Articles Tagged with Suspended

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

Gary GrahamCalifornia-based Calton & Associates broker/adviser Gary Graham was recently suspended by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Graham (CRD# 2111230).

Gary Graham has spent 24 years in the securities industry and has been registered with Calton & Associates in Huntington Beach, California since July 2015. Previous registrations include Wedbush Securities in Ontario, California; Crowell Weedon & Company in West Covina, California; Wachovia Securities in St. Louis, Missouri; Prudential Securities in New York, New York; AG Edwards & Sons in St. Louis, Missouri; Dean Witter Reynolds in Purchase, New York; Merrill Lynch in New York, New York; Waddell & Reed in Overland Park, Kansas; and First Investors Corporation in New York, New York. He is a registered broker and investment adviser in California. Continue Reading

Noyeg ArkoianFormer Nevada-based US Bancorp Investments broker Noyeg Arkoian 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 Ms. Arkoian (CRD# 2765791).

Noyeg Arkoian has spent fifteen years in the securities industry and was most recently registered with US Bancorp Investments in Las Vegas, Nevada (2012-2015). Previous registrations include:Unionbanc Investment Services in Apple Valley, California; Western International Securities in Pasadena, California; Wells Fargo Investments in Riverside, California; Citigroup Global Markets in Norco, California; Citicorp Investments in Riverside, California; WM Financial Services in Irvine, California; and Cal Fed Investments in Sacramento, California. She is currently not registered with any state or firm. Continue Reading

John SchwanPublicly-available records provided by the Financial Industry Regulatory Authority (FINRA) on February 18, 2016 indicate that South Dakota-based Kovack Securities broker/adviser John Schwan has been suspended for two months and fined $20,000. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Schwan (CRD# 1421895).

John Schwan has spent 29 years in the securities industry and has been registered with Kovack Securities in Aberdeen, South Dakota since 2010. Previous registrations include Cambridge Investment Research in Aberdeen, South Dakota; Cap Pro Brokerage Services in Columbus, Ohio; FFP Securities in Chesterfield, Missouri; and NYLife Securities in New York, New York. He is a registered broker and investment adviser 33 US states and territories. Continue Reading

Sheldon HarberAccording to records provided by the Financial Industry Regulatory Authority (FINRA), former Missouri-based Geneos broker Sheldon Harber is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Sheldon Harber (CRD# 867340).

Sheldon Harber has spent 36 years in the securities industry and was most recently registered with Geneos Wealth Management in St. Louis, Missouri (2014-2016). Previous registrations include Cambridge Investment Services in St. Louis, Missouri (2002-2014); FSC Securities in Atlanta, Georgia (1993-2002); TransAmerica Financial Services in Los Angeles, California (1988-1993); TransAmerica Securities Sales Corporation in Los Angeles, California (1988-1993); Chubb Securities Corporation (1980-1988); and ManEquity (1970-1980). He is currently not registered with any state or firm. Continue Reading

Thomas AndrewsAccording to records provided by the Financial Industry Regulatory Authority (FINRA), former Utah-based LPL broker Tom Andrews is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Andrews (CRD# 4587953).

Thomas Andrews has spent ten years in the securities industry and was most recently registered with LPL Financial in Salt Lake City, Utah (2005-2015). He is currently not registered with any state or firm. Continue Reading

Carl BuschThe securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Oklahoma-based WFG broker/adviser Carl Busch (CRD# 36837).

Carl Busch has spent 46 years in the securities industry and has been registered with WFG Investments in Oklahoma City, Oklahoma since 2007. Previous registrations include Southwest Securities in Oklahoma City, Oklahoma (2004-2007); Wachovia Securities in St. Louis, Missouri (2003-2004); Prudential Securities in New York, New York (1985-2003); EF Hutton & Company (1984-1985); Painewebber Incorporated (1980-1984); Paine Webber Jackson & Curtis (1974-1980); and Merrill Lynch Pierce Fenner & Smith (1969-1974). He is a registered broker and investment adviser in four US states: California, Lousiana, Oklahoma, and Texas. Continue Reading

David LevorchickThe securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ohio-based EK Riley Investments broker/adviser David Levorchick (CRD# 4849302).

David Levorchick has spent ten years in the securities industry and has been registered with EK Riley Investments in Sidney, Ohio since 2014. Previous registrations include US Bancorp Investments in Botkins, Ohio (2008-2014); Natcity Investments in Huber Heights, Ohio (2005-2008); and MWA Financial Services in Rock Island, Illinois (2004-2005). He is a registered broker and investment adviser in Florida and Ohio. Continue Reading

Zahir Walji According to records provided by the Financial Industry Regulatory Authority (FINRA), former Texas-based Oppenheimer broker Zahir Walji is currently not registered 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. Walji (CRD# 5073186).

Zahir Walji has spent eight years in the securities industry and was most recently registered with Oppenheimer & Company in Austin, Texas (2012-2014). He was previously registered with UBS Financial Services in Austin, Texas (2006-2012). He is currently not registered with any state or firm. Continue Reading

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