Articles Tagged with customer complaint

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

James HopkinsPublic records published by the Financial Industry Regulatory Authority (FINRA) on July 27, 2016 indicate that Florida-based Dawson James Financial broker James Hopkins 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. Hopkins (CRD# 2688074).

James Hopkins has spent 11 years in the securities industry and has been registered with Dawson James Securities in Boca Raton, Florida since 2014. Previous registrations include Sky Capital, which has since been expelled by FINRA, in New York, New York; Viewtrade Financial in Boca Raton, Florida; SAL Investment Services in Birmingham, Alabama; Sterling Financial Investment Group, which has since been expelled by FINRA, in Boca Raton, Florida; the Thornwater Company in New York, New York; Prime Charter in New York, New York; Shamus Group; and Roan Capital Partners in New York, New York. He is a registered broker with six US states: California, Florida, Illinois, New York, Pennsylvania, and Utah. Continue Reading

Barbara KenersonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that Rhode Island-based Janney Montgomery Scott broker/adviser Barbara Kenerson has been named in a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Kenerson (CRD# 1060984).

Barbara Kenerson has spent 33 years in the securities industry and has been registered with Janney Montgomery Scott in Providence, Rhode Island since 1999. Previous registrations include PaineWebber in Weehawken, New Jersey (1990-1999) and Tucker Anthony in Boston, Massachusetts (1982-1990). She is a registered broker and investment adviser with 18 US states and territories: Alabama, Arkansas, California, Connecticut, Florida, Georgia, Indiana, Kentucky, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, Rhode Island, South Carolina, Texas, and West Virginia. Continue Reading

John CullenPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that New York-based Spartan Capital Securities broker John Cullen 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. Cullen (CRD# 5062835).

John Cullen has spent 10 years in the securities industry and has been registered with Spartan Capital Securities in Garden City, New York since 2013. Previous registrations include Andrew Garrett in Floral Park, New Jersey; the Concord Equity Group in Iselin, New Jersey; New Castle Financial Services, which has since been expelled by FINRA, in Melville, New York; and Benson York Group, which has since been expelled by FINRA, in Melville, New York. He is a registered broker and investment adviser with 24 US states and territories. Continue Reading

Peter FentonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that Massachusetts-based Detwiler Fenton & Company broker Peter Fenton is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Fenton (CRD# 2334505).

Peter Fenton has spent 23 years in the securities industry and has been registered with Detwiler Fenton & Company in Boston, Massachusetts since 1993. He was previously registered with Detwiler Fenton Wealth Management in Boston, Massachusetts (2011-2015). He is a registered broker in Massachusetts. Continue Reading

Dirk RabenoldPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 15, 2016 indicate that New York-based Next Financial Group broker/adviser Dirk Rabenold 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. Rabenold (CRD# 1407291).

Dirk Rabenold has spent 30 years in the securities industry and has been registered with Next Financial Group in Williamsville, New York since 2007. Previous registrations include Janney Montgomery Scott in Williamsville, New York; Prudential Securities in New York, New York; Smith Barney in New York, New York; Lehman Brothers in New York, New York; Prudential-Bache Securities in New York, New York; and American Heritage Securities Corporation. He is a registered broker and investment adviser with 26 US states and territories. Continue Reading

Gary NeedhamPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 14, 2016 indicate that Massachusetts-based LPL Financial broker Gary Needham has been named in a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Needham (CRD# 2366853).

Gary Needham has spent 22 years in the securities industry and has been registered with LPL Financial in Manchester-by-the-Sea, Massachusetts since 2003. Previously registrations include Wachovia Securities in St. Louis, Missouri; Prudential Securities in New York, New York; and Dean Witter Reynolds in Purchase, New York. He is a registered broker with 17 US states and territories: Arizona, California, Connecticut, Florida, Georgia, Illinois, Maine, Massachusetts, New Hampshire, New Jersey, New York, Oregon, Pennsylvania, Rhode Island, Tennessee, Virginia, and Washington. Continue Reading

Wallace Giakas Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 14, 2016 indicate that New Jersey-based Buckman Buckman & Reid broker Wallace Giakas has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Giakas (CRD# 1068278).

Wallace Giakas has spent 16 years in the securities industry and has been registered with Buckman Buckman & Reid in Little Silver, New Jersey since 2010. Previous registrations include Toluca Pacific Securities in Burbank, California; JW Cabott & Company; Damon Andrews & Company in New York, New York; Princeton Financial Group, which has since been expelled by FINRA; MLB Investments, which has since been expelled by FINRA; Monmouth Investments; JT Moran & Company; AdVest; Domestic Arbitrage Group; EF Hutton & Company; Phillips Appel & Walden; Greentree Securities; and Patten Securities. He is a registered broker and investment adviser with Florida and New Jersey. Continue Reading

Douglas SolinskiPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that New York-based Newbridge Securities broker Douglas Solinski, also known as Douglas Blake, has been named in a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Solinski (CRD# 4715268).

Douglas Solinski has spent 12 years in the securities industry and has been registered with Newbridge Securities in New York, New York since 2008. Previous registrations include Investors Capital in Harrison, New York (2007-2008); JP Turner & Company in New York, New York (2003-2007); and E1 Asset Management in Jersey City, New Jersey (2004). He is a registered broker in 16 US states and territories: California, Connecticut, Florida, Louisiana, Maryland, Massachusetts, Minnesota, Nevada, New Jersey, New York, Oklahoma, Pennsylvania, South Carolina, Texas, Virginia, and Wisconsin. Continue Reading

Gary SpeicherPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 6, 2016 indicate that former Iowa-based Cambridge Investment Research broker Gary Speicher 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. Speicher (CRD# 818104).

Gary Speicher has spent 34 years in the securities industry and was most recently registered with Cambridge Investment Research in Cedar Rapids, Iowa (2009-2016). Previous registrations include Sagepoint Financial in Cedar Rapids, Iowa (2008-2009); American General Securities in Cedar Rapids, Iowa (1997-2008); and USLife Equity Sales in New York, New York (1982-1997). He is currently not registered with any state or firm. Continue Reading

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