Articles Tagged with failure to diversify

Marcus DebaisePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 16, 2016 indicate that former Connecticut-based Wells Fargo broker Marcus Debaise is currently not licensed to act as a broker or investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Debaise (CRD# 2404266).

Marcus Debaise has spent 21 years in the securities industry and was most recently registered with Wells Fargo Advisors in Glastonbury, Connecticut (2003-2015). Previous registrations include Prudential Securities in New York, New York (2000-2003) and Legg Mason Wood Walker in Baltimore, Maryland (1993-2000). Mr. Debaise is currently not registered with any state or firm. Continue Reading

Michael SperlingaPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 16, 2016 indicate that Massachusetts-based Morgan Stanley broker/adviser Michael Sperlinga 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 Mr. Sperlinga (CRD# 2471775).

Michael Sperlinga has spent 22 years in the securities industry and has been registered with Morgan Stanley in Boston, Massachusetts since 2011. He was previously registered with Merrill Lynch in Boston, Massachusetts (1994-2011). He is a registered broker and investment adviser with 39 US states and territories. Continue Reading

Gary WarnerPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 27, 2016 indicate that California-based Capital Financial Services broker/adviser Gary Warner is the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Warner (CRD# 2784883).

Gary Warner has spent 19 years in the securities industry and has been registered with Capital Financial Services in Fresno, California since 2003. Previous registrations include ARM Securities Corporation in Minot, North Dakota (2000-2003) and Brecek & Young Advisors in Folsom, California (1996-2000). He is a registered broker and investment adviser in seven US states and territories: California, Idaho, North Carolina, Oregon, Texas, Utah, and Washington. Continue Reading

James IgnatowichPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 22, 2016 indicate that Florida-based Newbridge broker James Ignatowich is the subject of several customer complaints and one regulatory sanction. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ignatowich (CRD# 2490731).

James Ignatowich has spent twenty-one years in the securities industry and has been registered with Newbridge Securities Corporation in Boca Raton, Florida since 2014. Previous registrations include Investors Capital Corporation in Greenwich, Connecticut (2008-2014); Eastbrook Capital Group in New York, New York (2000-2008); Prime Charter in New York, New York (1997-2000); Janney Montgomery Scott in Philadelphia, Pennsylvania (1997); Whale Securities in New York, New York (1996-1997); and Prime Charter in New York, New York (1994-1996). He is a registered broker with 28 US states. Continue Reading

Lisa Wolf

According to public records provided by the Financial Industry Regulatory Authority (FINRA) on February 16, 2016, Illinois-based Merrill Lynch broker/adviser Lisa Wolf is the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms.Wolf (CRD# 1989869).

Lisa Wolf has spent 26 years in the securities industry and has been registered with Merrill Lynch in Chicago, Illinois since 1999. Previous registrations include Invest Financial Corporation in Tampa, Florida (1993-1999); Northern Trust Securities in Chicago, Illinois (1992-1999); and Investment Network in Franklin Park, Illinois (1989-1992). She is a registered broker and investment adviser in 24 US states. Continue Reading

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