Articles Tagged with over-concentrated

James MirendaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that New York-based Legend Securities broker James Mirenda has been the subject of customer complaints and a regulatory sanctions. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mirenda (CRD# 2585792).

James Mirenda has spent eight years in the securities industry and has been registered with Legend Securities in Miller Place, New York since April 2015. Previous registrations include Tryco Securities in Miller Place, New York; Brookville Capital Partners, which has since been expelled by FINRA, in Miller Place, New York; John Thomas Financial, which has since been expelled by FINRA, in New York, New York; JD Nicholas & Associates in Lake Grove, New York; EKN Financial Services, which has since been expelled by FINRA, in Melville, New York; Joseph Gunnar & Company in Medford, New York; EKN Financial Services, which has since been expelled by FINRA, in Farmingville, New York; KC Ward Financial in Ronkonkoma, New York; American Capital Partners in Medford, New York; Clark Dodge & Company in Dodge City, New York; and World Equity Group in Garden City, New York. He is a registered broker with seven US states: California, Connecticut, Iowa, Minnesota, New York, Oklahoma, and Wyoming. Continue Reading

Christian Herrera Public records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that New York-based Laidlaw & Company broker Christian Herrera has received customer complaints and a regulatory sanction. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Herrera (CRD# 4158466).

Christian Herrera has spent 15 years in the securities industry and has been registered with Laidlaw & Company in New York, New York since September 2015. Previous registrations include Spartan Capital Securities in New York, New York; Empire Asset Management Company in New York, New York; Garden State Securities in New York, New York; Great Eastern Securities in New York, New York; Gunnallen Financial in New York, New York; and Continental Broker-Dealer Corporation, which has since been expelled by FINRA, in Carle Place, New York. He is a registered broker with 23 US states and territories. 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

Marc RogersPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that California-based Wells Fargo broker/adviser Marc Rogers, also known as Buck Rogers, has 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. Rogers (CRD# 1008145).

Marc Rogers has spent 34 years in the securities industry and has been registered with Wells Fargo Advisors in Palo Alto, California since 2010. Previous registrations include RBC Capital Markets in San Jose, California; Morgan Stanley DW in Purchase, New York; Piper Jaffray in Minneapolis, Minnesota; Smith Barney in New York, New York; PaineWebber in Weehawken, New Jersey; Merrill Lynch; and DRB Financial. He is a registered broker and investment adviser with 14 US states and territories: California, Colorado, Connecticut, Delaware, Idaho, Illinois, Massachusetts, Missouri, North Carolina, Oregon, Tennessee, Texas, Utah, and Washington. Continue Reading

William CarltonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 15, 2016 indicate that Virginia-based UBS broker/adviser William Carlton has been the subject of resolved and pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Carlton (CRD# 1132967).

William Carlton has spent 33 yelienars in the securities industry and has been registered with UBS Financial Services in Vienna, Virginia since 2007. Previous registrations include Citigroup Global Markets in McLean, Virginia (1993-2007); Lehman Brothers in New York, New York (1991-1993); Dean Witter Reynolds, New York (1989-1991); Wheat First Securities (1984-1987); and San Diego Securities (1983-1984). He is a registered broker and investment adviser with 20 US states and territories: California, Colorado, Delaware, the District of Columbia, Florida, Georgia, Kansas, Maryland, Massachusetts, Michigan, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Texas, Utah, and Virginia. Continue Reading

Troy BryantPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 15, 2016 indicate that Maryland-based Wells Fargo Advisors broker/adviser Troy Bryant has been the subject of 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. Bryant (CRD# 2361343).

Troy Bryant has spent 22 years in the securities industry and has been registered with Wells Fargo Advisors in Baltimore, Maryland since March 2015. Previous registrations include UBS Financial Services in Baltimore, Maryland; Merrill Lynch in Baltimore, Maryland; Prudential Securities in New York, New York; Smith Barney in New York, New York; Baltimore Bancorp Investment Services; Smith Barney Shearson in New York, New York; and Lehman Brothers in New York, New York. He is a registered broker and investment adviser with 17 US states and territories: California, Colorado, Connecticut, Delaware, the District of Columbia, Florida, Georgia, Maryland, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Virginia, and Wisconsin. Continue Reading

Jeffrey Fladell Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that New Jersey-based RBC broker/adviser Jeffrey Fladell has received numerous resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Fladell (CRD# 209278).

Jeffrey Fladell has spent 43 years in the securities industry and has been registered with RBC Capital Markets in Parsippany, New Jersey since 2009. Previous registrations include JB Hanauer & Company in Parsippany, New Jersey (1988-1993; 1995-2009); Halpert & Company (1979-1988); Travelers Equities Sales (1972-1984); Swanton Securities (1976-1979); Hermes Securities (1971-1975); and Bernard Schnizter (1970-1974). He is a registered broker and investment adviser in sixteen US states and territories: California, Connecticut, Delaware, the District of Columbia, Florida, Georgia, Maryland, Nevada, New Jersey, New York, North Carolina, Pennsylvania, Rhode Island, South Carolina, Vermont, and Wisconsin. Continue Reading

David LugoPublic records provided by the Financial Industry Regulatory Authority (FINRA) on June 27, 2016 indicate that former Puerto Rico-based UBS broker David Lugo has been the subject of more than one hundred 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. Lugo (CRD# 3109426).

David Lugo has spent 16 years in the securities industry and was most recently registered with UBS Financial Services in San Juan, Puerto Rico (2002-2015). He was previously registered with Doral Securities in Puerto Nuevo, Puerto Rico. He is currently not registered with any state or firm. Continue Reading

Murray Roark Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 22, 2016 indicate that Texas-based Wunderlich Securities broker/adviser Murray Roark 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. Roark (CRD# 1041803).

Murray Roark has spent 33 years in the securities industry and has been registered with Wunderlich Securities in Dallas, Texas since 2011. Previous registrations include Morgan Keegan & Company in Fort Worth, Texas; Robert W. Baird & Company in Milwaukee, Wisconsin; Northwestern Mutual Investment Services in Milwaukee, Wisconsin; Dain Rauscher in New York, New York; Rauscher Pierce Refsnes in Dallas, Texas; Dean Witter Reynolds in Purchase, New York; EF Hutton & Company; and Shearson/American Express. He is a registered broker and investment adviser with 27 US states and territories. Continue Reading

Bradley Ross Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 16, 2016 indicate that Florida-based UBS Financial Services broker/adviser Bradley Ross 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. Ross (CRD# 1325524).

Bradley Ross has spent 31 years in the securities industry and has been registered with UBS Financial Services in Fort Lauderdale, Florida since 2011. Previous registrations include Raymond James & Associates in Fort Lauderdale (2006-2011); Janney Montgomery Scott in Fort Lauderdale (1999-2006); Gruntal & Company in New York, New York (1997-1999); Coburn & Meredith in Simsbury, Connecticut (1995-1997); First Montauk Securities in Red Bank, New Jersey (1995); Meridian, Dunhill & Company (1994-1995); Dunhill Equities in Garden City, New Jersey (1992-1994); Prudential Securities in New York, New York (1990-1992); Legg Mason Wood Walker in Baltimore, Maryland (1989-1990); and Dean Witter Reynolds (1985-1990). He is a broker and investment adviser registered in 26 US states and territories. Continue Reading