Articles Tagged with Failure to Supervise

Yvonne SilgueroYvonne Silguero (CRD#: 3211495), a registered representative with LPL Financial LLC in McAllen, Texas and Brownsville, Texas, is currently involved in a $500,000 dispute over misrepresentation, according to her BrokerCheck report accessed on October 2, 2019. A client, who filed a complaint on August 9, 2019, alleges that Yvonne Silguero engaged in “negligence, gross negligence, misrepresentation, omission of material facts, breach of fiduciary duty through failure to supervise, and breach of contract” from July 2014 to October 2018.

Yvonne Silguero is also currently involved in a second customer dispute. Filing a complaint on April 12, 2017, a customer alleged that he was sold “unsuitable products for which he was not eligible.”

Yvonne Silguero has enjoyed a 20-year career in the securities industry. Before joining LPL Financial LLC (CRD#: 6413) in 2008, Yvonne Silguero worked for Raymond James Financial Services, Inc. (CRD#: 6694) in Pharr, Texas.

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

Austin DuttonPublic records published by the Financial Industry Regulatory Authority (FINRA) on July 6, 2016 indicate that Pennsylvania-based Newbridge Securities Corporation broker/adviser Austin Dutton Jr. has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Dutton (CRD# 2739167).

Austin Dutton has spent 19 years in the securities industry and has been registered with Newbridge Securities Corporation in Doylestown, Pennsylvania since 2007. Previous registrations include Boenning & Scattergood in Langhorne, Pennsylvania; Ferris Baker Watts in Baltimore, Maryland; AG Edward & Sons in St. Louis, Missouri; and Prudential Securities in New York, New York. He is a registered broker and investment adviser with ten US states and territories: California, Delaware, Florida, Maryland, New Jersey, New York, North Carolina, Pennsylvania, Texas and Utah. Continue Reading

Sperry YoungerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 29, 2016 indicate that New York-based NMS broker Sperry Younger is the subject of a pending regulatory complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Younger (CRD# 2771029).

Sperry Younger has spent 17 years in the securities industry and has been registered with NMS Capital Advisors in New York, New York since October 2015. Previous registrations include Avenir Financial Group in New York, New York (2015); J. Streicher Capital in New York, New York (2014-2015); Rothschild Lieberman in New York, New York (2014-2015); NMS Capital Securities in New York, New York (2012-2014); John Carris Investments in Hoboken, New Jersey (2010-2012); Charles Morgan Securities in New York, New York (2003-2006); D. Weickstein & Company in New York, New York (2002-2003); Hornblower & Weeks in New York, New York (1999-2002); Dupont Securities Group in New York, New York (1999); FAB Securities of America in New York, New York (1999); Royal Hutton Securities in New York, New York (1997); and Toluca Pacific Securities in Burbank, California (1996). Of Mr. Younger’s former employers, four have since been expelled by the Financial Industry Regulatory Authority (FINRA): John Carris Investments, Hornblower & Weeks, Dupont Securities, and Royal Hutton Securities. He is a registered broker in California, Connecticut, Indiana, and New York. Continue Reading

Mario GogliormellaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 16, 2016 indicate that New York-based Legend Securities broker Mario Gogliormella 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. Gogliormella (CRD# 3097531).

Mario Gogliormella has spent five years in the securities industry and has been registered with Legend Securities in New York, New York since 2010. He was previously registered with First Midwest Securities in New York (2010). Mr. Gogliormella is a registered broker with 50 US states and territories. Continue Reading

Richard Franchella Public records published by the Financial Industry Regulatory Authority (FINRA) on June 6, 2016 indicate that Pennsylvania-based Morgan Stanley broker/adviser Richard Franchella has received customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Franchella (CRD# 1245432).

Richard Franchella has spent 31 years in the securities industry and has been registered with Morgan Stanley in Camp Hill, Pennsylvania since 2011. Previous registrations include RBC Capital Markets in New York, New York; Legg Mason Wood Walker in Baltimore, Maryland; Wachovia Securities in St. Louis, Missouri; Prudential Securities in New York, New York; PaineWebber Incorporated in Weehawken, New Jersey; and Merrill Lynch. He is a registered broker and investment adviser with eight US states: California, Connecticut, Florida, Maryland, New Jersey, New York, Pennsylvania, and New York. Continue Reading

Keith DaubenspeckPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 20, 2016 indicate that former Indiana-based American Trust Investment Services broker Keith Daubenspeck is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Daubenspeck (CRD# 1463372).

Keith Daubenspeck has spent 28 years in the securities industry and was most recently registered with American Trust Investment Services in Whiting, Indiana (2014-2016). Previous registrations include Advanced Equities, which has since been expelled by FINRA, in Chicago, Illinois; Primex in New York, New York; Madison Securities in Chicago, Illinois; Lexington Securities in Chicago, Illinois; Stifel Nicolaus in St. Louis, Missouri; Oppenheimer & Company in New York, New York; Shearson Lehman Hutton in New York, New York; Bear Stearns & Company; LF Rothschild & Company; Moseley Securities Corporation; and Blinder Robinson & Company. He is currently not registered with any state or firm. Continue Reading

Gary HaindelPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 2, 2016 indicate that Louisiana-based Sterne Agee Financial Services broker/adviser Gary Haindel is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Haindel (CRD# 2336360).

Gary Haindel has spent 23 years in the securities industry and has been registered with Sterne Agee Financial Services in Baton Rouge, Louisiana since May 2015. Previous registrations include Sterne Agee & Leach in Baton Rouge, Louisiana (2009-2015); Multi-Financial Securities Corporation in Baton Rouge, Louisiana (2009); Stanford Group Company in Baton Rouge, Louisiana (2000-2009); and Merrill Lynch in New York, New York (1993-2000). He is a registered broker and investment adviser in 11 US states and territories: Alabama, the District of Columbia, Florida, Georgia, Louisiana, Massachusetts, Mississippi, New York, Oklahoma, Pennsylvania, and Texas. Continue Reading

Jeremy GottliebPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 22, 2016 indicate that California-based LPL Financial broker/adviser Jeremy Gottlieb is the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gottlieb (CRD# 1663077).

Jeremy Gottlieb has spent 26 years in the securities industry and has been registered with LPL Financial in Carlsbad, California since 2011. Previous registrations include Lucia Securities in San Diego, California (2011); First Allied Securities in San Diego, California (2007-2011); Securities America in San Diego, California (1998-2007); Walnut Street Securities in El Segundo, California (1993-1998); Northwestern Mutual Investment Services in Milwaukee, Wisconsin (1991-1993); Robert W. Baird & Company in Milwaukee, Wisconsin (1991-1992); Walnut Street Securities in El Segundo, California (1988-1989); and Integrated Resources Equity Corporation (1987-1988). He is a registered broker and investment adviser in 20 US states and territories. Continue Reading

Frank AvalloneConnecticut-based National Securities broker Frank Avallone 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. Avallone (CRD# 4814368).

Frank Avallone has spent eleven years in the securities industry and has been registered with National Securities Corporation in South Norwalk, Connecticut since October 2015. Previous registrations include Newbridge Securities Corporation in New York, New York (2012-2015); Global Arena Capital Corporation in New York, New York (2012); First Midwest Securities in New York, New York (2011-2012); Maxim Group in New York, New York (2008-2011); and Eastbrook Capital Group in New York, New York (2004-2008). He is a registered broker with 37 US states and territories. Continue Reading