Articles Tagged with misrepresentation

Trevor WurtzebachPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 8, 2016 indicate that Illinois-based JP Morgan broker/adviser Trevor Wurtzebach 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. Wurtzebach (CRD# 5134519).

Trevor Wurtzebach has spent nine years in the securities industry and has been registered with JP Morgan in Wilmette, Illinois since April 2016. Previous registrations include JP Morgan Securities in Chicago, Illinois (2014-2016); Sigma Financial Corporation in Chicago, Illinois (2010-2013); and National Securities Corporation in Chicago, Illinois (2006-2010). He is a registered broker and investment adviser five US states and territories: California, Florida, Illinois, North Carolina, and Texas. Continue Reading

Stephen BrownPublic records provided by the Financial Industry Regulatory Authority (FINRA) on August 5, 2016 indicate that New York-based Stifel Nicolaus & Company broker/adviser Stephen Brown is the subject of a pending FINRA complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Brown (CRD# 1799847).

Stephen Brown has spent 28 years in the securities industry and has been registered with Stifel Nicolaus & Company in Fairport, New York since 2014. Previous registrations include Merrill Lynch in Pittsford, New York and PaineWebber in Weehawken, New Jersey. He is a registered broker with 23 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

David PettyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that Alabama-based Raymond James & Associates broker/adviser David Petty has received numerous customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Petty (CRD# 2031149).

David Petty has spent 26 years in the securities industry and has been registered with Raymond James & Associates in Montgomery, Alabama since 2013. Previous registrations include Morgan Keegan & Company in Montgomery, Alabama; Regions Investment Company in Birmingham, Alabama; American Express Financial Advisors in Minneapolis, Minnesota; IDS Life Insurance Company in Minneapolis, Minnesota; and the Stuart-James Company in Denver, Colorado. He is a registered broker and investment adviser with nine US states and territories: Alabama, Florida, Georgia, Maryland, Mississippi, North Carolina, Tennessee, Texas, and Virginia. Continue Reading

Eric SparlingPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 5, 2016 indicate that Ohio-based Investment Professionals broker/adviser Eric Sparling 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. Sparling (CRD# 2575062).

Eric Sparling has spent 20 years in the securities industry and has been registered with Investment Professionals in Marion, Ohio since March 2016. Previous registrations include JP Morgan Securities in Marion, Ohio; Chase Investment Services in Marion, Ohio; Fidelity Brokerage Services; Lincoln Financial Advisors in Fort Wayne, Indiana; the Lincoln National Life Insurance Company in Fort Wayne, Indiana; New England Securities in New York, New York; State Farm VP Corporation in Bloomington, Illinois; and Pruco Securities in Newark, New Jersey. He is a registered broker and investment adviser in Ohio. Continue Reading

Samuel Herbert Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Louisiana-based NYLife Securities broker/adviser Samuel Herbert has been the subject of numerous customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Herbert (CRD# 2679181).

Samuel Herbert has spent 20 years in the securities industry and has been registered with NYLife Securities in Lake Charles, Louisiana since 1995. He has no previous registrations. He is a registered broker and investment adviser with fourteen US states and territories: Alabama, Arizona, Arkansas, Louisiana, Maryland, Mississippi, New Jersey, New Mexico, New York, Oklahoma, Pennsylvania, South Dakota, Tennessee, and Texas. Continue Reading

Carlo Corzine Public records published by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Florida-based Dawson James Financial broker Carlo Corzine is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Corzine (CRD# 1928723).

Carlo Corzine has spent 26 years in the securities industry and has been registered with Dawson James Securities in Boca Raton, Florida since 2012. Previous registrations include Hamershlag Sulzberger Borg Capital Markets in New York, New York; Buckman Buckman & Reid in Boca Raton, Florida; Newbridge Securities in Boca Raton, Florida; Sterling Financial Investment Group, which has since been expelled by FINRA, in Boca Raton, Florida; Round Hill Securities in Alamo, California; Northeast Securities in Mitchelfield, New York; PCM Securities in Green Acres, Florida; Southeast Research Partners in Melville, New York; Josephthal Lyon & Ross in New York, New York; JW Gant & Associates; and Shearson Lehman Hutton in New York, New York. He is a registered broker and investment adviser with 16 US states and territories: Arizona, California, Delaware, Florida, Georgia, Indiana, Minnesota, Missouri, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Texas, Virginia, and Washington. Continue Reading

Lawrence GoldsteinPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that California-based Oppenheimer broker/adviser Lawrence Goldstein has received several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Goldstein (CRD# 3223787).

Lawrence Goldstein has spent 17 years in the securities industry and has been registered with Oppenheimer & Company in Los Angeles, California since 2003. Previous registrations include CIBC World Markets in New York, New York (2001-2003) and PaineWebber in Weehawken, New Jersey (1999-2001). He is a registered broker and investment adviser with 23 US states and territories: Alabama, Arizona, California, Colorado, Connecticut, Florida, Georgia, Hawaii, Iowa, Louisiana, Maryland, Michigan, Minnesota, Missouri, Nevada, New Jersey, New York, North Carolina, Pennsylvania, South Dakota, Tennessee, Texas, and Washington. Continue Reading

Karley CartoPublicly available records published by the Financial Industry Regulatory Authority on July 27, 2016 indicate that Rhode Island-based MML Investors Services broker Karley Carto has been named in a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Carto (CRD# 6055603).

Karley Carto has spent four years in the securities industry and has been registered with MML Investors Services in Warwick, Rhode Island since September 2015. She was previously registered with NYLife Securities in Johnston, Rhode Island (2012-2015). She is a registered broker and investment adviser with six US states: Arizona, Connecticut, Massachusetts, New Hampshire, Rhode Island, and South Dakota. Continue Reading