Articles Tagged with securities fraud

Raymond ClarkPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 5, 2016 indicate that New York-based Woodstock Financial Group broker Raymond Clark has received several customer complaints. The securities and investment fraud law firm is interested in speaking to investors who have complaints regarding Mr. Clark (CRD# 2865619).

Raymond Clark has spent 19 years in the securities industry and has been registered with Woodstock Financial Group in Staten Island, New York since 2013. Previous registrations include Chelsea Financial Services in Staten Island, New York; JP Turner & Company in Tinton Falls, New Jersey; Grayson Financial, which has since been expelled by FINRA, in Red Bank, New Jersey; and MS Farrell & Company in Syosset, New York. He is a registered broker and investment adviser with 25 US states and territories. Continue Reading

Christopher CervinoPublic records published by the Financial Industry Regulatory Authority (FINRA) on June 29, 2016 indicate that former New York-based Primary Capital broker Christopher Cervino has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from customers who have complaints regarding Mr. Cervino (CRD# 2778817).

Christopher Cervino has spent 18 years in the securities industry and was most recently registered with Primary Capital in New York, New York (2014-2016). Previous registrations include COR Clearing in Edison, New Jersey (2013-2014); Wilson-Davis & Company in Salt Lake City, Utah (2012-2013); Delaney Equity Group in Palm Beach Gardens, Florida (2011); GFI Securities in New York, New York (2010-2011); Lighthouse Financial Group in New York, New York (2008-2010); RBC Professional Trader Group in New York, New York (2008); RBC Capital Markets in New York, New York (2007-2008); Carlin Equities in New York, New York (2002-2007); Ladenburg Thalmann & Company in New York, New York (2000-2002); Sharpe Capital in New York, New York (1998-2000); and HJ Meyers & Company in Rochester, New York (1996-1998). Two of his former employers, Sharpe Capital and HJ Meyers & Company, have since been expelled by the Financial Industry Regulatory Authority (FINRA). He is currently not registered with any state or firm. Continue Reading

David HobsonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 14, 2016 indicate that former Rhode Island-based Oppenheimer & Company broker David Hobson is the subject of pending civil and criminal complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hobson (CRD# 2448412).

David Hobson has spent 22 years in the securities industry and was most recently registered with Oppenheimer & Company in Providence, Rhode Island (2010-2016). Previous registrations include RBC Capital Markets in Providence, New York; Tucker Anthony in Boston, Massachusetts; Gruntal & Company in New York, New York; and Dickinson & Company in Des Moines, Iowa. He is currently not registered with any state or firm. Continue Reading

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