Articles Tagged with Terminated

Dalas Gunderson Public records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that California-based Kovack Securities broker/adviser Dalas Gunderson has received customer complaints and a regulatory sanction. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gunderson (CRD# 3107187).

Dalas Gunderson has spent 17 years in the securities industry and has been registered with Kovack Securities in Willows, California since May 2015. Previous registrations include Edward Jones in Willows, California; Merrill Lynch in Chico, California; and Painewebber in Weehawken, New Jersey. He is a registered broker and investment adviser in California. Continue Reading

 Sean Agahi Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that California-based Independent Financial Group broker/adviser Sean Agahi has been the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Agahi (CRD# 2448745).

Sean Agahi has spent 22 years in the securities industry and has been registered with Independent Financial Group in Folsom, California since August 2015. Previous registrations include First Allied Securities in San Ramon, California; Geneos Wealth Management in San Ramon, California; Securities America in La Vista, Nebraska; and Oak Brook Securities in Oakbrook Terrace, Illinois. He is a registered broker and investment adviser with Arizona, California, Nevada, and Texas. Continue Reading

Alexis Intili Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that New York-based Allstate Financial Services broker Alexis Intili 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 Ms. Intili (CRD# 2925224).

Alexis Intili has spent 14 years in the securities industry and has been registered with Allstate Financial Services in Staten Island, New York since February 2015. Previous registrations include M&T Securities in Havertown, Pennsylvania; Santander Securities in Union, New Jersey; LPL Financial in Union, New Jersey; Wamu investments in Staten Island, New York; BNY Investment Center in New York, New York; Quick & Reilly in New York, New York; Merrill Lynch in New York, New York; Fred Alger & Company in New York, New York; Chase Investment Services in Chicago, Illinois; Financial Network Investment Corporation in El Segundo, California; Essex National Securities in Napa, California; Fleet Enterprises in New York, New York; and Ryan Beck & Company in Florham Park, New Jersey. She is a registered broker in New Jersey and New York. Continue Reading

James WrightPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that New York-based American Portfolios Financial Services broker/adviser James Wright, also known as James Bertalan, was discharged from two previous employers. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bertalan (CRD# 1629437).

James Wright has spent 29 years in the securities industry and has been registered with American Portfolios Financial Services in New York, New York since March 2015. Previous registrations include Raymond James Financial Services in New York, New York; Ameriprise Financial Services in Garden City, New York; and IDS Life Insurance Company in Minneapolis, Minnesota. He is a registered broker and investment adviser with eight US states and territories: Arizona, Connecticut, the District of Columbia, New Jersey, New York, Ohio, South Carolina, and Virginia. Continue Reading

Lloyd DotsonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 27, 2016 indicate that former Connecticut-based Commonwealth Financial Network broker Lloyd Dotson 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. Dotson (CRD# 2551716).

Lloyd Dotson has spent 20 years in the securities industry and was most recently registered with Commonwealth Financial Network in New Canaan, Connecticut (2006-2016); Merrill Lynch in Stamford, Connecticut (2001-2006); and AG Edwards & Sons in St. Louis, Missouri (1995-2001). He is currently not registered with any state or firm. Continue Reading

Jamie AguilarPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 27, 2016 indicate that former California-based Morgan Stanley broker Jamie Aguilar 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. Aguilar (CRD# 3082057).

Jamie Aguilar has spent 17 years in the securities industry and was most recently registered with Morgan Stanley Smith Barney in San Diego, California (2009-2016). He was previously registered with Citigroup Global Markets in San Diego, California (1998-2008). He is currently not registered with any state or firm. Continue Reading

Fernando PohinaPublic records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that Washington-based Hornor Townsend & Kent broker/adviser Fernando Pohina has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pohina (CRD# 5624328).

Fernando Pohina has spent six years in the securities industry and has been registered with Hornor Townsend & Kent in Bellevue, Washington since March 2015. Previous registrations include Pruco Securities in Bellevue, Washington (2013-2014) and AXA Advisors in Bellevue, Washington (2009-2013). He is a registered broker and investment adviser with four US states: California, Colorado, Texas, and Washington. Continue Reading

Michael JumpPublic records published by the Financial Industry Regulatory Authority (FINRA) on July 6, 2016 indicate that former Florida-based Mutual Trust Company of America Securities broker Michael Jump 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. Jump (CRD# 1146669).

Michael Jump has spent 31 years in the securities industry and was most recently registered with Mutual Trust Company of America Securities in Clearwater, Florida (2016). Previous registrations include Investment Planners in Somonauk, Illinois; American General Securities in Somonauk, Illinois; Pruco Securities in Newark, New Jersey; and Pruco Securities. He is currently not registered with any state or firm. Continue Reading

Charles JenkinsPublic records published by the Financial Industry Regulatory Authority (FINRA) on July 6, 2016 indicate that Maryland-based Lombard Securities broker/adviser Charles Jenkins was discharged from his previous employer. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Jenkins (CRD# 3182100).

Charles Jenkins has spent 17 years in the securities industry and has been registered with Lombard Securities in Baltimore, Maryland since February, 2016. Previous registrations include Janney Montgomery Scott in Pittsburgh, Pennsylvania (2013-2016); PNC Investments in Pittsburgh, Pennsylvania (2004-2013); and Merrill Lynch in New York, New York (1999-2004). He is a registered broker and investment adviser with three US states: Maryland, Pennsylvania, and Virginia. Continue Reading

Jerry WellsPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 5, 2016 indicate that New York-based Sagepoint Financial broker/adviser Jerry Wells has received two customer complaints and was discharged from his former position at Wells Fargo Advisors. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wells (CRD# 1015358).

Jerry Wells has spent 34 years in the securities industry and has been registered with Sagepoint Financial in Rochester, New York since May 2016. Previous registrations include MetLife Securities in Rochester, New York; Metropolitan Life Insurance Company in Rochester, New York; Pruco Securities in Newark, New Jersey; the Prudential Insurance Company of America in Newark, New Jersey; Brent Capital in Pittsford, New York; and Essex Capital Markets in Rochester, New York. He is a registered broker and investment adviser with four US states: Connecticut, New York, Pennsylvania, and Virginia. Continue Reading