Articles Tagged with over-concentrated

 

David Garcia CiriloPublicly available records provided by the Financial Industry Regulatory Authority on June 10, 2016 indicate that Florida-based Morgan Stanley broker/adviser David Garcia Cirilo has received numerous 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. Cirilo (CRD# 2281514).

David Garcia Cirilo has spent 22 years in the securities industry and has been registered with Morgan Stanley in Coral Gable, Florida since 2014. Previous registrations include Santander Securities in San Juan, Puerto Rico (2006-2014) and UBS Financial Services in San Juan, Puerto Rico (1993-2006). Mr. Garcia Cirilo is a broker and investment adviser registered in 33 US states and territories. Continue Reading

Gregory BarrPublic records published by the Financial Industry Regulatory Authority (FINRA) on June 2, 2016 indicate that Florida-based Raymond James & Associates broker/adviser Gregory Barr 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. Barr (CRD# 1312703).

Gregory Barr has spent 31 years in the securities industry and has been registered with Raymond James & Associates in Boca Raton, Florida since 2014. Previous registrations include Deutsche Bank Securities in Palm Beach, Florida; Morgan Stanley Smith Barney in Boca Raton, Florida; Citigroup Global Markets in Boca Raton, Florida; Drexel Burnham Lambert; and Smith Barney Harris Upham. He is a registered broker and investment adviser with 25 US states and territories. Continue Reading

Delbert CarnesPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 2, 2016 indicate that Colorado-based Woodbury Financial Services broker Delbert Carnes has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Carnes (CRD# 4656189).

Delbert Carnes has spent 37 years in the securities industry and has been registered with Woodbury Financial Services in Colorado Springs, Colorado since 2009. Previous registrations include Sammons Securities Company in Colorado Springs, Colorado; Walnut Street Securities in El Segundo, California; Washington Square Securities in Des Moines, Iowa; Wealth Resource Capital Corporation in Newport Beach, California; Private Ledger Financial Services; and Capital Analysts. He is a registered broker with eight US states: Arizona, California, Colorado, Florida, Illinois, Oregon, Texas, and Virginia. Continue Reading

Joseph McErleanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2016 indicate that Pennsylvania-based Janney Montgomery Scott broker/adviser Joseph McErlean has received 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. Fitapelli (CRD# 2463560).

Joseph McErlean has spent 22 years in the securities industry and has been registered with Janney Montgomery Scott in Berwyn, Pennsylvania since 1999. He was previously registered with Salomon Smith Barney in New York, New York (1994-1999). He is a registered broker and investment adviser with 31 US states and territories. Continue Reading

Charles FriedaPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 12, 2016, indicate that California-based Wells Fargo Advisors broker/adviser Charles Frieda 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. Frieda (CRD# 5502319).

Charles Frieda has spent eight years in the securities industry and has been registered with Wells Fargo Advisors in Irvine, California since 2012. Previous registrations include Morgan Stanley in Brea, California (2009-2012) and Citigroup Global Markets in Brea, California (2008-2009). He is a registered broker and investment adviser with ten US states and territories: Arizona, California, Colorado, Delaware, Hawaii, Illinois, Nebraska, North Carolina, Tennessee, and Texas. Continue Reading

Robert HarrisPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 10, 2016 indicate that Massachusetts-based Commonwealth Financial Network broker Robert Harris has received a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Harris (CRD# 500164).

Robert Harris has spent 39 years in the securities industry and has been registered with Commonwealth Financial Network in Worcester and Chatham, Massachusetts since 1994. Previous registrations include AF Best Securities in Coral Springs, Florida (1990-1994); Dougherty, Dawkins, Strand & Yost in Minneapolis, Minnesota (1982-1990); Croake Roberts; and Channer Newman Securities Company. He is a registered broker with 19 US states: California, Colorado, Florida, Georgia, Illinois, Indiana, Kentucky, Louisiana, Maine, Massachusetts, Michigan, New Hampshire, New York, North Carolina, Pennsylvania, South Carolina, Vermont, Washington, and Wisconsin. Continue Reading

Richard McCollamPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 3, 2016 indicate that former California-based National Planning Corporation broker Richard McCollam is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. McCollam (CRD# 1419048).

Richard McCollam has spent 27 years in the securities industry and was most recently registered with National Planning Corporation in Lafayette, California (2012-2013). Previous registrations include SII Investments in San Ramon, California; Royal Alliance Associates in Lafayette, California; Lincoln Financial Advisors in Fort Wayne, Indiana; the Lincoln National Life Insurance Company in Fort Wayne, Indiana; the Metropolitan Life Insurance Company in New York, New York; MetLife Securities in New York, New York; and UR Financial. He is currently not registered with any state or firm. Continue Reading

Seth MarcusPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 28, 2016 indicate that New York-based Citigroup Global Markets broker/adviser Seth Marcus is the subject of settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Marcus (CRD# 2539153).

Seth Marcus has spent 18 years in the securities industry and has been registered with Citigroup Global Markets in New York, New York since 2007. He was previously registered with Citicorp Investment Services in New York, New York (1997-2007). He is a registered broker and investment adviser in 43 US states and territories. Continue Reading

Steven SimonePublic records provided by the Financial Industry Regulatory Authority (FINRA) on April 27, 2016 indicate that former New York-based Salomon Whitney broker Steven Simone has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Simone (CRD# 2413602).

Steven Simone has spent 17 years in the securities industry and was most recently registered with Salomon Whitney in Babylon Village, New York (2008-2011). Previous registrations include Westrock Advisors in Melville, New York; Raike Financial Group in Woodstock, Georgia; GIT Securities Corporation in Plainview, New York; Clark Street Capital in Levittown, New York; Royal Hutton Securities in New York, New York; Toluca Pacific Securities in Burbank, California; Hanover Sterling & Company in New York, New York; and GKN Securities in New York, New York (1993-1994). Of his former employers, four have since been expelled by FINRA: Westrock Advisors, GIT Securities, Clark Street Capital, and Royal Hutton Securities. He is currently not registered with any state or firm. Continue Reading

Bradley RossPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 22, 2016 indicate that Florida-based UBS Financial Services broker/adviser Bradley Ross is 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. 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 York (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). Mr. Ross is a broker and investment adviser registered in 26 US states and territories. Continue Reading

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