Articles Tagged with Independent Financial

Ernest CoxPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 1, 2016 indicate that California-based Independent Financial Group broker Ernest Cox 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. Cox (CRD# 4326252).

Ernest Cox has spent fifteen years in the securities industry and has been registered with Independent Financial Group in La Quinta, California since April 2016. Previous registrations include Fortune Financial Services in La Quinta, California; NFP Advisor Services in La Quinta, California; Commonwealth Financial Network in La Quinta, California; and Merrill Lynch in New York, New York. He is a registered broker with six US states and territories: California, Maryland, Massachusetts, Minnesota, North Carolina, and Rhode Island. He has passed two securities industries examinations: Series 7 (General Securities Representative Examination) and Series 66 (Uniform Combined State Law Examination).

According to his BrokerCheck report, Ernest Cox has received two customer complaints.

Mark Farwell Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that Illinois-based Independent Financial Group broker/adviser Mark Farwell has received customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Farwell (CRD# 1280076).

Mark Farwell has spent 26 years in the securities industry and has been registered with Independent Financial Group in Sleepy Hollow, Illinois since 2014. Previous registrations include LPL Financial in Gilberts, Illinois; US Bancorp Investments in Palatine, Illinois; Firstar Investment Services in Morris Plains, New Jersey; Laughlin Group Advisors in Lincoln, Nebraska; First of American Brokerage Service in Cleveland, Ohio; Essex National Securities in Napa, California; Hamilton Investments; FN Investment Center in Sacramento, California; Securities America in La Vista, Nebraska; and Waddell & Reed. He is a registered broker and investment adviser with four US states: California, Illinois, Ohio, and Wisconsin. Continue Reading

 Sean Agahi Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that California-based Independent Financial Group broker/adviser Sean Agahi 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 Mr. Agahi (CRD# 2448745).

Sean Agahi has spent 22 years in the securities industry and has been registered with Independent Financial Group in Folsom, California since August 2015. Previous registrations include First Allied Securities in San Ramon, California; Geneos Wealth Management in San Ramon, California; Securities America in La Vista, Nebraska; and Oak Brook Securities in Oakbrook Terrace, Illinois. He is a registered broker and investment adviser with Arizona, California, Nevada, and Texas. 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

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding California-based Independent Financial Group broker/adviser Morrie Reiff (CRD# 1317814).

Morrie Reiff has spent thirty years in the securities industry and has been registered with Independent Financial Group in Calabasas, California since 2010. Previous registrations include AFA Financial Group in Eagle, Idaho (2003-2010); Sentra Securities Corporation in Phoenix, Arizona (1998-2003); United Pacific Securities in Carlsbad, California (1992-1998); Titan/Value Equities Group in Irvine, California (1989-1992); Value Equities Corporation (1985-1989); and EAC Securities (1985). He is a registered broker and investment adviser in fourteen US states. Continue Reading

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding California-based Independent Financial broker/adviser Nicholas DeStefano (CRD# 2933489).

Nicholas DeStefano has spent sixteen years in the securities industry and has been registered with Independent Financial Group in Folsom, California since 2014. Previous registrations include WFG Investments in Dallas, Texas (2013-2014); Merrill Lynch in El Dorado Hills, California (2011-2013); WRP Investments in Folsom, California (2010); Securities America in Folsom, California (2009-2010); Brecek & Young Advisors in Folsom, California (2006-2009); Money Concepts Capital Corporation in Folsom, California (2003-2006); Equity Services in Montpelier, Vermont (1999-2002); Wells Fargo Securities in San Francisco, California (1999); Piper Jaffray in Minneapolis, Minnesota (1998-1999); and Pruco Securities Corporation in Newark, New Jersey (1997-1998). He is a registered broker and investment adviser in California and Idaho. Continue Reading

shutterstock_123948847According to records provided by the Financial Industry Regulatory Authority (FINRA), 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 hearing from investors who have complaints regarding Ms. Lee (CRD# 2846656).

Robyn Lee has spent eighteen 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_159512447According to the Financial Industry Regulatory Authority (FINRA), former Arizona-based Independent Financial broker Mary Helen Caprice Mallett 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. Mallett (CRD# 1345520).

Mary Helen Caprice 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). Married to former First Allied broker William “Bill” Tatro, Ms. Mallett is currently not registered with any firm or state. Continue Reading

stockfraud-wallstreetThe securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding California-based Independent Financial broker/adviser Angelo Talebi (CRD# 2243829).

Angelo Talebi has spent 23 years in the securities industry and has been registered with Independent Financial Group in Beverly Hills, California since 2014. Previous registrations include Royal Alliance Associates in Beverly Hills, California (2012-2014); LPL Financial in Beverly Hills, California (1999-2012); Securities America in La Vista, Nebraska (1995-1999); and Quest Capital Strategies in Lake Forest, California (1992-1995). Mr. Talebi is a registered broker and investment adviser in eleven US states.

According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, Angelo Talebi is the subject of nine customer complaints, seven pending customer complaints, eight denied customer complaints, and one FINRA investigation.

Continue Reading

Contact Information