subject of pending civil and criminal complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hobson (CRD# 2448412).

David Hobson has spent 22 years in the securities industry and was most recently registered with Oppenheimer & Company in Providence, Rhode Island (2010-2016). Previous registrations include RBC Capital Markets in Providence, New York; Tucker Anthony in Boston, Massachusetts; Gruntal & Company in New York, New York; and Dickinson & Company in Des Moines, Iowa. He is currently not registered with any state or firm. Continue Reading

Christopher BondThe securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding New York-based National Securities broker Christopher Bond (CRD# 4658534).

Christopher Bond has spent twelve years in the securities industry and has been registered with National Securities in Melville, New York since 2004. Previous registrations include Gunnallen Financial in Tampa, Florida (2004) and Ehrenkrantz King Nussbaum, which has since been expelled by the Financial Industry Regulatory Authority (FINRA) in Melville, Florida (2003-2004). He is a registered broker in 34 US states and territories, including California, Connecticut, Massachusetts, New York, New Jersey, and Pennsylvania. Continue Reading

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