Articles Tagged with Pending Complaints

 Catherine SheridanBoston-based Race Rock Capital broker Catherine Sheridan is the subject of pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Sheridan (CRD# 1203915).

Catherine Sheridan has spent 30 years in the securities industry and has been registered with Race Rock Capital, LLC in Boston, Massachusetts since 2015. Previous registrations include North South Capital in Chicago, Illinois (2010-2015); Sound Securities in Jericho, New York (2007-2010); Tradition Asiel Securities in Chicago (2004-2007); Orion Securities in Toronto, Ontario (1999-2004); Midland Walwyn Capital Corporation (1984-1999); and Merrill Lynch in New York, New York (1998). Ms. Sheridan is a registered broker in Texas and Wisconsin. Continue Reading

Philip GulloPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 29, 2016 indicate that New York-based Morgan Stanley broker Philip Gullo is the subject of two pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gullo (CRD# 708616).

Philip Gullo has spent 35 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 (1993-2009); Lehman Brothers in New York, New York (1986-1993); Kidder Peabody (1984-1986); and Merrill Lynch (1980-1984). He is a registered broker with 28 US states and territories. Continue Reading

David FerlandPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 21st, 2016 indicate that Maine-based Ameriprise broker/adviser David Ferland 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. Ferland (CRD# 5034103).

David Ferland has spent nine years in the securities industry and has been registered with Ameriprise Financial Services in York, Maine since 2012. Previous registrations include: Invest Financial Corporation in York, Maine (2007-2012) and Jefferson Pilot Securities Corporation in York, Maine (2006-2007). He is a registered broker and investment adviser in three US states: Maine, Massachusetts, and New Hampshire. Continue Reading

Michael SternAccording to records provided by FINRA (the Financial Industry Regulatory Authority) on February 16, 2016, former Florida-based Herbert J. Sims broker Michael Stern 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. Stern (CRD# 2273485).

Michael Stern has spent 22 years in the securities industry and was most recently registered with Herbert J. Sims & Company in Boca Raton, Florida (2013-2016). Previous registrations include Newbridge Securities Corporation in Boca Raton, Florida (2004-2013); CGF Securities in Boca Raton, Florida (2002-2004); Ladenburg Capital Management in Bethpage, New York (2002); Ladenburg Thalmann & Company in New York, New York (1998-2002); JW Charles Securities in Boca Raton, Florida (1995-1998); Dean Witter Reynolds in Purchase, New York (1993-1995); and Biltmore Securities in Ft. Lauderdale, Florida (1992-1993). Two of Mr. Stern’s former employers, Biltmore Securities and CGF Securities, have since been expelled by FINRA. He is currently not a registered broker with any state or firm. Continue Reading

Jeffrey SandersAccording to records provided by the Financial Industry Regulatory Authority (FINRA) on February 16, 2016, Florida-based Cabot Lodge Securities broker Jeffrey Sanders  is the subject of one pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sanders (CRD# 2200497).

Jeffrey Sanders has spent 22 years in the securities industry and has been registered with Cabot Lodge Securities in Boca Raton, Florida since 2014. Previous registrations include Fintegra in Boca Raton, Florida (2009-2014); Jesup & Lamont Securities in Boca Raton, Florida; Empire Financial Group in Boca Raton, Florida; Jesup & Lamont Securities in New York, New York; Rushmore Securities in Dallas, Texas; Northstar Securities in Dallas, Texas; JW Genesis Financial Services in St. Louis, Missouri; Sigma Financial Corporation in Ann Arbor, Michigan; IFG Network Securities in Atlanta, Georgia; and Wealth Builders Equity Corporation. He is a registered broker in three US states: Colorado, Florida, and New Jersey. Continue Reading

Adam NewonThe securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against New York-based National Securities Corporation broker Adam Newon (CRD# 5705166).

Adam Newon has spent three years in the securities industry and has been registered with National Securities in New York, New York since January 2015. He was previously registered with Global Arena Capital Corporation in New York, New York (2013-2014) and HFP Capital Markets in New York, New York (2012-2013). Both of his former employers have since been expelled by the Financial Industry Regulatory Authority (FINRA). Continue Reading

Lance ShawAccording to records provided by the Financial Industry Regulatory Authority (FINRA), former Florida-based International Assets Advisory broker/adviser Lance Shaw is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Shaw (CRD# 4065444).

Lance Shaw has spent 15 years in the securities industry and was most recently registered with International Assets Advisory in Orlando, Florida (2015-2016). Previous registrations include LPL Financial in Wynnewood, Pennsylvania (2012-2015); Stifel Nicolaus & Company in Conshohocken, Pennsylvania (2008-2012); Wachovia Securities in Springfield, Pennsylvania (2007-2008); Merrill Lynch in Philadelphia, Pennsylvania (2004-2007); Janney Montgomery Scott in Philadelphia, Pennsylvania (2000-2004); and SEI Investments Distribution in Oaks, Pennsylvania (2000). He is currently not registered with any state or firm. Continue Reading

Charles Lynch The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding California-based Wells Fargo Advisors broker/adviser Charles Lynch (CRD# 3004877).

Charles Lynch has spent sixteen 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); Citigroup Global Markets in Brea, California (2005-2009); and Morgan Stanley DW in Purchase, New York (1999-2005). He is a registered broker and investment adviser with eleven US states and territories. Continue Reading

Anthony Lopopolo The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Massachusetts-based broker/adviser Anthony Lopopolo (CRD# 3054422).

Anthony Lopopolo has spent seventeen years in the securities industry and has been registered with Voya Financial Advisors in Worcester, Massachusetts since 2014. Previous registrations include Ameriprise Financial Services in Worcester, Massachusetts (1998-2014) and IDS Life Insurance Company in Minneapolis, Minnesota (1998-2006). He is a registered broker and investment adviser with ten US states and territories: Arizona, California, Connecticut, Florida, Maine, Massachusetts, New Hampshire, North Carolina, South Carolina, Texas. Continue Reading

Carl AntakiThe securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against New York-based First Financial Company broker Carl Antaki (CRD# 4177543).

Carl Antaki has spent fifteen years in the securities industry and has been registered with First Standard Financial Company in Melville, New York since 2015. Previous registrations include Rockwell Global Capital in Melville, New York (2008-2015); Empire Financial Group in Uniondale, New York (2005-2008); Ehrenkrantz King Nussbaum, Inc. in Melville, New York (2001-2005); Ekrenkrantz King Nussbaum in New York, New York (2001); and Weatherly Securities Corporation in New York, New York (2000-2001). He is a registered broker in twenty-one US states and territories. Continue Reading