Articles Tagged with pending complaint

New York-based Spartan Capital Securities broker Samuel Januszewski-Ytuarte 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. Januszewski-Ytuarte (CRD# 5821156).

Januszewski-YtuarteSamuel Januszewski-Ytuarte has spent five years in the securities industry and has been registered with Spartan Capital Securities in Garden City, New York since 2015. Previous registrations include Martinez-Ayme Securities in Melville, New York (2014-2015); Blackbook Capital in Northport, New York (2013-2014); and JD Nicholas & Associates in Syosset, New York (2010-2012). He is a registered broker with 47 US states and territories. Continue Reading

Samuel WymanNew York-based Ladenburg Thalmann & company broker  is the subject of 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. Wyman (CRD# 473707).

Samuel Wyman has spent 44 years in the securities industry and has been registered with Ladenburg Thalmann & Company in Westhampton Beach, New York since October 2015. Previous registrations include Gilford Securities in Westhampton, New York; Advest in Hartford, Connecticut; Donaldson Lufkin & Jenrette Securities in Jersey City, New York; Credit Suisse First Boston Corporation in New York, New York; Loeb Partners; Hornblower Weeks Noyes & Trask; Spencer Trask & Company; W.E. Hutton & Company; and Thomson McKinnon Securities. He is a registered broker with eighteen US states and territories: Arizona, Arkansas, California, Connecticut, the District of Columbia, Florida, Maryland, Massachusetts, Minnesota, Nevada, New Jersey, New Mexico, New York, Oregon, Pennsylvania, South Carolina, Texas, and Virginia. Continue Reading

Melanie Turner Virginia-based Wells Fargo Advisors broker Melanie Turner is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Turner (CRD# 5230714).

Melanie Turner has spent nine years in the securities industry and has been registered with Wells Fargo Advisors in Bassett, Virginia since 2007. She has no previous registrations. She is a registered broker with five US states and territories: the District of Columbia, Maryland, Pennsylvania, South Carolina, and Virginia. Continue Reading

Brent HoffmanKansas-based Nations Financial Group broker/adviser Brent Hoffman is the subject of 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. Hoffman (CRD# 3082397).

Brent Hoffman has spent six years in the securities industry and has been registered with Nations Financial Group in Lawrence, Kansas since 2010. Previous registrations include MacArthur Strategies in Irvine, California (1999-2000) and Costa Mesa Securities in Irvine, California (1999). He is a registered broker and investment adviser with nineteen US states and territories: Alabama, Arizona, California, Colorado, Florida, Georgia, Illinois, Indiana, Kansas, Maryland, Minnesota, Missouri, Nebraska, New Mexico, Ohio, Oklahoma, South Carolina, Texas, and Washington. Continue Reading

New York-based Investors Capital broker/adviser Stanley Wong is the subject of more than a dozen customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wong (CRD# 809384).

Stanley Wong has spent 40 years in the securities industry and has been registered with Investors Capital in Newburgh, New York since 2006. Previous registrations include Oppenheimer & Company in Fishkill, New York; Commerce Capital Markets in Philadelphia, Pennsylvania; Fahnestock & Company in New York, New York; Prudential Securities in New York, New York; and Merrill Lynch. He is a registered broker and investment adviser  with sixteen US states and territories. Continue Reading

Benjamin AibelNew York-based Wunderlich broker Benjamin Aibel 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. Aibel (CRD# 1994).

Benjamin Aibel has spent 47 years in the securities industry and was most recently registered with Wunderlich Securities in New York, New York. He was previously registered with Sanders Morris Harris in New York, New York; Oppenheimer & Company in New York, New York; Advest in Hartford, Connecticut; Salomon Smith Barney in New York, New York; and four other broker-dealers since 1968. He is currently not registered with any state or firm. Continue Reading

Frank MarinelliNew York-based Southeast Investments broker Frank Marinelli is the subject of 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. Marinelli (CRD# 2823928).

Frank Marinelli has spent 16 years in the securities industry and has been registered with Southeast Investments in Brooklyn, New York since 2011. Previous registrations include JP Turner & Company in New York, New York (2001-2011); Benson York Group, which has since been expelled by FINRA, in Melville, New York (2000-2001); Carnegie Investor Services in New York, New York (1999); GSG Securities in Boca Raton, Florida (1999); and HD Brous & Company in Great Neck, New York (1999). He is a registered broker with 18 US states and territories. Continue Reading

Douglas WilliamsTexas-based VFinance Investments broker Douglas Williams is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Williams (CRD# 1401005).

Douglas Williams has spent thirty years in the securities industry and has been registered with VFinance Investments in the Woodlands, Texas since 2002. Previous registrations include VFinance Investments in Boca Raton, Florida (2001-2002); TDI Incorporated in Englewood, Colorado (1998-2001); Amherst Securities Group in Austin, Texas (1996-1997); Lehwald O’Rosey & Pepe Capital Markets in Boca Raton, Florida (1995-1996); Lehwald O’Rosey & Pepe Incorporated in Boca Raton, Florida (1994-1996); Meridian Securities Incorporated (1994); Marcus Stowell & Beye Government Securities in Fort Lauderdale, Florida (1987-1994); and Marcus Stowell & Beye Incorporated in Fort Lauderdale, Florida (1985-1994). He is a registered broker with ten US states and territories: Alabama, California, Florida, Nevada, New York, Ohio, Puerto Rico, Texas, Wisconsin, and Wyoming. Continue Reading

Keith HartFormer New York-based Aegis broker Keith Hart 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 hearing from investors who have complaints regarding Mr. Hart (CRD# 4438580).

Keith Hart has spent 14 years in the securities industry and was most recently registered with the following firms: Aegis Capital in Melville, New York (2014-2015). Previous registrations include Rockwell Global Capital in Melville, New York (2014); Global Arena Capital in Melville, New York (2013-2014); National Securities in Westbury, New York (2013); Newport Coast Securities in Westbury, New York (2010-2013); Prestige Financial Center in Garden City, New York (2008-2010); Newbridge Securities in Farmingdale, New York (2007-2008); and Joseph Stevens & Company in Melville, New York (2001-2007). One of his former employers, Prestige Financial Center, has since been expelled by FINRA. He is currently not registered with any state or firm. Continue Reading

Timothy McKennaIndiana-based LPL Financial broker/adviser Timothy McKenna is the subject of several 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. McKenna (CRD# 2213784).

Timothy McKenna has spent 23 years in the securities industry and has been registered with LPL Financial in Schererville, Indiana since 2011. Previous registrations include: ProEquities in Schererville, Indiana (1997-2011) and Mariner Financial Services in Largo, Florida (1992-1997). He is a registered broker and investment adviser with 15 US states: Arizona, California, Colorado, Florida, Georgia, Illinois, Indiana, Louisiana, Maryland, Michigan, Minnesota, Missouri, North Carolina, South Carolina, and Texas. Continue Reading

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