Articles Tagged with negligence

Yvonne SilgueroYvonne Silguero (CRD#: 3211495), a registered representative with LPL Financial LLC in McAllen, Texas and Brownsville, Texas, is currently involved in a $500,000 dispute over misrepresentation, according to her BrokerCheck report accessed on October 2, 2019. A client, who filed a complaint on August 9, 2019, alleges that Yvonne Silguero engaged in “negligence, gross negligence, misrepresentation, omission of material facts, breach of fiduciary duty through failure to supervise, and breach of contract” from July 2014 to October 2018.

Yvonne Silguero is also currently involved in a second customer dispute. Filing a complaint on April 12, 2017, a customer alleged that he was sold “unsuitable products for which he was not eligible.”

Yvonne Silguero has enjoyed a 20-year career in the securities industry. Before joining LPL Financial LLC (CRD#: 6413) in 2008, Yvonne Silguero worked for Raymond James Financial Services, Inc. (CRD#: 6694) in Pharr, Texas.

Timary DelormePublic records provided by the Financial Industry Regulatory Authority (FINRA) on August 8, 2016 indicate that California-based Wedbush Securities broker/adviser Timary Delorme has received customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Delorme (CRD# 736418).

Timary Delorme has spent 35 years in the securities industry and has been registered with Wedbush Securities in Costa Mesa and Los Angeles, California since 1981. She has no previous registrations. She is a registered broker and investment adviser with 30 US states and territories. Continue Reading

Ralph WardPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that New York-based Morgan Stanley broker/adviser Ralph Ward has received 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. Ward (CRD# 3245599).

Ralph Ward has spent 16 years in the securities industry and has been registered with Morgan Stanley in New York, New York since 2009. Previous registrations include Citigroup Global Markets in New York, New York; UBS International in Houston, Texas; UBS Painewebber in Weehawken, New Jersey; and Prudential Securities in New York, New York. He is a registered broker and investment adviser with 12 US states: California, Colorado, Connecticut, Florida, Louisiana, Massachusetts, New Hampshire, New Jersey, New Mexico, New York, Texas, and West Virginia. Continue Reading

Tuan PhanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that New York-based National Securities broker Tuan Phan, also known as Peter Phan, has received a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Phan (CRD# 4179988).

Tuan Phan has spent 15 years in the securities industry and has been registered with National Securities Corporation in New York, New York since 2001. Previous registrations include Roan-Meyers Associates in New York, New York (2001) and JW Barclay & Company in Woodbridge, New Jersey (2000-2001). He is a registered broker and investment adviser with 37 US states and territories. Continue Reading

Lance HarshbargerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 17, 2016 indicate that Kansas-based Securities America broker/adviser Lance Harshbarger has received 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. Harshbarger (CRD# 3059198).

Lance Harshbarger has spent 18 years in the securities industry and has been registered with Securities America in Overland Park, Kansas since 2014. He was previously registered with Sunset Financial Serviecs in Overland Park, Kansas (1998-2014). He is a registered broker and investment adviser with 14 US states and territories: Arizona, Arkansas, Colorado, Florida, Hawaii, Illinois, Iowa, Kansas, Louisiana, Missouri, Nebraska, Oklahoma, Tennessee, and Texas. Continue Reading

 Tomas Velken Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 16, 2016 indicate that California-based Sigma Financial broker Tomas Velken has received numerous resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Velken (CRD# 1600404).

Tomas Velken has spent 12 years in the securities industry and has been registered with Sigma Financial Corporation in Lafayette, California since 2003. He is a registered broker in eight US states: Arizona, California, Florida, Indiana, Nevada, New Jersey, New York, and Wisconsin. Continue Reading

Austin DuttonPublic records published by the Financial Industry Regulatory Authority (FINRA) on July 6, 2016 indicate that Pennsylvania-based Newbridge Securities Corporation broker/adviser Austin Dutton Jr. 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. Dutton (CRD# 2739167).

Austin Dutton has spent 19 years in the securities industry and has been registered with Newbridge Securities Corporation in Doylestown, Pennsylvania since 2007. Previous registrations include Boenning & Scattergood in Langhorne, Pennsylvania; Ferris Baker Watts in Baltimore, Maryland; AG Edward & Sons in St. Louis, Missouri; and Prudential Securities in New York, New York. He is a registered broker and investment adviser with ten US states and territories: California, Delaware, Florida, Maryland, New Jersey, New York, North Carolina, Pennsylvania, Texas and Utah. Continue Reading

 George MerhoffPublic records published by the Financial Industry Regulatory Authority (FINRA) on June 30, 2016 indicate that Oregon-based Cetera Advisors broker/adviser George Merhoff is the subject of pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Merhoff (CRD# 2918171).

George Merhoff has spent 18 years in the securities industry and has been registered with Cetera Advisors in Klamath Falls, Oregon since 2012. Previous registrations include Pacific West Securities in Klamath Falls, Oregon (1998-2012) and AAG Securities in Cincinnati, Ohio (1997-1998). He is a registered broker and investment adviser with 20 US states and territories. Continue Reading

Hoke ShulerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 29, 2016 indicate that South Carolina-based Securities Service Network broker/adviser Hoke Shuler has received numerous settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Shuler (CRD# 2614487).

Hoke Shuler has spent 15 years in the securities industry and has been registered with Securities Service Network in Charleston, South Carolina since 2009. Previous registrations include Sagepoint Financial in Charleston, South Carolina (2005-2009); SunAmerica Securities in Phoenix, Arizona (2004-2005); Wells Fargo Investments in San Francisco, California (2002); GMAC Investment Services in Bloomington, Minnesota (1999-2000); American Express Financial Advisors in Minneapolis, Minnesota (1995-1998); and IDS Life Insurance Company in Minneapolis, Minnesota (1995-1998). He is a registered broker and investment adviser in 10 US states: Alabama, Florida, Georgia, Illinois, New Jersey, New York, North Carolina, Ohio, Pennsylvania, and South Carolina. Continue Reading

Robert ClinePublic records provided by the Financial Industry Regulatory Authority (FINRA) on June 16, 2016 indicate that Michigan-based Ameriprise Financial Services broker/adviser Robert Cline has received numerous customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Cline (CRD# 824874).

Robert Cline has spent 39 years in the securities industry and has been registered with Ameriprise Financial Services in Shelby Township, Michigan since 2014. Previous registrations include Oppenheimer & Company in Rochester, New York; Ferris Baker Watts in Auburn Hills, Michigan; Merrill Lynch in New York, New York; Lehman Brothers in New York, New York; EF Hutton & Company; First of Michigan Corporation; and Manley Bennett McDonald & Company. He is a registered broker and investment adviser with eleven US states and territories: Arizona, California, Colorado, Delaware, Florida, Georgia, Michigan, New York, Oregon, South Carolina, and Tennessee. Continue Reading