Articles Tagged with Excessive trading

shutterstock_45011008The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding New York-based National Securities broker Marc Arena (CRD# 2754309).

Marc Arena has spent nineteen years in the securities industry and has been registered with National Securities Corporation in Westbury, New York since 2013. Previous registrations include Newport Coast Securities in Westbury, New York (2008-2013); Basic Investors in Melville, New York (2006-2008); First Montauk Securities in Hauppage, New York (2003-2006); Harrison Securities in Port Washington, New York (2002-2003); Mantis Securities in Levittown, New York (2000-2002); Gunnallen Financial in Tampa, Florida (1998-2000); and Duke & Company in New York, New York (1996-1998). One of Mr. Arena’s former employers, Harrison Securities, has since been expelled by the Financial Industry Regulatory Authority (FINRA). He is a registered broker with 27 US states. Continue Reading

Michael GimeliThe securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complains regarding New York-based Aegis broker Michael Gimeli (CRD# 2197242).

Michael Gimeli has spent 23 years in the securities industry and has been registered with Aegis Capital Corporation in New York, New York since 2011. Previous registrations include First Midwest Securities in Syosset, New York (2008-2011); Concord Equity Group in Syosset, New York (2006-2008); Gunnallen Financial in Tampa, Florida (2003-2005); Benchmark Securities Group in Oklahoma City, Oklahoma (2002-2003); Investec Ernst & Company in New York, New York (2000-2002); GKN Securities in New York, New York (1993-1995; 2000); First Cambridge Securities in New York, New York (1996-1997); Barington Capital Group in New York, New York (1995-1996); Lehman Brothers in New York, New York (1992-1993); and Whale Securities in New York, New York (1992). He is a registered broker in 40 US states and territories. Continue Reading

 Edward HerbstThe securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding former New York-based Wellington Shields & Company broker Brian Hobbs (CRD# 243580).

Edward Herbst has spent 45 years in the securities industry and has been registered with Wellington Shields & Company in New York, New York since 2009. Previous registrations include Shields & Company in New York, New York (2001-2009); Dominick & Dominick in New York, New York (1999-2001); SG Cowen Securities in New York, New York (1998-1999); Cowen & Company in New York, New York (1983-1998); Drexel Burnham Lambert Inc. (1977-1988); and Drexel Burnham & Company (1970-1977). He is a registered broker in 25 US states and territories. Continue Reading