Articles Tagged with New York

iStock_000007448womanAccording to records provided by the Financial Industry Regulatory Authority (FINRA), former New York-based Voya broker Frederick Monroe has been permanently barred from acting as a broker. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Monroe (CRD# 2457010).

Frederick Monroe has spent twenty years in the securities industry and was most recently registered with Voya Financial Advisors in Albany, New York (2006-2015). Previous registrations include Northwestern Mutual Investment Services in Latham, New York (1994-2006) and Robert W. Baird & Company in Milwaukee, Wisconsin (1994-2002). He is currently not registered with any state or firm. Continue Reading

The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding New York-based Aegis broker Michael Venturino (CRD# 5872439).

Michael Venturino has spent four years in the securities industry and has been registered with Aegis Capital in Melville, New York since 2014. Previous registrations include Craig Scott Capital in Uniondale, New York (2012-2014) and Brookstone Securities in Uniondale, New York (2010-2012), which has since been expelled by the Financial Industry Regulatory Authority (FINRA). Continue Reading

shutterstock_101843953The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding New York-based Aegis broker Steven Luftschein, also known as Steven Lerner (CRD# 2690117).

Steven Luftschein has spent nineteen years in the securities industry and has been registered with Aegis Capital in Melville, New York since 2013. Previous registrations include John Thomas Financial in Melville, New York (2012-2013); Rockwell Global Capital in Melville, New York (2011-2012); Paulson Investment Capital in Melville, New York (2011-2012); Paulson Investment Company in Hauppage, New York (2004-2010: Gunnallen Financial in Hauppage, New York (2004-2010); Maxim Group in New York, New York (2001-2004); Investec Ernst & Company in New York, New York (2001-2002); Investec Ernst & Company in New York, New York (2001-2002); Josephthal & Company in New York, New York (1996-2001); JW Barclay & Company in Woodbridge, New Jersey (1996); MetLife Securities in New York, New York (1995-1996); and Metropolitan Life Insurance Company in New York, New York (1995-1996). He is a registered broker in eleven US states. Continue Reading

shutterstock_212979097The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding New York-based Primary Capital broker Christopher Cervino (CRD# 2778817).

Christopher Cervino has spent eighteen years in the securities industry and has been registered with Primary Capital in New York, New York since 2014. Previous registrations include COR Clearing in Edison, New Jersey (2013-2014); Wilson-Davis & Company in Salt Lake City, Utah (2012-2013); Delaney Equity Group in Palm Beach Gardens, Florida (2011); GFI Securities in New York, New York (2010-2011); Lighthouse Financial Group in New York, New York (2008-2010); RBC Professional Trader Group in New York, New York (2008); RBC Capital Markets in New York, New York (2007-2008); Carlin Equities in New York, New York (2002-2007); Ladenburg Thalmann & Company in New York, New York (2000-2002); Sharpe Capital in New York, New York (1998-2000); and HJ Meyers & Company in Rochester, New York (1996-1998). Two of his former employers, Sharpe Capital and HJ Meyers & Company, have since been expelled by the Financial Industry Regulatory Authority (FINRA). He is a registered broker and investment adviser in seven US states: California, Colorado, Delaware, Florida, Nevada, New Jersey, and New York. Continue Reading

The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding New York-based Merrill Lynch broker/adviser June Sabah (CRD# 1483569).

June Sabah has spent 29 years in the securities industry and has been registered with Merrill Lynch in New York, New York since 2011. Previous registrations include Morgan Stanley in New York, New York (2007-2009; 2009-2011); Citigroup Global Markets in New York, New York (1993-2007); and Lehman Brothers in New York, New York (1986-1993). She is a registered broker and investment adviser in 29 US states and territories. Continue Reading

According to records provided by the Financial Industry Regulatory Authority (FINRA), New York-based Oppenheimer broker/adviser Patrick “PJ” Esparrago is the subject of allegations that he engaged in churning a customer’s account. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Esparrago (CRD# 2547500).

Patrick “PJ” Esparrago has spent twenty years in the securities industry and has been registered with Oppenheimer & Company in New York, New York since 2002. Previous registrations include Prime Charter in New York, New York (2001-2002); Bluestone Capital Corporation in New York, New York (2001); First Republic Group in New York, New York (2000-2001); Bluestone Capital Partners in New York, New York (1998-2000); Nichols Safina Lerner & Company in New York, New York (1995-1998); and Rickel & Associates in New York, New York (1995). One of his former employers, First Republic Group, has since been expelled by FINRA. Mr. Esparrago is a registered broker and investment adviser in 26 US states. Continue Reading

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Michigan-based Sagepoint broker/adviser Russell Jones (CRD# 1383542).

Russell Jones has spent thirty years in the securities industry and has been registered with Sagepoint Financial in Troy, Michigan since 2010. Previous registrations include Summit Brokerage Services in Troy, Michigan (2009-2010); Mutual Service Corporation in Troy, Michigan (2002-2009); Vestax Securities Corporation in Hudson, Ohio (1995-2002); Equico Securities in New York, New York (1985-1995); and the Equitable Life Assurance Society of the United States (1985-1995). He is a registered broker and investment adviser in 22 US states. Continue Reading

Christopher BondThe securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding New York-based National Securities broker Christopher Bond (CRD# 4658534).

Christopher Bond has spent twelve years in the securities industry and has been registered with National Securities in Melville, New York since 2004. Previous registrations include Gunnallen Financial in Tampa, Florida (2004) and Ehrenkrantz King Nussbaum, which has since been expelled by the Financial Industry Regulatory Authority (FINRA) in Melville, Florida (2003-2004). He is a registered broker in 34 US states and territories, including California, Connecticut, Massachusetts, New York, New Jersey, and Pennsylvania. Continue Reading

shutterstock_105422975The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding New York-based Aegis broker David Drucker (CRD# 1425062).

David Drucker has spent 22 years in the securities industry and has been registered with Aegis Capital in New York, New York since 2011. Previous registrations include Oppenheimer & Company in New York, New York (2008-2011); RBC Capital Markets in New York, New York (2003-2008); Morgan Stanley DW in Purchase, New York (1998-2003); Gruntal & Company in New York, New York (1994-1998); and Whale Securities in New York, New York (1992-1994). Mr. Drucker is registered in fourteen US states.

According to his BrokerCheck report, David Drucker is the subject of four customer complaints and one pending customer complaint.