Articles Tagged with Sanctioned

 Jeffrey CoburnPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 11, 2016 indicate that former Illinois-based Arete Wealth Management broker Jeffrey Coburn 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. Coburn (CRD# 6192783).

Jeffrey Coburn has spent two years in the securities industry and was most recently registered with Arete Wealth Management in Chicago, Illinois (4/2016-7/2016). Previous registrations include William Blair in Chicago, Illinois (2014-2015) and TJM Investments in Chicago, Illinois (2013-2014). He is currently not registered with any state or firm. Continue Reading

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

Dalas Gunderson Public records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that California-based Kovack Securities broker/adviser Dalas Gunderson has received customer complaints and a regulatory sanction. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gunderson (CRD# 3107187).

Dalas Gunderson has spent 17 years in the securities industry and has been registered with Kovack Securities in Willows, California since May 2015. Previous registrations include Edward Jones in Willows, California; Merrill Lynch in Chico, California; and Painewebber in Weehawken, New Jersey. He is a registered broker and investment adviser in California. Continue Reading

James MirendaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that New York-based Legend Securities broker James Mirenda has been the subject of customer complaints and a regulatory sanctions. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mirenda (CRD# 2585792).

James Mirenda has spent eight years in the securities industry and has been registered with Legend Securities in Miller Place, New York since April 2015. Previous registrations include Tryco Securities in Miller Place, New York; Brookville Capital Partners, which has since been expelled by FINRA, in Miller Place, New York; John Thomas Financial, which has since been expelled by FINRA, in New York, New York; JD Nicholas & Associates in Lake Grove, New York; EKN Financial Services, which has since been expelled by FINRA, in Melville, New York; Joseph Gunnar & Company in Medford, New York; EKN Financial Services, which has since been expelled by FINRA, in Farmingville, New York; KC Ward Financial in Ronkonkoma, New York; American Capital Partners in Medford, New York; Clark Dodge & Company in Dodge City, New York; and World Equity Group in Garden City, New York. He is a registered broker with seven US states: California, Connecticut, Iowa, Minnesota, New York, Oklahoma, and Wyoming. Continue Reading

Arthur CarusoPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that New York-based Morgan Stanley broker/adviser Arthur Caruso has been 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. Caruso (CRD# 1816452).

Arthur Caruso has spent 28 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; UBS Financial Services in New York, New York; Investors Center in Hauppauge, New York; and Blinder Robinson & Company. He is a registered broker and investment adviser with 28 US states and territories. Continue Reading

Christian Herrera Public records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that New York-based Laidlaw & Company broker Christian Herrera has received customer complaints and a regulatory sanction. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Herrera (CRD# 4158466).

Christian Herrera has spent 15 years in the securities industry and has been registered with Laidlaw & Company in New York, New York since September 2015. Previous registrations include Spartan Capital Securities in New York, New York; Empire Asset Management Company in New York, New York; Garden State Securities in New York, New York; Great Eastern Securities in New York, New York; Gunnallen Financial in New York, New York; and Continental Broker-Dealer Corporation, which has since been expelled by FINRA, in Carle Place, New York. He is a registered broker with 23 US states and territories. Continue Reading

Jeffrey Geraci Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that Virginia-based Intervest International Equities Corporation broker/adviser Jeffrey Geraci has been 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. Geraci (CRD# 1839469).

Jeffrey Geraci has spent 27 years in the securities industry and has been registered with Intervest International Equities Corporation in Virginia Beach, Virginia since 2010. Previous registrations include MICG Investment Management, which has since been expelled by FINRA, in Virginia, Beach, Virginia; Infinex Investments in Virginia Beach, Virginia; BI Investments in Virginia Beach, Virginia; and First Command Financial Planning in Tampa, Florida. He is a registered broker and investment adviser with 10 US states and territories: California, Colorado, Florida, Hawaii, Illinois, Maryland, North Carolina, Texas, Utah, and Virginia. Continue Reading

Geoff CambalPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that Massachusetts-based NBC Securities broker Geoff Cambal has received several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cambal (CRD# 2494445).

Geoff Cambal has spent 17 years in the securities industry and has been registered with NBC Securities in Yarmouth, Massachusetts since August 2015. Previous registrations include JHS Capital Advisors in Osterville, Massachusetts; RBC Capital Markets in Osterville, Massachusetts; and Legg Mason Wood Walker in Baltimore, Maryland. He is a registered broker with 10 US states and territories: California, Connecticut, Florida, Maryland, Massachusetts, Nevada, New York, Pennsylvania, Rhode Island, and South Carolina. Continue Reading

Mark KalterPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that New York-based Dawson James broker Mark Kalter has been sanctioned by FINRA and received resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kalter (CRD# 1998911).

Mark Kalter has spent 23 years in the securities industry and has been registered with Dawson James Securities in New York, New York since February 2016 previous registrations include Woodstock Financial Group in Garden City, New York; Meyers Pollock Robbins, which has since been expelled by FINRA, in New York, New York; Monitor Investment Group, which has since been expelled by FINRA; Biltmore Securities, which has since been expelled by FINRA, in Fort Lauderdale, Florida; Windsor Reynolds Securities in Honolulu, Hawaii; Stratton Oakmont, which has since been expelled by FINRA, in Lake Success, New York; and Smith Barney Harris Upham in New York, New York. He is a registered broker with eight US states and territories: Michigan, Minnesota, New York, Ohio, Pennsylvania, Texas, Virginia, and Washington. Continue Reading