Articles Tagged with ETFs

William LevenPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Texas-based Merrill Lynch broker/adviser William Leven has been the subject of numerous customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Leven (CRD# 2229129).

William Leven has spent 22 years in the securities industry and has been registered with Merrill Lynch in Houston, Texas since July 2015. Previous registrations include UBS Financial Services in Houston, Texas; Oppenheimer & Company in New York, New York; CIBC World Markets in New York, New York; and Goldman Sachs in New York, New York. He is a registered broker and investment adviser with 23 US states and territories. Continue Reading

Jamie MeehanMassachusetts and Florida-based Wells Fargo Advisors broker/adviser Jamie Meehan is the subject of 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. Meehan (CRD# 1655994).

Jamie Meehan has spent 28 years in the securities industry and has been registered with Wells Fargo Advisors in Chatham, Massachusetts and Fort Lauderdale, Florida since 2003. Previous registrations include Prudential Securities Incorporated in New York, New York (1996-2003) and Painewebber Incorporated in Weehawken, New Jersey (1987-1996). He is a registered broker and investment adviser with 21 US states and territories. Continue Reading

Stanley CooperCalifornia-based RBC Capital Markets broker/adviser Stanley Cooper is the subject of pending complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cooper (CRD# 1667427).

Stanley Cooper has spent twenty-eight years in the securities industry and has been registered with RBC Capital Markets in Fresno, California since 2003. He was previously registered with Merrill Lynch in New York, New York (1987-2003). He is a registered broker and investment adviser with sixteen US states and territories: Alabama, Arizona, California, Florida, Georgia, Maryland, Minnesota, Nevada, New York, Ohio, Oregon, Texas, Utah, Vermont, Virginia, and Washington. Continue Reading

James FlowerNew York-based Salomon Whitney Financial broker James Flower is the subject of several 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. Flower (CRD# 2817701).

James Flower has spent eighteen years in the securities industry and has been registered with the following companies: Salomon Whitney Financial in Farmingdale, New York since December 2015. Previous registrations include Laidlaw & Company in Melville, New York; Global Arena Capital in Melville, New York; Prestige Financial Center in Melville, New York; Brookstone Securities in Garden City, New York; Obsidian Financial Group in Woodbury, New York; Westrock Advisors in Woodbury, New York; JP Turner & Company in Garden City, New York; Westrock Advisors in New York, New York; Granite Associates in Delray Beach, Florida; Continental Broker-Dealer in Carle Place, New York; Harrison Securities in Port Washington, New York; Whitehall Wellington Investments in Port Washington, New York; Tasin & Company in Hauppage, New York; Duke & Company in New York, New York; and Gaines Berland in Bethpage, New York. Of his former employers, eight have since been expelled by FINRA: Global Arena Capital, Prestige Financial Center, Brookstone Securities, Obsidian Financial Group, Westrock Advisors, Continental Broker-Dealer, Harrison Securities, and Tasin & Company. Mr. Flower is a registered broker in nineteen US states. Continue Reading

Matthew BellPublic records provided by the Financial Industry Regulatory Authority (FINRA) on February 26, 2016 indicate that former Texas-based Securities America broker Matthew Bell is the subject of more than thirty customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bell (CRD# 3091864).

Matthew Bell has spent fourteen years in the securities industry and was most recently registered with Securities America in San Antonio, Texas (2013); WFG Investments in San Antonio, Texas (2009-2013); Raymond James & Associates in San Antonio, Texas (2003-2009); Prudential Securities in New York, New York (2001-2003); and Kercheville & Company in San Antonio, Texas (1998-2001). He is currently not registered with any state or firm. Continue Reading

Scott GoldmanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 24th, 2016 indicate that Illinois-based H. Beck broker/adviser Scott Goldman is the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Goldman (CRD# 1682329).

Scott Goldman has spent 28 years in the securities industry and has been registered with H. Beck in Arlington Heights, Illinois since 2010. Previous registrations include LPL Financial in Arlington Heights, Illinois; Waterstone Financial in Arlington Heights, California; FFP Securities in Chesterfield, Missouri; Oak Brook Securities in Oakbrook Terrace, Illinois; Mutual Service Corporation; PW Securities; and AMEV Investors. He is a registered broker and investment adviser in Illinois. Continue Reading

Susan MooreThe securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Alabama-based LPL broker/adviser Susan Moore (CRD# 1130216).

Susan Moore has spent 32 years in the securities industry and has been registered with LPL Financial in Alexander City and Montgomery, Florida since 2006. Previous registrations include Raymond James Financial Services in Alexander City, Alabama (1999-2006); Robert Thomas Securities in St. Petersburg, Florida (1991-1999); and Prudential Securities Corporation in New York, New York (1983-1991). She is a registered broker in 30 US states and territories. Continue Reading

William CarltonThe securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Virginia-based UBS broker/adviser William Carlton (CRD# 1132967).

William Carlton has spent 32 years in the securities industry and has been registered with UBS Financial Services in Vienna, Virginia since 2007. Previous registrations include Citigroup Global Markets in McLean, Virginia (1993-2007); Lehman Brothers in New York, New York (1991-1993); Dean Witter Reynolds, New York (1989-1991); Wheat First Securities (1984-1987); and San Diego Securities (1983-1984). He is a registered broker and investment adviser in 28 US states and territories. Continue Reading

Brandt WendlandThe securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Minnesota-based Feltl & Company broker Brandt Wendland (CRD# 2629983).

Brandt Wendland has spent twenty years in the securities industry and has been registered with Feltl & Company in Minneapolis, Minnesota since 2004. Previous registrations include RBC Dain Rauscher in New York, New York (1998-2004); Dain Rauscher Incorporated (1997-1998); and John G. Kinnard & Company, Incorporated in Minneapolis, Minnesota (1995-1998). He is a registered broker in twenty US states and territories, including California, Florida, Maryland, Michigan, Minnesota, New Jersey, New York, Pennsylvania, Virginia, and Wisconsin. Continue Reading

shutterstock_208157017The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of account churning committed by New York-based Newbridge broker Brent Porges (CRD# 4002626).

Brent Porges has spent eleven years in the securities industry and has registered with Newbridge Securities in New York, New York since November 2015. He was previously registered with Newbridge Securities in Uniondale, New York (2015); Craig Scott Capital in Uniondale, New York (2012-2015); Brookstone Securities in Melville, New York (2010-2012); Rockwell Global Capital in Bethpage, New York (2010); Prestige Financial Center in Garden City, New York (2009-2010); Brookstone Securities in Garden City, New York (2009-2010); New Castle Financial Services in Melville, New York (2009); Pointe Capital in Bethpage, New York (2008); Joseph Gunnar & Company in New York, New York (2007-2008); Great Eastern Securities in New York, New York (2005-2006); Benson York Group in Melville, New York (2005); Gunnallen Financial in Tampa, Florida (2002-2005); First Montauk Securities in Red Bank, New Jersey (2002); Andover Brokerage in Montebello, New York (2001); and On-Site Trading in Great Neck, New York (2000). Of Mr. Porges’ former employers, four have since been expelled by the Financial Industry Regulatory Authority (FINRA): Benson York Group, New Castle Financial Services, Brookstone Securities, and Prestige Financial Group. Mr. Porges is a registered broker in California and New York. Continue Reading