Articles Tagged with Margin

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John SaccentePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that New York-based Cova Capital Partners broker John Saccente has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Saccente (CRD# 2581445).

John Saccente has spent 11 years in the securities industry and has been registered with Cova Capital Partners in New York, New York since April 2016. Previous registrations include Legend Securities in Syosset, New York; Tryco Securities in Melville, New York; Brookville Capital Partners, which has since been expelled by FINRA, in Melville, New York; John Thomas Financial, which has since been expelled by FINRA, in New York, New York; Meyers Associates in New York, New York; Blackwall Capital Partners in New York, New York; Brookville Capital Partners, which has since been expelled by FINRA, in Uniondale, New York; EKN Financial, which has since been expelled by FINRA, in Melville, New York; New Castle Financial Services, which has since been expelled by FINRA, in New York, New York; and Great Eastern Securities in New York, New York. He is a registered broker and investment adviser with 18 US states and territories: California, the District of Columbia, Illinois, Indiana, Iowa, Kansas, Louisiana, Minnesota, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, Rhode Island, South Carolina, Vermont, Washington, and West Virginia. Continue Reading

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Rabinder DeshmukhPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 5, 2016 indicate that Florida-based Ameriprise Financial Services broker/adviser Rabinder Deshmukh, also known as Ravi Deshmukh, has received several resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Deshmukh (CRD# 5293748).

Rabinder Deshmukh has nine years in the securities industry and has been registered with Ameriprise Financial Services in Miami, Florida since August 2015. Previous registrations include JHS Capital Advisors in Miami, Florida and NSM Securities in West Palm Beach, Florida (2007-2013), which has since been expelled by FINRA. He is a registered broker and investment adviser with 28 US states and territories. Continue Reading

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Donald RasweilerPublic records provided by the Financial Industry Regulatory Authority (FINRA) on June 16, 2016 indicate that former New Jersey-based Wells Fargo Advisors broker/advisor Donald Rasweiler 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. Rasweiler (CRD# 1142752).

Donald Rasweiler has spent 29 years in the securities industry and has been registered with Wells Fargo Advisors in Short Hills, New Jersey since 2012. Previous registrations include Morgan Stanley Smith Barney in Short Hills, New Jersey; Morgan Stanley & Company in Short Hills, New Jersey; Bear Stearns & Company in Whippany, New Jersey; AG Edwards & Sons in St. Louis, Missouri; Prudential Securities in New York, New York; Merrill Lynch in New York, New York; Smith Barney in New York, New York; Lehman Brothers in New York, New York; and Merrill Lynch in New York, New York. He is a registered broker and investment adviser with 13 US states and territories: Arizona, California, Connecticut, Delaware, Florida, Georgia, Louisiana, Maine, Maryland, Massachusetts, New Jersey, New York, and Pennsylvania. Continue Reading

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Gregory LourdinPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 7, 2016 indicate that New York-based Newbridge broker Gregory Lourdin has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lourdin (CRD# 4152768).

Gregory Lourdin has spent 15 years in the securities industry and has been registered with Newbridge Securities Corporation in New York, New York since March 2016. Previous registrations include National Securities Corporation in New York, New York; Chase Investment Services in New York, New York; Capital Growth Financial in New York, New York; Arjent Services in Greenwich, Connecticut; and First Republic Group in New York, New York. Two of Mr. Lourdin’s former employers, Capital Growth Financial and First Republic Group, have since been expelled by FINRA. He is a registered broker with 18 US states and territories: Alabama, California, Connecticut, Florida, Indiana, Iowa, Minnesota, Mississippi, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, Texas, Washington, and Wisconsin. Continue Reading

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Fletcher BookoutPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 2, 2016 indicate that Texas-based First Financial Equity broker/adviser Fletcher Bookout 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. Bookout (CRD# 2219065).

Fletcher Bookout has spent 22 years in the securities industry and has been registered with First Financial Equity Corporation in Dallas, Texas since March 2015. Previous registrations include Morgan Stanley in Dallas, Texas; Wells Fargo Advisors in Dallas, Texas; Lehman Brothers in New York, New York; Morgan Stanley DW in Purchase, New York; Bear Stearns & Company in New York, New York; Prudential Securities in New York, New York; and HYM Financial in Clifton, New Jersey. He is a registered broker and investment adviser with three US states: New Mexico, Oklahoma and Texas. Continue Reading

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Robert Giusti Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 30, 2016 indicate that New York-based Wells Fargo broker/adviser Robert Giusti has received customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Giusti (CRD# 2634528).

Robert Giusi has spent 19 years in the securities industry and has been registered with Wells Fargo Advisors in New York, New York since 2013. Previous registrations include Merrill Lynch in New York, New York (2009-2013); Morgan Stanley in New York, New York (2006-2009); Citigroup Global Markets in New York, New York (2001-2005; 2006-2009); HSBC Securities in New York, New York (2005-2006); Morgan Stanley in Purchase, New York (2000-2001); Citicorp Investment Services in Long Island City, New York (1998-2000); First United Equities Corporation in New York, New York (1997); National Discount Brokers in Omaha, Nebraska (1996); and DH Blair & Company in New York, New York (1995-1996). He is a registered broker and investment adviser in eight US states: California, Florida, Maryland, Massachusetts, New Jersey, New York, Pennsylvania, and South Carolina. Continue Reading

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Philip BrisardFormer New York-based Ridgeway & Conger broker 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. Brisard (CRD# 2646923).

Philip Brisard has spent 19 years in the securities industry and was most recently registered with Ridgeway & Conger in Jericho, New York (2009-2016). Previous registrations include Gunnallen Financial in New York, New York; Raymond James Financial in St. Petersburg, Florida; National Securities Corporation in Seattle, Washington; IAR Securities in New York, New York; Ash & Company in Great Neck, New York; and HGI in Jericho, New York. Two of Mr. Brisard’s former employers, IAR Securities and HGI, have since been expelled by FINRA. He is currently not registered with any state or firm. Continue Reading

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Christopher PaulPublic records provided by the Financial Industry Regulatory Authority (FINRA) on February 29th, 2016 indicate that former New York-based Joseph Stone Capital broker Christopher Paul is the subject of several settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Christopher Paul (CRD# 3226861).

Christopher Paul has spent 14 years in the securities industry and was most recently registered with Joseph Stone Capital in Mineola, New York (2014-2015). Previous registrations include Aegis Capital in New York, New York (2012-2014); Rockwell Securities in New York, New York (2008-2012); Arjent Services in New York, New York (2006-2008); VC Arjent, which has since been expelled by FINRA, in New York, New York (2006); Granite Associates in Melville, New York (2005-2006); Whitaker Securities in Melville, New York (2006); and SW Bach & Company in Port Washington, New York (2001-2005). He is currently not registered with any state or firm. Continue Reading

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James IgnatowichPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 22, 2016 indicate that Florida-based Newbridge broker James Ignatowich is the subject of several customer complaints and one regulatory sanction. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ignatowich (CRD# 2490731).

James Ignatowich has spent twenty-one 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). He is a registered broker with 28 US states. Continue Reading

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Charles FriedaAccording to public records provided by the Financial Industry Regulatory Authority (FINRA) on February 16, 2016, California-based Wells Fargo Advisors broker/adviser Charles Frieda is the subject of a dozen 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. Frieda (CRED# 5502319).

Charles Frieda has spent seven years in the securities industry and has been registered with Wells Fargo Advisors in Irvine, California since 2012. Previous registrations include Morgan Stanley in Brea, California (2009-2012) and Citigroup Global Markets in Brea, California (2008-2009). He is a registered broker and investment adviser with ten US states and territories: Arizona, California, Colorado, Delaware, Hawaii, Illinois, Nebraska, North Carolina, Tennessee, and Texas. Continue Reading

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