Articles Tagged with Salomon Whitney Financial

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Dennis Hayes

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 25, 2017 indicate that former New York-based Salomon Whitney Financial broker/adviser Dennis Hayes is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hayes (CRD# 4403550).

Dennis Hayes has spent thirteen years in the securities industry and was most recently registered with Salomon Whitney Financial in Melville, New York (2017). Previous registrations include Newbridge Securities in Boca Raton, Florida; NFP Securities in Charlotte, North Carolina; Capital Investment Group in Charlotte, North Carolina; MML Investors Services in Charlotte, North Carolina; Equity Services in Montpelier, Vermont; Veravest Investments in Worcester, Massachusetts; and AAL Capital Management in Minneapolis, Minnesota. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint, and resigned from a former employer.

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Douglas LeonePublic records published by the Financial Industry Regulatory Authority (FINRA) on May 17, 2017 indicate that former New York-based Salomon Whitney Financial broker Douglas Leone has been sanctioned by FINRA and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Leone (CRD# 2453784).

Douglas Leone has spent 22 years in the securities industry and was most recently registered with Salomon Whitney Financial in Farmingdale, New York (2013-2017). Previous registrations include Newport Coast Securities in New York, New York; Basic Investors in Hicksville, New York; Joseph Stevens & Company in Brooklyn, New York; Advanced Planning Securities in Smithtown, New York; and Whitehall Wellington Investments in Port Washington, New York. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination).

According to his BrokerCheck report, Douglas Leone has received five customer complaints and one FINRA sanction.

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Jonothan LiebermanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 16, 2016 indicate that former New York-based Salomon Whitney Financial broker Jonothan Lieberman 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. Lieberman (CRD# 2237428).

Jonothan Lieberman has spent 21 years in the securities industry and was most recently registered with Salomon Whitney Financial in Farmingdale, New York (2015). Previous registrations include Rockwell Global Capital in Melville, New York; Charles Vista LLC in Melville, New York; Obsidian Financial Group in Woodbury, New York; Westrock Advisors in Woodbury, New York; JP Turner & Company in Garden City, New York; National Securities in Seattle, Washington; Northeast Securities in Mitchelfield, New York; Broadband Capital Management in New York, New York; Dalton Kent Securities in New York, New York; HGI in Jericho, New York; Stratton Oakmont in Lake Success, New York; and Maidstone Financial in New York, New York. He is currently not registered with any state or firm.

According to his BrokerCheck report, Jonothan Lieberman has received nine customer complaints, one regulatory sanction, and one pending customer complaint.

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Richard ColemanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 8, 2016 indicate that New York-based Salomon Whitney Financial broker Richard Coleman has been the subject of customer complaints and regulatory sanctions. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Coleman (CRD# 2720422).

Richard Coleman has spent 19 years in the securities industry and has been registered with Salomon Whitney Financial in Farmingdale, New York since February 2016. Previous registrations include Legend Securities in Miller Place, New York; Tryco Securities in Melville, New York; Brookville Capital Partners, which has since been expelled by FINRA, in Melville, New York; John Thomas Financial, which has since been expelled by FINRA, in New York, New York; Woodstock Financial Group in Farmingdale, New York; Rockwell Global Capital in Port Jefferson, New York; Aura Financial Services in East Setauket, New York; A&F Financial Services in Mount Dora, Florida; New Castle Financial Services, which has since been expelled by FINRA, in Melville, New York; Benson York Group in Melville, New York; LH Ross & Company in Boca Raton, Florida; Granite Associates in Del Ray Beach, Florida; Continental Broker-Dealer, which has since been expelled by FINRA, in Carle Place, New York; Whitehall Wellington Investments in Port Washington, New York; and Gaines Berland in Bethpage, New York. He is a registered broker with 16 US states and territories: California, Connecticut, the District of Columbia, Georgia, Iowa, Louisiana, Minnesota, Nebraska, New York, North Carolina, Oklahoma, Pennsylvania, Rhode Island, South Carolina, Texas, and Wyoming. Continue reading →