Articles Tagged with TIC Complaints

 Tomas Velken Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 16, 2016 indicate that California-based Sigma Financial broker Tomas Velken has received numerous resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Velken (CRD# 1600404).

Tomas Velken has spent 12 years in the securities industry and has been registered with Sigma Financial Corporation in Lafayette, California since 2003. He is a registered broker in eight US states: Arizona, California, Florida, Indiana, Nevada, New Jersey, New York, and Wisconsin. Continue Reading

Alan ShorrPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 22, 2016 indicate that that California and Massachusetts-based Independent Financial Group broker/adviser Alan Shorr is 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. Shorr (CRD# 1040305).

Alan Shorr has spent 33 years in the securities industry and has been registered with Independent Financial Group in Sherman Oaks, California and Boston, Massachusetts since 2010. Previous registrations include AFA Financial Group in Bakersfield, California (2003-2010); Sentra Securities Corporation in Phoenix, Arizona (1998-2003); United Pacific Securities in Carlsbad, California (1995-1998); Titan/Value Equities Group in Irvine, California (1985-1995); Financial Network Investment Corporation (1983-1985); and University Securities Corporation (1982-1983). He is a registered broker and investment adviser in five US states—California, Connecticut, Massachusetts, Oklahoma, and Oregon. Continue Reading

Fera ShivaeeCalifornia-based Centaurus Financial broker/adviser Fera Shivaee, also known as Fereshteh Fera and Fereshteh Nahavandi, is the subject of pending customer complaints. The securiteis and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Ms. Shivaee (CRD# 2271590).

Fera Shivaee has spent 22 years in the securities industry and has been registered with Centaurus Financial in Laguna Niguel, California since 1997. Previous registrations include: SunAmerica Securities in Phoenix, Arizona (1996-1997); Finance 500 in Irvine, California (1995-1996); Centaurus Financial in Anaheim, California (1993-1996); and Mariner Financial Services in Largo, Florida (1993). She is a registered broker and investment adviser with six US states: Arizona, California, Missouri, Nevada, New Mexico, and North Carolina. Continue Reading

Robyn LeePublicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 2, 2016 indicate that former California-based Independent Financial Group broker Robyn Lee 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 Ms. Lee (CRD# 2846656).

Robyn Lee has spent 18 years in the securities industry and was most recently registered with Independent Financial Group in San Mateo, California (2007-2015). Previous registrations include Berthel Fisher & Company in Burlingame, California (2004-2007); ePlanning Securities in Roseville, California (2002-2004); Securities America in La Vista, Nebraska (2000-2002); Passport Securities in Burlingame, California (1999-2000); Capital Brokerage Corporation in Richmond, Virginia (1997-1999); and McClurg Capital Corporation in Rafael, California (1997-1998). She is currently not registered with any state or firm. Continue Reading

Corbin ThomasPublic records published by the Financial Industry Regulatory Authority (FINRA) on March 2, 2016 indicate that California-based McDermott Investment Services broker Corbin Thomas is 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. Thomas (CRD# 4234748).

Corbin Thomas has spent fifteen years in the securities industry and has been registered with McDermott Investment Services in Huntington Beach, California since 2012. Previous registrations include Centaurus Financial in Orange, California (2009-2012); Direct Capital Services in Costa Mesa, California (2004-2009); MCL Financial Group in Santa Ana, California (2003-2004); and NNN Capital Corporation in Santa Ana, California (2000-2003). He is a registered broker in 44 US states and territories. Continue Reading

Damian DeringPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 25th, 2016 indicate that California-based Concorde Investment Services broker/adviser Damian Dering is the subject of several settled, withdrawn or denied customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Dering (CRD# 2854253).

Damian Dering has spent eighteen years in the securities industry and has been registered with Concorde Investment Services in Playa Del Rey, California since 2014. Previous registrations include Independent Financial Group in Los Angeles, California (2008-2014); EPlanning Securities in Los Angeles, California (2007-2008); LINSCO/Private Ledger Corporation in Henderson, Nevada (2004-2007); SunAmerica Securities in Phoenix, Arizona (2003-2004); American Express Financial Advisors in Minneapolis, Minnesota (1997-2003); and IDS Life Insurance Company in Minneapolis, Minnesota (1997-2003). He is a registered broker and investment adviser with three US states: California, Idaho, and Washington. Continue Reading

Richard ZitoThe securities and investment fraud law firm Fitapelli Kurta is investigating allegations pertaining to unsuitable tenant-in-common (TIC) investments recommended by New York-based LPL Financial broker/investment adviser Richard Zito (CRD# 2280859).

Richard Zito has spent twenty-three years in the securities industry and has been registered with LPL Financial in Garden City, New York since 1997. Previous registrations include Investment Management & Research in St. Petersburg, Florida (1997); American Express Financial Advisors in Minneapolis, Minnesota (1992-1997); and IDS Life Insurance Company in Minneapolis, Minnesota (1992-1997). He is a registered broker and investment adviser in nineteen US states. Continue Reading

The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding California-based Independent Financial broker Ellen Friedman, also known as Ellen Kaplan and Ellen Simon (CRD# 424527).

Ellen Friedman has spent 39 years in the securities industry and has been registered with Independent Financial Group in Sherman Oaks, California since 2013. Previous registrations include GB Investment Securities in Los Angeles, California (2009-2011); AFA Financial Group in Calabasas, California (2005-2009); Financial West Group in Westlake Village, California (2004-2005); Planmember Securities Corporation in Carpinteria, California (2003-2004); Schoff & Baxter in Burlington, Iowa (2001-2003); Sutro & Company in San Francisco, California (2000-2001); Round Hill Securities in Alamo, California (1999-2000); Bear Stearns & Company in New York, New York (1976-1999); and Shearson Hayden Stone (1974-1975). She is a registered broker in California. Continue Reading

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding California and Massachusetts-based Independent Financial Group broker/adviser Alan Shorr (CRD# 1040305).

Alan Shorr has spent 33 years in the securities industry and has been registered with Independent Financial Group in Sherman Oaks, California and Boston, Massachusetts since 2010. Previous registrations include AFA Financial Group in Bakersfield, California (2003-2010); Sentra Securities Corporation in Phoenix, Arizona (1998-2003); United Pacific Securities in Carlsbad, California (1995-1998); Titan/Value Equities Group in Irvine, California (1985-1995); Financial Network Investment Corporation (1983-1985); and University Securities Corporation (1982-1983). He is a registered broker and investment adviser in seven US states: California, Connecticut, Massachusetts, Ohio, Oklahoma, Oregon, and Texas. Continue Reading

shutterstock_123948847According to records provided by the Financial Industry Regulatory Authority (FINRA), former California-based Independent Financial Group broker Robyn Lee 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. Lee (CRD# 2846656).

Robyn Lee has spent eighteen years in the securities industry and was most recently registered with Independent Financial Group in San Mateo, California (2007-2015). Previous registrations include Berthel Fisher & Company in Burlingame, California (2004-2007); ePlanning Securities in Roseville, California (2002-2004); Securities America in La Vista, Nebraska (2000-2002); Passport Securities in Burlingame, California (1999-2000); Capital Brokerage Corporation in Richmond, Virginia (1997-1999); and McClurg Capital Corporation in Rafael, California (1997-1998). She is currently not registered with any state or firm. Continue Reading