Articles Tagged with elder abuse

Timothy TremblayPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on June 6, 2016 indicate that California-based Centaurus broker/adviser Timothy Tremblay has received more than a dozen customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Tremblay (CRD# 1201542).

Timothy Tremblay has spent 32 years in the securities industry and has been registered with Centaurus Financial in Santa Barbara and Westlake Village, California since 2003. Previous registrations include Washington Square Securities in Des Moines, Iowa (1997-2003); Cruttenden Roth in Newport Beach, California (1995-1997); Smith Barney in New York, New York (1993-1995); Prudential Securities in New York, New York (1983-1993); and Painewebber Incorporated (1986). He is a registered broker and investment adviser in 12 US states and territories: Arizona, California, the District of Columbia, Illinois, Kansas, New Mexico, New York, North Carolina, Pennsylvania, Tennessee, Texas, and Washington. Continue Reading

Cynthia CowdenPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 2, 2016 indicate that California-based NPB Financial Group broker Cynthia Cowden, also known as Cynthia Case, has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Cowden (CRD# 2054676).

Cynthia Cowden has spent 25 years in the securities industry and has been registered with NPB Financial Group in Lake Isabella, California since 2013. Previous registrations include Tricor Financial in Lake Isabella, Florida; Next Financial Group in Lake Isabella, Florida; Advantage Capital Corporation in Atlanta, Georgia; Protective Equity Services in Birmingham, Alabama; and NYLife Securities in New York, New York. She is a registered broker with twelve US states: Arizona, California, Colorado, Indiana, Michigan, Missouri, Nevada, New Hampshire, New Jersey, North Carolina, South Carolina, and South Dakota. Continue Reading

Caleb OvertonFormer California-based Centaurus Financial broker/adviser is the subject of settled and pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from customers who have complaints regarding Mr. Overton (CRD# 4582453).

Caleb Overton has spent nine years in the securities industry and was most recently registered with Centaurus Financial in Santa Barbara, California (2003-2012). He was previously registered with Washington Square Securities in Des Moines, Iowa (2002-2003). He is currently not registered with any state or firm. Continue Reading