Articles Tagged with Customer Complaints

Michael MartinoPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that New York-based Four Points Capital broker Michael Martino has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Martino (CRD# 2579146).

Michael Martino has spent 21 years in the securities industry and has been registered with Four Points Capital in New York, New York since 2001. Previous registrations include Wedbush Securities in Tarrytown, New York; Brookstreet Securities Corporation in White Plains, New York; Emerson Bennett & Associates, which has since been expelled by FINRA, in Fort Lauderdale, New York; SG Martin Securities in Jericho, New York; Fin-Atlantic Securities in Jupiter, Florida; VTR Capital, which has since been expelled by FINRA, in New York, New York; and Monroe Parker Securities, which has since been expelled by FINRA, in Purchase, New York. He is a registered broker with 47 US states and territories. Continue Reading

Leonard FoxPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that New Jersey-based FSC Securities broker/adviser Leonard Fox Jr. 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. Fox (CRD# 1034449).

Leonard Fox has spent 33 years in the securities industry and has been registered with FSC Securities in Marlton, New Jersey since 2013. Previous registrations include Morgan Stanley in Voorhees, New Jersey; Morgan Stanley & Company in Voorhees, New Jersey; Morgan Stanley DW in Voorhees, New Jersey; Janney Montgomery Scott in Philadelphia, Pennsylvania; Merrill Lynch, and First Jersey Securities. He is a registered broker and investment adviser in Florida, Louisiana, New Jersey, and Pennsylvania. Continue Reading

Daniel RebmannPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that Texas-based UBS Financial Services broker/adviser Daniel Rebmann 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. Rebmann (CRD# 2254569).

Daniel Rebmann has spent 24 years in the securities industry and has been registered with UBS Financial Services in San Antonio, Texas since 2011. Previous registrations include Merrill Lynch in San Antonio, Texas; Banc One Securities in Chicago, Illinois; and Edward D. Jones & Company in St Louis, Missouri. He is a registered broker and investment adviser with 14 US states and territories: Arkansas, California, Colorado, Connecticut, Florida, Iowa, Louisiana, Massachusetts, Missouri, New Hampshire, North Carolina, Ohio, Texas, and Washington. Continue Reading

Charles PhelpsPublic records published by the Financial Industry Regulatory Authority (FINRA) on July 26, 2016 indicate that Kentucky-based JJB Hilliard broker/adviser Charles Phelps has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Phelps (CRD# 2335942).

Charles Phelps has spent 23 years in the securities industry and has been registered with JJB Hilliard WL Lyons in Louisville, Kentucky since 2010. Previous registrations include Morgan Keegan & Company in Louisville, Kentucky; UBS PaineWebber in Weehawken, New Jersey; and JC Bradford & Company in New York, New York. He is a registered broker and investment adviser with 16 US states and territories: Alabama, California, Florida, Georgia, Illinois, Indiana, Kentucky, Michigan, Mississippi, Ohio, Oregon, Tennessee, Texas, Utah, Virginia, and Washington. Continue Reading

Armand Fisher Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that Connecticut-based Signator Investors broker/adviser Armand Fisher has received numerous 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. Fisher (CRD# 1528479).

Armand Fisher has spent 29 years in the securities industry and has been registered with Signator Investors in Rocky Hill, Connecticut since 2013. Previous registrations include MetLife Securities in Glastonbury, Connecticut; Equity Services in East Hartford, Connecticut; Washington Square Securities in Des Moines, Iowa; Chubb Securities in Fort Wayne, Indiana; Broad Reach Capital; and Walnut Street Securities in El Segundo, California. He is a registered broker and investment adviser with six US states and territories: California, Connecticut, Florida, Massachusetts, Ohio, and Pennsylvania. Continue Reading

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that Kansas-based Summit Brokerage Services broker/adviser John Harrison III 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. Harrison (CRD# 3176071).

John Harrison has spent 17 years in the securities industry and has been registered with Summit Brokerage Services in Leawood, Kansas since 2009. Previous registrations include UBS Financial Services in Leawood, Kansas; Banc of America Investment Services in Liberty, Missouri; Commerce Brokerage Services in Clayton, Missouri; Firstar Investment Services in Morris Plains, New Jersey; and Mercantile Investment Services in St. Louis, Missouri. He is a registered broker and investment adviser with 29 US states and territories. Continue Reading

Jonathan PeskinPublic records published by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that Florida-based National Securities broker Jonathan Peskin has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Peskin (CRD# 1251889).

Jonathan Peskin has spent 28 years in the securities industry and has been registered with National Securities in Boca Raton, Florida since 2008. Previous registrations include Summit Brokerage Services in Boca Raton, Florida; Wachovia Securities in St. Louis, Missouri; JW Genesis Securities in Boca Raton, Florida; PaineWebber in Weehawken, New Jersey; Smith Barney in New York, New York; and Dean Witter Reynolds. He is a registered broker and investment adviser with eight US states and territories: California, Florida, Georgia, Iowa, Minnesota, New Jersey, New York, and Pennsylvania. Continue Reading

Brian WeesePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that Utah-based Wells Fargo Advisors broker/adviser Brian Weese has received numerous 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. Weese (CRD# 2109121).

Brian Weese has spent 25 years in the securities industry and has been registered with Wells Fargo Advisors in Salt Lake City, Utah since 2008. Previous registrations include UBS Financial Services in Salt Lake City, Utah (2006-2008) and Citigroup Global Markets in Salt Lake City, Utah (1991-2006). He is a registered broker and investment adviser with 19 US states and territories: Arizona, California, Colorado, Florida, Idaho, Iowa, Michigan, Montana, Nevada, New York, Ohio, Oklahoma, Oregon, South Dakota, Texas, Utah, Virginia, Washington, and Wyoming. Continue Reading

Howard LeePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 17, 2016 indicate that California-based Morgan Stanley broker/adviser Howard Lee is the subject of pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lee (CRD# 305269).

Howard Lee has spent 51 years in the securities industry and has been registered with Morgan Stanley in Westlake Village, California since 2010. Previous registrations include UBS Financial Services in Westlake Village, California; Bear Stearns & Company in New York, New York; and Lehman Brothers. He is a registered broker and investment adviser with 22 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Hawaii, Idaho, Illinois, Iowa, Massachusetts, Missouri, Nevada, New Hampshire, New York, North Carolina, Ohio, Oregon, Texas, Utah, Virginia, Washington, and Wyoming. Continue Reading

Brandon Stimpson Public records published by the Financial Industry Regulatory Authority (FINRA) on July 17, 2016 indicate that Utah-based Allegis Investment Services broker/adviser Brandon Stimpson has received numerous 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. Stimpson (CRD# 4299623).

Brandon Stimpson has spent 15 years in the securities industry and has been registered with Allegis Investment Services in North Logan, Utah since 2014. Previous registrations include Signator Financial Services in North Logan, Utah; Insphere Securities in Salt Lake City, Utah; Equity Services in Logan, Utah; and Jefferson Pilot Securities Corporation in Fort Wayne, Indiana. He is a registered broker and investment adviser with 11 US states and territories: Alaska, Arizona, California, Colorado, Idaho, Nevada, North Carolina, Oklahoma, Texas, Utah, and Wyoming. Continue Reading

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