Articles Tagged with Investors Capital

Gerard Figari

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 3, 2017 indicate that Florida-based Cetera Advisors broker/adviser Gerard Figari has been the subject of several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Figari (CRD# 1343962).

Gerard Figari has spent 31 years in the securities industry and has been registered with Cetera Advisors in Stuart, Florida since September 2016. Previous registrations include Investors Capital Corporation in Stuart, Florida; Makefield Securities Corporation in Stuart, Florida; Prudential Securities in New York, New York; Barnett Investments in Jacksonville, Florida; Shearson Lehman Hutton; and EF Hutton & Company. He is a registered broker and investment adviser with twelve US states and territories: Arizona, California, Florida, Georgia, Maryland, Massachusetts, New Jersey, New York, Pennsylvania, South Carolina, Texas, and Virginia.

According to his BrokerCheck report, he has received five customer complaints.

Robert EstevezPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 30, 2016 indicate that Connecticut-based Investors Capital broker Robert Estevez is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Estevez (CRD# 3161419).

Robert Estevez has spent seventeen years in the securities industry and has been registered with Investors Capital in Greenwich, Connecticut since 2008. He was previously registered with Eastbrook Capital Group, which has since been expelled by FINRA, in New York, New York (2001-2008), and Prime Charter in New York, New York (1998-2001). He is a registered broker with 41 US states and territories.

According to his BrokerCheck report, Robert Estevez has received one regulatory sanction, one pending customer complaint, and four customer complaints that were denied or withdrawn.

James ProtigalPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 23, 2016 indicate that former Florida-based Investors Capital broker James Protigal 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. Rowen (CRD# 2187244).

James Protigal has spent 24 years in the securities industry and was most recently registered with Investors Capital in Nokomis, Florida (2016). Previous registrations include Sagepoint Financial in Nokomis, Florida; Prime Capital Services in Nokomis, Florida; SII Investments in Appleton, Wisconsin; Southern Capital Securities in Tampa, Florida; Princor Financial Services in Des Moines, Iowa; Pruco Securities in Newark, New Jersey; and Waddell & Reed in Overland Park, Kansas. He is currently not registered with any state or firm. Continue Reading

Donnie Ingram Public records published by the Financial Industry Regulatory Authority (FINRA) on June 21, 2016 indicate that Florida-based Investors Capital broker/adviser Donnie Ingram has been the subject of settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ingram (CRD# 1416971).

Donnie Ingram has spent 30 years in the securities industry and has been registered with Investors Capital in Winter Haven, Florida since 1997. Previous registrations include IFG Network Securities in Atlanta, Georgia; Buckhead Financial Corporation; Walnut Street Securities in El Segundo, California; NAP Financial Corporation in Irvine, California; Mariner Financial Services in Largo, Florida; Berachah Securities Corporation; and Protective Equity Services. He is a registered broker and investment adviser with 17 US states and territories: California, Florida, Georgia, Hawaii, Idaho, Indiana, Kentucky, Louisiana, Massachusetts, Michigan, Missouri, New Hampshire, New Jersey, New York, North Carolina, South Carolina, and West Virginia. Continue Reading

New York-based Investors Capital broker/adviser Stanley Wong is the subject of more than a dozen customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wong (CRD# 809384).

Stanley Wong has spent 40 years in the securities industry and has been registered with Investors Capital in Newburgh, New York since 2006. Previous registrations include Oppenheimer & Company in Fishkill, New York; Commerce Capital Markets in Philadelphia, Pennsylvania; Fahnestock & Company in New York, New York; Prudential Securities in New York, New York; and Merrill Lynch. He is a registered broker and investment adviser  with sixteen US states and territories. Continue Reading

Noel VincentThe securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Texas-based Madison Avenue Securities broker/adviser Noel Vincent (CRD# 1370987).

Noel Vincent has spent twenty-five years in the securities industry and has been registered with Madison Avenue Securities in Houston, Texas since 2009. Previous registrations include Investors Capital in Houston, Texas (2001-2009); Planmember Securities in Carpinteria, California (1999-2001); AAG Securities in Cincinnati, Ohio (1997-1998); and Aragon Financial Services in Irvine, California (1989-1996). Continue Reading

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