Articles Tagged with GMS Group

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Cormac MaughanPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 30, 2017 indicate that New Jersey-based GMS Group broker Cormac Maughan has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Maughan (CRD# 1528683).

Cormac Maughan has spent 31 years in the securities industry and has been registered with The GMS Group in Livingston, New Jersey since 2004. Previous registrations include AG Edwards & Sons in St. Louis, Missouri (1995-2004); Nori Hennion Walsh in Parsippany, New Jersey (1990-1995); and Municipal Investors Service in Newark, New Jersey (1986-1990). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 26, 1986; Series 7 (General Securities Representative Examination), which he obtained on March 21, 1987; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 11, 1986. He is a registered broker with 18 US states and territories: Alabama, Arizona, California, Colorado, Connecticut, Florida, Hawaii, Illinois, Iowa, Massachusetts, New Hampshire, New Jersey, New York, Pennsylvania, South Carolina, Texas, Virginia and Washington. He is registered with two self-regulatory organizations: FINRA and the Nasdaq Stock Market.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and two regulatory sanctions.

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Carmine CaponePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that Florida-based GMS Group broker Carmine Capone has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Capone (CRD# 1124455).

Carmine Capone has spent 32 years in the securities industry and has been registered with the GMS Group in Boca Raton, Florida since 1988. Previous registrations include Moore & Schley, Cameron & Company; Moore & Schley Municipals; EF Hutton & Company; Donald Sheldon & Company; Halpert Oberst & Company; and William M. Cadden & Company. He is a registered broker with 25 US states and territories. Continue reading →