Articles Tagged with FINRA Complaint

Stephen BrownPublic records provided by the Financial Industry Regulatory Authority (FINRA) on August 5, 2016 indicate that New York-based Stifel Nicolaus & Company broker/adviser Stephen Brown is the subject of a pending FINRA complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Brown (CRD# 1799847).

Stephen Brown has spent 28 years in the securities industry and has been registered with Stifel Nicolaus & Company in Fairport, New York since 2014. Previous registrations include Merrill Lynch in Pittsford, New York and PaineWebber in Weehawken, New Jersey. He is a registered broker with 23 US states and territories. 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

William Ditty Public records published by the Financial Industry Regulatory Authority (FINRA) on June 28, 2016 indicate that Ohio-based HD Vest Investment Services broker/adviser William Ditty, Jr. has been named in a pending FINRA complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ditty (CRD# 2143553).

William Ditty has spent 24 years in the securities industry and has been registered with HD Vest Investment Services in Dublin, Ohio since 1991. He has no previous registrations. He is a registered broker and investment adviser in Ohio. Continue Reading

Dion Padilla Public records published by the Financial Industry Regulatory Authority (FINRA) on June 22, 2016 indicate that Texas-based Next Financial Group broker/adviser Dion Padilla is the subject of a pending FINRA complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Padilla (CRD# 4432230).

Dion Padilla has spent 14 years in the securities industry and has been registered with Next Financial Group in San Antonio, Texas since 2006. Previous registrations include Securities America in La Vista, Nebraska; UBS Financial Services in Weehawken, New Jersey; Valic Financial Advisors in Houston, Texas; and Merrill Lynch in New York, New York. He is a registered broker and investment adviser with four US states: California, Colorado, Missouri, and Texas. Continue Reading

Leigh GarberBased on publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 22nd, 2016, New York-based National Securities and Adirondack Trading Group broker Leigh Garber is the subject of a pending regulatory complaint. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct related to Ms. Garber (CRD# 2768572).

Leigh Garber has spent seventeen years in the securities industry and has been registered with National Securities and Adirondack Trading Group in New Woodstock, New York since 2016 and 2010, respectively. Previous registrations include: Clayton Lowell & Conger in New Woodstock, New York (1998-2015); Newbridge Securities Corporation in New Woodstock, New York (2015); and IBN Financial Services in Liverpool, New York (2003). She is a registered broker in eleven US states: California, Connecticut, Indiana, Maine, Massachusetts, New Hampshire, New Mexico, New York, Ohio, Rhode Island, and Texas. Continue Reading