Articles Tagged with Fraud

Timary DelormePublic records provided by the Financial Industry Regulatory Authority (FINRA) on August 8, 2016 indicate that California-based Wedbush Securities broker/adviser Timary Delorme has received customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Delorme (CRD# 736418).

Timary Delorme has spent 35 years in the securities industry and has been registered with Wedbush Securities in Costa Mesa and Los Angeles, California since 1981. She has no previous registrations. She is a registered broker and investment adviser with 30 US states and territories. Continue Reading

Arlon Enmeier Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that California-based Securities America broker/adviser Arlon Enmeier 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. Enmeier (CRD# 1000999).

Arlon Enmeier has spent 34 years in the securities industry and has been registered with Securities America in San Clemente, California since 1994. Previous registrations include Linsco/Private Ledger Corporation in Boston, Massachusetts; EBM World Network Incorporated; IDM Securities Corporation; All Services Financial Center; and University Securities. He is a registered broker and investment adviser with 23 US states and territories: Arizona, California, Colorado, Florida, Georgia, Hawaii, Idaho, Illinois, Kansas, Mississippi, Montana, Nebraska, Nevada, New York, Oklahoma, Oregon, Pennsylvania, South Carolina, Texas, Utah, Virginia, Washington, and Wisconsin. Continue Reading

Cheryl KitashimaPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that Washington-based Centaurus Financial broker/adviser Cheryl Kitashima has been 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 Ms. Kitashima (CRD# 729389).

Cheryl Kitashima has spent 35 years in the securities industry and has been registered with Centaurus Financial in Bellevue, Washington since 2005. Previous registrations include KMS Financial Services in Seattle, Washington; Pacific Harbor Securities in Highland, Utah; Royal Alliance Associates in New York, New York; Integrated Resources Equity Corporation; FSC Securities; and Waddell & Reed. She is a registered broker and investment adviser with nine US states and territories: Arizona, California, Colorado, Idaho, Montana, New Mexico, Oregon, Utah, and Washington. Continue Reading

 Shawn Devillier Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that Massachusetts-based Winslow Evans & Crocker broker/adviser Shawn Devillier 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. Devillier (CRD# 1730798).

Shawn Devillier has spent 28 years in the securities industry and has been registered with Winslow Evans & Crocker in Boston, Massachusetts since 2011. Previous registrations include Raymond James & Associates in Springfield, Massachusetts; Morgan Stanley DW in Purchase, New York; and Merrill Lynch in New York, New York. He is a registered broker and investment adviser with six US states: Colorado, Connecticut, Florida, Massachusetts, New York, and Texas. Continue Reading

Breitling EnergyPublicly available records provided by the Securities and Exchange Commission (SEC) on June 24, 2016 indicate that the SEC has filed charges against four companies and eight individuals in connection to a purported “$80 million oil and gas fraud” allegedly conducted by the CEO of Breitling Energy Corporation, Chris Faulkner. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Breitling Energy or Mr. Faulkner.

According to the SEC’s complaint, Chris Faulkner has been charged with “disseminated false and misleading offering materials, misappropriating millions of dollars of investor funds and attempting to manipulate BECC’s stock.” Breitling Energy has also been charged, and its securities are suspended from trading. Continue Reading

Thomas HokrPublic records provided by the Financial Industry Regulatory Authority (FINRA) on July 6, 2016 indicate that Minnesota-based Signator Investors broker/adviser Thomas Hokr 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. Hokr (CRD# 1194034).

Thomas Hokr has spent 32 years in the securities industry and has been registered with Signator Investors in Minneapolis and Maple Grove, Minnesota since March 2015. Previous registrations include Investors Capital Corporation in Bloomington, Minnesota; LPL Financial in Maple Grove, Minnesota; Royal Alliance Associates in New York, New York; Walnut Street Securities in El Segundo, California; and Cigna Securities in Radnor, Pennsylvania. He is a registered broker and investment adviser with eight US states: Arizona, California, Florida, Michigan, Minnesota, Nevada, Texas, and Wisconsin. Continue Reading

Mary Helen MallettPublic records provided by the Financial Industry Regulatory Authority (FINRA) on June 29, 2016 indicate that former Arizona-based Independent Financial broker Mary Helen Mallett, also known as Caprice Mallett and Mary Helen Caprice Mallett, 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 Ms. Mallett (CRD# 1345520).

Mary Helen Mallett has spent 27 years in the securities industry and was most recently registered with Independent Financial Group in Phoenix, Arizona (2011-2013). Previous registrations include Morgan Stanley in Phoenix (2010-2011); First Allied Securities in Phoenix (2003-2010); Walnut Street Securities in El Segundo, California (2003); Nathan & Lewis Securities in New York, New York (1998-2003); Washington Square Securities in Des Moines, Iowa (1990-1999); Pebsco Securities in Columbus, Ohio (1989-1992); John G. Kinnard and Company in Minneapolis, Minnesota (1988-1990); BJ Leonard & Company (1987-1988); NWNL Management Corporation (1987); and WS Griffith & Company (1985-1987). She is currently not registered with any firm or state. Continue Reading

Howard WenPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 22, 2016 indicate that California-based Morgan Stanley broker/adviser Howard Wen 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. Wen (CRD# 2833693).

Howard Wen has spent 18 years in the securities industry and has been registered with Morgan Stanley in Pasadena, California since March 2016. He was previously registered with Merrill Lynch in Pasadena, California (1998-2016). He is a registered broker and investment adviser with eight US states: California, Florida, Massachusetts, Michigan, New Jersey, New York, Pennsylvania, and Washington. Continue Reading

Claus FoersterPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on June 20, 2016 indicate that former South Carolina-based Raymond James broker Claus Foerster has been charged with fraud and wire fraud. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Foerster (CRD# 1912949).

Claus Foerster has spent 25 years in the securities industry and was most recently registered with Raymond James & Associates in Greenville, South Carolina (2013-2014). Previous registrations include Morgan Keegan & Company in Greenville, South Carolina (2008-2013); Citigroup Global Markets in Spartanburg, South Carolina (1997-2008); and JC Bradford & Company in New York, New York (1989-1997). He is currently not registered with any state or firm. Continue Reading

Jeffrey GiesekePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 20, 2016 indicate that former California-based Financial West Group broker Jeffrey Gieseke 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 Mr. Gieseke (CRD# 2331700), especially if these complaints related to investments in Vertical Fund private placements.

Jeffrey Gieseke has spent 17 years in the securities industry and was most recently registered with Financial West Group in Tarzana, California (1999-2012). Previous registrations include WM Financial Services in Irvine, California (1999); Gerwin Stinziano Securities in Thousand Oaks, California (1994-1997); and Travco Financial Group in Westlake Village, California (1993-1994). He is currently not registered with any state or firm. Continue Reading