Articles Tagged with FINRA Arbitration

Wendy Feldman Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on June 7, 2016 indicate that Washington DC-based Morgan Stanley broker/adviser Wendy Feldman is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Feldman (CRD# 1946800).

Wendy Feldman has spent 26 years in the securities industry and has been registered with Morgan Stanley in Washington, DC since 2009. Previous registrations include Morgan Stanley & Company in Washington, DC (2008-2009); Wachovia Securities in Washington, DC (2003-2008); Prudential Securities in New York, New York (1993-2003); Smith Barney Shearson in New York, New York (1993); and Lehman Brothers in New York, New York (1989-1993). She is a registered broker and investment adviser with 23 US states and territories. Continue Reading

Keith HartFormer New York-based Aegis broker Keith Hart is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hart (CRD# 4438580).

Keith Hart has spent 14 years in the securities industry and was most recently registered with the following firms: Aegis Capital in Melville, New York (2014-2015). Previous registrations include Rockwell Global Capital in Melville, New York (2014); Global Arena Capital in Melville, New York (2013-2014); National Securities in Westbury, New York (2013); Newport Coast Securities in Westbury, New York (2010-2013); Prestige Financial Center in Garden City, New York (2008-2010); Newbridge Securities in Farmingdale, New York (2007-2008); and Joseph Stevens & Company in Melville, New York (2001-2007). One of his former employers, Prestige Financial Center, has since been expelled by FINRA. He is currently not registered with any state or firm. Continue Reading

Robyn LeePublicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 2, 2016 indicate that former California-based Independent Financial Group broker Robyn Lee is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Lee (CRD# 2846656).

Robyn Lee has spent 18 years in the securities industry and was most recently registered with Independent Financial Group in San Mateo, California (2007-2015). Previous registrations include Berthel Fisher & Company in Burlingame, California (2004-2007); ePlanning Securities in Roseville, California (2002-2004); Securities America in La Vista, Nebraska (2000-2002); Passport Securities in Burlingame, California (1999-2000); Capital Brokerage Corporation in Richmond, Virginia (1997-1999); and McClurg Capital Corporation in Rafael, California (1997-1998). She is currently not registered with any state or firm. Continue Reading

shutterstock_120747304Public records provided by the Financial Industry Regulatory Authority (FINRA) on March 2, 2016 indicate that New Jersey-based Cantone broker Raymond DeRobbio is the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. DeRobbio (CRD# 1092310).

Raymond DeRobbio has spent 31 years in the securities industry and has been registered with Cantone Research Incorporated in Tinton Falls, New Jersey since 2013. Previous registrations include Northeastern Financial Group in Newton, Massachusetts (2012-2013); JP Turner & Company in Red Bank, New Jersey (2006-2012); Andrew Alexander Wise & Company in New York, New York (2003); Prime Capital Services in Poughkeepsie, New York (2002-2003); and ten other broker-dealer firms. Mr. DeRobbio is a registered broker with 16 US states: California, Connecticut, Florida, Georgia, Hawaii, Michigan, Montana, Nevada, New Jersey, New York, Ohio, Pennsylvania, Texas, Virginia, Washington, and Wisconsin. Continue Reading

Corbin ThomasPublic records published by the Financial Industry Regulatory Authority (FINRA) on March 2, 2016 indicate that California-based McDermott Investment Services broker Corbin Thomas 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. Thomas (CRD# 4234748).

Corbin Thomas has spent fifteen years in the securities industry and has been registered with McDermott Investment Services in Huntington Beach, California since 2012. Previous registrations include Centaurus Financial in Orange, California (2009-2012); Direct Capital Services in Costa Mesa, California (2004-2009); MCL Financial Group in Santa Ana, California (2003-2004); and NNN Capital Corporation in Santa Ana, California (2000-2003). He is a registered broker in 44 US states and territories. Continue Reading

Richard ReissPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 23, 2016 state that New Jersey-based Morgan Stanley broker/adviser Richard Reiss 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. Reiss (CRD# 1004733).

Richard Reiss has spent 34 years in the securities industry and has been registered with Morgan Stanley in Short Hills, New Jersey since 2009. Previous registrations include Morgan Stanley & Company in Short Hills, New Jersey (2008-2009); Merrill Lynch in Short Hills, New Jersey (1991-2008); Dean Witter Reynolds in Purchase, New York (1987-1991); Kidder Peabody & Company (1985-1987); Brever Bresler & Schulman (1983-1985); and Hanauer Stern & Company (1981-1983). He is a registered broker and investment adviser with 22 US states and territories. Continue Reading