Articles Tagged with Suspended

shutterstock_45011008The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding New York-based National Securities broker Marc Arena (CRD# 2754309).

Marc Arena has spent nineteen years in the securities industry and has been registered with National Securities Corporation in Westbury, New York since 2013. Previous registrations include Newport Coast Securities in Westbury, New York (2008-2013); Basic Investors in Melville, New York (2006-2008); First Montauk Securities in Hauppage, New York (2003-2006); Harrison Securities in Port Washington, New York (2002-2003); Mantis Securities in Levittown, New York (2000-2002); Gunnallen Financial in Tampa, Florida (1998-2000); and Duke & Company in New York, New York (1996-1998). One of Mr. Arena’s former employers, Harrison Securities, has since been expelled by the Financial Industry Regulatory Authority (FINRA). He is a registered broker with 27 US states. Continue Reading

iStock_000007448womanAccording to records provided by the Financial Industry Regulatory Authority (FINRA), former New York-based Voya broker Frederick Monroe has been permanently barred from acting as a broker. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Monroe (CRD# 2457010).

Frederick Monroe has spent twenty years in the securities industry and was most recently registered with Voya Financial Advisors in Albany, New York (2006-2015). Previous registrations include Northwestern Mutual Investment Services in Latham, New York (1994-2006) and Robert W. Baird & Company in Milwaukee, Wisconsin (1994-2002). He is currently not registered with any state or firm. Continue Reading

shutterstock_212979097According to records provided by the Financial Industry Regulatory Authority (FINRA), former California-based Centaurus broker Stephen Lard 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 speaking to investors who have complaints regarding Mr. Lard (CRD# 2448784).

Stephen Lard has spent twenty years in the securities industry and was most recently registered with Centaurus Financial in Roseville, California (2011-2014). Previous registrations include QA3 Financial in Roseville, California (2000-2011); Locust Street Securities in Des Moines, Iowa (1999-2000); WS Griffith & Company in Hartford, Connecticut (1999-1999); MML Investors Services in Springfield, Massachusetts (1996-1998); and The Advisors Group in Bethesda, Maryland (1994-1996). He is currently not registered with any state or firm. Continue Reading

shutterstock_101843953According to records provided by the Financial Industry Regulatory Authority (FINRA), former Massachusetts-based CCO Investment Services broker Mark Pompeo 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 speaking to investors who have complaints regarding Mr. Pompeo (CRD# 1897147).

Mark Pompeo has spent 26 years in the securities industry and was most recently registered with CCO Investment Services in Weymouth, Massachusetts (2012-2015). Previous registrations include Ocean Cross Capital Markets in Westport, Connecticut (2011-2012); Southridge Investment Group in Ridgefield, Connecticut (2010-2011); LPL Financial Corporation in Hingham, Massachusetts (2008-2010); Raymond James Financial Services in Plymouth, Massachusetts (2006-2008); Wachovia Securities Financial Network in Plymouth, Massachusetts (2004-2006); Wachovia Securities in St. Louis, Missouri (1999-2004); First Union Capital Markets in Charlotte, North Carolina (1998-1999); Legg Mason Wood Walker in Baltimore, Maryland (1994-1998); Gruntal & Company in New York, New York (1992-1994); Fechtor Detwiler & Company in Boston, Massachusetts (1989-1992); and Shearson Lehman Hutton (1988-1989). He is currently not registered with any state or firm. Continue Reading

shutterstock_163376417The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Connecticut-based Investment Center broker/adviser Leon Vaccarelli (CRD# 3227636).

Leon Vaccarelli has spent sixteen years in the securities industry and has been registered with the Investment Center in Waterbury, Connecticut since 2011. Previous registrations include QA3 Investment Corporation in Waterbury, Connecticut (2007-2011); Ameriprise Financial Services in Middlebury, Connecticut (1999-2007); and IDS Life Insurance Company in Minneapolis, Minnesota (1999-2006). He is a registered broker and investment adviser in seven US states: Connecticut, Florida, Massachusetts, New Hampshire, New York, North Carolina, and South Carolina. Continue Reading

shutterstock_164764706According to records provided by the Financial Industry Regulatory Authority (FINRA), former New Jersey-based International Assets Advisory broker Frank Meo 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. Meo (CRD# 1294392).

Frank Meo has spent 28 years in the securities industry and was most recently registered with International Assets Advisory in Madison, New Jersey (2014-2015). Previous registrations include Coastal Equities in Wilmington, Delaware (2014); PNC Investments in Madison, New Jersey (2009-2013); Commerce Capital Markets in Ramsey, New Jersey (1999-2008); Essex National Securities in Napa, California (1999); First Union Brokerage Services in Charlotte, North Carolina (1996-1999); FN Investment Center in Sacramento, California (1991-1996); A.G. Edwards & Sons in St. Louis, Missouri (1989-1990); Royal Alliance Associates in New York, New York (1989-1990); Integrated Resources Equity Corporation (1989); and Shearson Lehman Hutton (1984-1989). He is currently not registered with any state or firm. Continue Reading

shutterstock_212979097The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding New Hampshire-based MML broker Jeffrey Mayer (CRD# 4036612).

Jeffrey Mayer has spent fifteen years in the securities industry and has been registered with MML Investors Services in Bedford, New Hampshire since September 2015. Previous registrations include MML Investors Services (08/2011-07/2015) and NYLife Securities (2000-2011) in Bedford, New Hampshire. He is a registered broker in Maine and New Hampshire. Continue Reading

shutterstock_216917509According to records provided by the Financial Industry Regulatory Authority (FINRA), Maine-based Investors Capital broker/adviser Joseph Daigneault has signed a letter of Acceptance, Waiver, and Consent (# 2013038133001) consenting to a temporary suspension from the securities industry. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from advisors who have complaints regarding Mr. Daigneault (CRD# 1065249).

Joseph Daigneault has spent 33 years in the securities industry and has been registered with Investors Capital Corporation in Biddeford, Maine since 1996. Previous registrations include New Life Brokerage Services in Waterville, Maine (1990-1995); Commonwealth Equity Services in Waltham, Massachusetts (1989-1990); WS Griffith & Company (1985-1988); TransAmerica Financial Services (1985-1986); MetLife Securities (1982-1985); and Metropolitan Life Insurance Company (1982-1985). He is a registered broker and investment adviser in Arizona, Connecticut, Florida, Maine, Massachusetts, New Mexico, and North Carolina. Continue Reading

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