Articles Tagged with Florida

Edward BargerPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 23rd, 2016 indicate that Florida-based Morgan Stanley broker/adviser Edward Barger is the subject of a pending customer complaint and several regulatory sanctions. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Barger (CRD# 1360282).

Edward Barger has spent 28 years in the securities industry and has been registered with Morgan Stanley in Miami, Florida since 2009. Previous registrations include Morgan Stanley & Company in Coral Gables, Florida; Citigroup Global Markets in Coral Gables, Florida; Lehman Brothers in New York, New York; Robert Thomas Securities in St. Petersburg, Florida; Municicorp of California; Smith Barney Harris Upham & Company; and BOCL Securities. He is a registered broker and investment adviser with sixteen US states and territories. Continue Reading

Susan MooreThe securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Alabama-based LPL broker/adviser Susan Moore (CRD# 1130216).

Susan Moore has spent 32 years in the securities industry and has been registered with LPL Financial in Alexander City and Montgomery, Florida since 2006. Previous registrations include Raymond James Financial Services in Alexander City, Alabama (1999-2006); Robert Thomas Securities in St. Petersburg, Florida (1991-1999); and Prudential Securities Corporation in New York, New York (1983-1991). She is a registered broker in 30 US states and territories. Continue Reading

shutterstock_152162204According to records provided by the Financial Industry Regulatory Authority (FINRA), former Florida-based RBC broker Paul Blum 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. Blum (CRD# 735003).

Paul Blum has spent 34 years in the securities industry and was most recently registered with RBC Capital Markets in West Palm Beach, Florida (2009-2015). Previous registrations include JB Hanauer & Company in West Palm Beach, Florida (1991-2009); Prudential-Bache Securities in New York, New York (1990-1991); and JB Hanauer & Company in Parsippany, New York (1981-1990). He is currently not registered with any state or firm. Continue Reading

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing form investors who have complaints pertaining to Florida-based UBS broker/adviser Rosario “Ross” Cammarata (CRD# 2510256).

Rosario “Ross” Cammarata has spent twenty years in the securities industry and has been registered with UBS Financial Services in Fort Lauderdale, Florida since 2011. Previous registrations include Raymond James & Associates in Fort Lauderdale, Florida (2006-2011); Janney Montgomery Scott in Fort Lauderdale, Florida (2000-2006); and Gruntal & Company (1995-2000). He is a registered broker and investment adviser in 24 US states and territories. Continue Reading

The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Florida-based Newbridge broker James Ignatowich (CRD# 2490731).

James Ignatowich has spent 21 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). Continue Reading

shutterstock_164764706The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Florida-based Summit broker/adviser Robin Davis (CRD# 1325295).

Robin Davis has spent thirty years in the securities industry and has been registered with Summit Brokerage Services in Stuart, Florida since 2009. Previous registrations include Mutual Service Corporation in Stuart, Florida (1988-2009) and First Investors Corporation (1984-1988).

According to his BrokerCheck report, Robin Davis is the subject of five customer complaints, one pending customer complaint, and three regulatory sanctions.

In 2014 a customer alleged Robin Davis, while employed at Mutual Service Corporation, made unsuitable investment recommendations. The complaint settled in 2015 for $66,000.

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shutterstock_120747304The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Florida-based IFS broker David King (CRD# 1217209).

David King has spent thirty years in the securities industry and has been registered with IFS Securities in Tampa, Florida since 2015. Previous registrations include J.P. Turner & Company in Tampa, Florida (2010-2015); Gunnallen Financial in Tampa, Florida (2009-2010); Wachovia Securities in Williamsville, Florida (2000-2009); A.G. Edwards & Sons in St. Louis, Missouri (1995-2000); FSC Securities in Atlanta, Georgia (1993-1995); Carillon Investments in Cincinnati, Ohio (1991-1993); John Hancock Distributors in Boston, Massachusetts (1989-1991); John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1989-1991); and PML Securities Company (1984-1988). Mr. King is a broker registered in thirteen US states.

According to his BrokerCheck report, David King is the subject of one customer complaint and one pending customer complaint.

In 2013 a customer alleged David King, while employed at Wachovia Securities, misrepresented and recommended unsuitable investments in closed-end funds. The complaint settled in 2015 for $25,000.

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