Articles Tagged with Suspended

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

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

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

Debra BertrandPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that New York-based Raymond James broker/adviser Debra Bertrand is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Ms. Bertrand (CRD# 1187249).

Debra Bertrand has spent 27 years in the securities industry and has been registered with Raymond James Financial Services in Elvira, New York since 2013. She was previously registered with Wells Fargo Advisors in Elmira, New York (2000-2012) and First Albany Corporation in New York, New York (1988-2000). She is a registered broker and investment adviser with 27 US states and territories. Continue Reading

Peter GirgisPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 21, 2016 indicate that New York-based Legend Securities broker Peter Girgis is the subject of settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Girgis (CRD# 4520444).

Peter Girgis has spent 13 years in the securities industry and has been registered with Legend Securities in New York, New York since 2013. Previous registrations include Joseph Gunnar & Company in Staten Island, New York; Brookstone Securities, which has since been expelled by FINRA, in Staten Island, New York; JP Turner & Company in Staten Island, New York; Gunnallen Financial in Staten Island, New York; and Joseph Stevens & Company in Brooklyn, New York. He is a registered broker with 19 US states and territories. Continue Reading

Lance Ziesemer Public records provided by the Financial Industry Regulatory Authority (FINRA) on June 9, 2016 indicate that former Minnesota-based Feltl & Company broker/adviser Lance Ziesemer has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ziesemer (CRD# 2342087).

Lance Ziesemer has spent 22 years in the securities industry and was most recently registered with Feltl & Company in Wayzata, Minnesota (2007-2016). Previous registrations include Wachovia Securities in Wayzata, Minnesota (2001-2007); H&R Block Financial Advisors in Detroit, Michigan (1993-2001); and Westonka Investments in Minnetonka, Minnesota (1993). Mr. Ziesemer is currently not registered with any state or firm. Continue Reading

Tony OgbonnaPublic records provided by the Financial Industry Regulatory Authority (FINRA) on May 23, 2016 indicate that former Illinois-based JP Morgan broker Tony Ogbonna is currently not registered with any state or firm. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ogbonna (CRD# 2771427).

Tony Ogbonna has spent 16 years in the securities industry and was most recently registered with JP Morgan in Evanston, Illinois (2012-2014). Previous registrations include Chase Investment Services in Evanston, Illinois (2005-2012); Banc One Securities in Chicago, Illinois (2000-2005); MetLife Securities in New York, New York (1997-2000); and Metropolitan Life Insurance Company in New York, New York (1997-2000). He is currently not registered with any state or firm. Continue Reading

Brent BurgesserPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 4, 2016 indicate that Florida-based International Assets Advisory broker/adviser Brent Burgesser has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Burgesser (CRD# 3278147).

Brent Burgesser has spent 15 years in the securities industry and has been registered with International Assets Advisory in Orlando, Florida since November 2015. Previous registrations include LPL Financial in Chandler, Arizona; Wells Fargo Advisors in Plano, Texas; Merrill Lynch in Plano, Texas; Morgan Stanley DW in Purchase, New York; Merrill Lynch in New York, New York; and Painewebber in Weehawken, New Jersey. He is a registered broker and investment adviser in six US states: Arizona, California, Illinois, New York, South Carolina, and Texas. Continue Reading

George DahlFormer New York-based Revere Securities broker George Dahl 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. Dahl (CRD# 59820).

George Dahl has spent 44 years in the securities industry and was most recently registered with Revere Securities in New York, New York (2015). Previous registrations include Newport Coast Securities in Irvine, California; Wedbush Securities in Newport Beach, California; Brookstreet Securities in San Juan Capistrano, California; the Seidler Companies Incorporated in Irvine, California; RBC Dain Rauscher in New York, New York; Sutro & Company in San Francisco, California; Smith Barney in New York, New York; Lehman Brothers in New York, New York; Lehman Brothers Kuhn Loeb; J. David Securities; Bateman Eichler Hill Richards; Paine Webber Jackson & Curtis; Blyth Eastman Dillon & Company; and Dean Witter & Company. He is currently not registered with any state or firm. Continue Reading