Articles Tagged with tax lien

Ray Anthony San PedroPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that New York-based National Securities Corporation broker Ray Anthony San Pedro has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. San Pedro (CRD# 4565686).

Ray Anthony San Pedro has spent 13 years in the securities industry and has been registered with National Securities Corporation in New York, New York since 2008. Previous registrations include Rockwell Securities in New York, New York; Chicago Investment Group, which has since been expelled by FINRA, in New York, New York; First Republic Group, which has since been expelled by FINRA, in New York, New York; and Gilford Securities Corporation in New York, New York. He is a registered broker with 43 US states and territories. Continue Reading

James HopkinsPublic records published by the Financial Industry Regulatory Authority (FINRA) on July 27, 2016 indicate that Florida-based Dawson James Financial broker James Hopkins is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hopkins (CRD# 2688074).

James Hopkins has spent 11 years in the securities industry and has been registered with Dawson James Securities in Boca Raton, Florida since 2014. Previous registrations include Sky Capital, which has since been expelled by FINRA, in New York, New York; Viewtrade Financial in Boca Raton, Florida; SAL Investment Services in Birmingham, Alabama; Sterling Financial Investment Group, which has since been expelled by FINRA, in Boca Raton, Florida; the Thornwater Company in New York, New York; Prime Charter in New York, New York; Shamus Group; and Roan Capital Partners in New York, New York. He is a registered broker with six US states: California, Florida, Illinois, New York, Pennsylvania, and Utah. Continue Reading

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