Articles Tagged with Private Placement

Jeffrey GiesekePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 20, 2016 indicate that former California-based Financial West Group broker Jeffrey Gieseke 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. Gieseke (CRD# 2331700), especially if these complaints related to investments in Vertical Fund private placements.

Jeffrey Gieseke has spent 17 years in the securities industry and was most recently registered with Financial West Group in Tarzana, California (1999-2012). Previous registrations include WM Financial Services in Irvine, California (1999); Gerwin Stinziano Securities in Thousand Oaks, California (1994-1997); and Travco Financial Group in Westlake Village, California (1993-1994). He is currently not registered with any state or firm. Continue Reading

shutterstock_212979097According to records provided by the Financial Industry Regulatory Authority (FINRA), former California-based Centaurus broker Stephen Lard 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. Lard (CRD# 2448784).

Stephen Lard has spent twenty years in the securities industry and was most recently registered with Centaurus Financial in Roseville, California (2011-2014). Previous registrations include QA3 Financial in Roseville, California (2000-2011); Locust Street Securities in Des Moines, Iowa (1999-2000); WS Griffith & Company in Hartford, Connecticut (1999-1999); MML Investors Services in Springfield, Massachusetts (1996-1998); and The Advisors Group in Bethesda, Maryland (1994-1996). He is currently not registered with any state or firm. Continue Reading

shutterstock_101843953According to records provided by the Financial Industry Regulatory Authority (FINRA), former Massachusetts-based CCO Investment Services broker Mark Pompeo 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. Pompeo (CRD# 1897147).

Mark Pompeo has spent 26 years in the securities industry and was most recently registered with CCO Investment Services in Weymouth, Massachusetts (2012-2015). Previous registrations include Ocean Cross Capital Markets in Westport, Connecticut (2011-2012); Southridge Investment Group in Ridgefield, Connecticut (2010-2011); LPL Financial Corporation in Hingham, Massachusetts (2008-2010); Raymond James Financial Services in Plymouth, Massachusetts (2006-2008); Wachovia Securities Financial Network in Plymouth, Massachusetts (2004-2006); Wachovia Securities in St. Louis, Missouri (1999-2004); First Union Capital Markets in Charlotte, North Carolina (1998-1999); Legg Mason Wood Walker in Baltimore, Maryland (1994-1998); Gruntal & Company in New York, New York (1992-1994); Fechtor Detwiler & Company in Boston, Massachusetts (1989-1992); and Shearson Lehman Hutton (1988-1989). He is currently not registered with any state or firm. Continue Reading