Articles Tagged with National Securities

Craig Bonn

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that New York-based National Securities broker Craig Bonn has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bonn (CRD# 2280460).

Craig Bonn has spent 25 years in the securities industry and has been registered with National Securities Corporation in New York, New York since 2016. Previous registrations include Laidlaw & Company in New York, New York (2004-2016); Sands Brothers & Company in New York, New York (1994-2004); Painewebber in Weehawken, New Jersey (1993-1994); and Lehman Brothers in New York, New York (1993-1994). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 3, 1993, and Series 7 (General Securities Representative Examination), which he obtained on February 19, 1993. He is a registered broker with 47 US states and territories.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one customer complaint that was withdrawn.

Edward Mirabella

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 5, 2018 indicate that former New Jersey-based National Securities broker Edward Mirabella has received several resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Mirabella (CRD# 2843670).

Edward Mirabella has spent 13 years in the securities industry and was most recently registered with National Securities in Edison, New Jersey (2009-2016). Previous registrations include Aura Financial Services in Islandia, New York (2008-2009); JP Turner & Company in Melville, New York (2006-2008); Westpark Capital in Melville, New York (2006-2008); Salomon Grey Financial in Dallas, Texas (2002-2006); and Murjen Financial in Jericho, New York (2002). He is currently not registered with any state or firm. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 28, 2002, and Series 7 (General Securities Representative Examination), which he obtained on February 26, 2002. He is currently not affiliated with any broker-dealer firm.

According to his BrokerCheck report, he has received three customer complaints, two pending customer complaints, and two unresolved tax liens.

James PiffPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 7, 2017 indicate that Illinois-based National Securities broker James Piff has received customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Piff (CRD# 1991874).

James Piff has spent 25 years in the securities industry and has been registered with National Securities Corporation in Lombard, Illinois since July 2017. Previous registrations include Midtown Partners in Chicago, Illinois (2016-2017); Paulson Investment Company in Portland, Oregon (2014-2015); Feltl & Company in Minnetonka, Minnesota (2012-2014); Advanced Equities in Chicago, Illinois (2003-2012); David A. Noyes & Company in Chicago, Illinois (1994-2002); Prudential Securities in New York, New York (1992-1994); Merrill Lynch in New York, New York (1991-1992); American Express Financial Advisors in Minneapolis, Minnesota (1990-1991); IDS Life Insurance Company in Minneapolis, Minnesota (1990-1991); William Barton Financial (1990); Boucher Oehmke & Company (1990); and Blinder Robinson & Company (1989). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 24 (General Securities Principal Examination). He is a registered broker with three US states: California, Illinois, and Wisconsin.

According to his BrokeCheck report, he has received two customer complaints.

David Mandra Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 31, 2017 indicate that New Jersey-based National Securities broker David Mandra has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Mandra (CRD# 2749551).

David Mandra has spent sixteen years in the securities industry and has been registered with National Securities Corporation in Eatontown, New Jersey since 2013. Previous registrations include Wunderlich Securities in Morristown, New Jersey; National Securities in Morristown, New Jersey; Joseph Stevens & Company in Old Bridge, New Jersey; JP Turner & Company in Atlanta, Georgia; International Securities Corporation in New York, New York; Prime Capital Services in Poughkeepsie, New York; and LCP Capital Corporation in Staten Island, New York. He is a registered broker and investment adviser with 17 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Idaho, Illinois, Kansas, New Jersey, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, South Carolina, Texas and Vermont.

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

Ralph MarraPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 12, 2017 indicate that Florida and New Jersey-based National Securities broker Ralph Marra has been sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Marra (CRD# 2128560).

Ralph Marra has spent 26 years in the securities industry and has been registered with National Securities Corporation in Eatontown, New Jersey and Clearwater, Florida since May 2015. Previous registrations include Morgan Stanley in Shrewsbury, New Jersey; UBS Financial Services in Red Bank, New Jersey; Merrill Lynch in Red Bank, New Jersey; Dean Witter Reynolds in Purchase, New York; Prudential Securities Corporation in New York, New York; Donald & Company Securities in Tinton Falls, New Jersey; and Hibbard Brown & Company in New York, New York. He is a registered broker and investment adviser with 18 US states and territories.

According to his BrokerCheck report, he received one FINRA sanction, three customer complaints, and one pending customer complaint.

Michael McMahon

Public records published by the Financial Industry Regulatory Authority (FINRA) on June 1, 2017 indicate that New York-based Worden Capital Management broker Michael McMahon has received several resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McMahon (CRD# 4166570).

Michael McMahon has spent sixteen years in the securities industry and has been registered with Worden Capital Management in Garden City, New York since June 2015. Previous registrations include Four Points Capital Partners in Westbury, New York; National Securities in Westbury, New York; and Woodstock Financial Group in Garden City, New York. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with eleven US states and territories.

According to his BrokerCheck report, he has received ten customer complaints and four pending customer complaints.

Robert RotunnoPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 20, 2017 indicate that New York-based National Securities broker Robert Rotunno has received several resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rotunno (CRD# 4025263).

Robert Rotunno has spent 17 years in the securities industry and has been registered with National Securities in New York, New York since January 2016. Previous registrations include Laidlaw & Company in New York, New York; Sands Brothers in New York, New York; Global Capital in Englewood, Colorado; Murphy & Durieu in New York; New York; and American Investment Services in Oklahoma City, Oklahoma. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker with 37 US states and territories.

According to his BrokerCheck report, he has received six customer complaints and two pending customer complaints.

Michael FangmanPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on January 5, 2017 indicate that former California-based National Securities broker/adviser Michael Fangman has received customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Fangman (CRD# 2228969).

Michael Fangman has spent 21 years in the securities industry and was most recently registered with National Securities in Carlsbad, California (2007-2016). Previous registrations include Brookstreet Securities in Carlsbad, California (2003-2007) and AG Edwards & Sons (1995-2003). He is currently not registered with any state or firm.

According to his BrokerCheck report, Michael Fangman has received four customer complaints.

William GillisPublic available records provided by the Financial Industry Regulatory Authority (FINRA) on December 1, 2016 indicate that former Seattle-based National Securities broker William Gillis, also known as Bill Gillis, is currently not affiliated with any broker-dealer firm. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gillis (CRD# 1198878).

William Gillis has spent 28 years in the securities industry and was most recently registered with National Securities Corporation in Seattle, Washington (2008-2015). Previous registrations include Wachovia Securities in Seattle (2001-2008); CIBC World Markets in New York, New York (1988-2001); and E.F. Hutton & Company (1986-1988). He is currently not registered with any state or firm.

According to his BrokerCheck report, William Gillis has been the subject of seven customer complaints and eight pending customer complaints.

Eric JamesPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 23, 2016 indicate that New York- and New Jersey-based National Securities Corporation broker Eric James 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. James (CRD# 2948447).

Eric James has spent 16 years in the securities industry and has been registered with National Securities in Edison, New Jersey and New York, New York since 2008. Previous registrations include Gunnallen Financial in Staten Island, New York; GLB Trading in Chicago, Illinois; National Securities in Seattle, Washington; Joseph Stevens & Company in Brooklyn, New York; the Aegean Group in Boca Raton, Florida; and Joseph Stevens & Company in Brooklyn, New York. He is a registered broker and investment adviser with 50 US states and territories. Continue Reading