Articles Tagged with Unauthorized trades

Christian Herrera Public records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that New York-based Laidlaw & Company broker Christian Herrera 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. Herrera (CRD# 4158466).

Christian Herrera has spent 15 years in the securities industry and has been registered with Laidlaw & Company in New York, New York since September 2015. Previous registrations include Spartan Capital Securities in New York, New York; Empire Asset Management Company in New York, New York; Garden State Securities in New York, New York; Great Eastern Securities in New York, New York; Gunnallen Financial in New York, New York; and Continental Broker-Dealer Corporation, which has since been expelled by FINRA, in Carle Place, New York. He is a registered broker with 23 US states and territories. Continue Reading

Geoff CambalPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that Massachusetts-based NBC Securities broker Geoff Cambal has received several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cambal (CRD# 2494445).

Geoff Cambal has spent 17 years in the securities industry and has been registered with NBC Securities in Yarmouth, Massachusetts since August 2015. Previous registrations include JHS Capital Advisors in Osterville, Massachusetts; RBC Capital Markets in Osterville, Massachusetts; and Legg Mason Wood Walker in Baltimore, Maryland. He is a registered broker with 10 US states and territories: California, Connecticut, Florida, Maryland, Massachusetts, Nevada, New York, Pennsylvania, Rhode Island, and South Carolina. Continue Reading

Raymond ClarkPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 5, 2016 indicate that New York-based Woodstock Financial Group broker Raymond Clark has received several customer complaints. The securities and investment fraud law firm is interested in speaking to investors who have complaints regarding Mr. Clark (CRD# 2865619).

Raymond Clark has spent 19 years in the securities industry and has been registered with Woodstock Financial Group in Staten Island, New York since 2013. Previous registrations include Chelsea Financial Services in Staten Island, New York; JP Turner & Company in Tinton Falls, New Jersey; Grayson Financial, which has since been expelled by FINRA, in Red Bank, New Jersey; and MS Farrell & Company in Syosset, New York. He is a registered broker and investment adviser with 25 US states and territories. Continue Reading

Daniel RebmannPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that Texas-based UBS Financial Services broker/adviser Daniel Rebmann has received resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rebmann (CRD# 2254569).

Daniel Rebmann has spent 24 years in the securities industry and has been registered with UBS Financial Services in San Antonio, Texas since 2011. Previous registrations include Merrill Lynch in San Antonio, Texas; Banc One Securities in Chicago, Illinois; and Edward D. Jones & Company in St Louis, Missouri. He is a registered broker and investment adviser with 14 US states and territories: Arkansas, California, Colorado, Connecticut, Florida, Iowa, Louisiana, Massachusetts, Missouri, New Hampshire, North Carolina, Ohio, Texas, and Washington. Continue Reading

Charles PhelpsPublic records published by the Financial Industry Regulatory Authority (FINRA) on July 26, 2016 indicate that Kentucky-based JJB Hilliard broker/adviser Charles Phelps 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 Mr. Phelps (CRD# 2335942).

Charles Phelps has spent 23 years in the securities industry and has been registered with JJB Hilliard WL Lyons in Louisville, Kentucky since 2010. Previous registrations include Morgan Keegan & Company in Louisville, Kentucky; UBS PaineWebber in Weehawken, New Jersey; and JC Bradford & Company in New York, New York. He is a registered broker and investment adviser with 16 US states and territories: Alabama, California, Florida, Georgia, Illinois, Indiana, Kentucky, Michigan, Mississippi, Ohio, Oregon, Tennessee, Texas, Utah, Virginia, and Washington. Continue Reading

Ralph WardPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that New York-based Morgan Stanley broker/adviser Ralph Ward has received resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ward (CRD# 3245599).

Ralph Ward has spent 16 years in the securities industry and has been registered with Morgan Stanley in New York, New York since 2009. Previous registrations include Citigroup Global Markets in New York, New York; UBS International in Houston, Texas; UBS Painewebber in Weehawken, New Jersey; and Prudential Securities in New York, New York. He is a registered broker and investment adviser with 12 US states: California, Colorado, Connecticut, Florida, Louisiana, Massachusetts, New Hampshire, New Jersey, New Mexico, New York, Texas, and West Virginia. Continue Reading

Jonathan PeskinPublic records published by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that Florida-based National Securities broker Jonathan Peskin 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 Mr. Peskin (CRD# 1251889).

Jonathan Peskin has spent 28 years in the securities industry and has been registered with National Securities in Boca Raton, Florida since 2008. Previous registrations include Summit Brokerage Services in Boca Raton, Florida; Wachovia Securities in St. Louis, Missouri; JW Genesis Securities in Boca Raton, Florida; PaineWebber in Weehawken, New Jersey; Smith Barney in New York, New York; and Dean Witter Reynolds. He is a registered broker and investment adviser with eight US states and territories: California, Florida, Georgia, Iowa, Minnesota, New Jersey, New York, and Pennsylvania. Continue Reading

Howard LeePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 17, 2016 indicate that California-based Morgan Stanley broker/adviser Howard Lee is the subject of pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lee (CRD# 305269).

Howard Lee has spent 51 years in the securities industry and has been registered with Morgan Stanley in Westlake Village, California since 2010. Previous registrations include UBS Financial Services in Westlake Village, California; Bear Stearns & Company in New York, New York; and Lehman Brothers. He is a registered broker and investment adviser with 22 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Hawaii, Idaho, Illinois, Iowa, Massachusetts, Missouri, Nevada, New Hampshire, New York, North Carolina, Ohio, Oregon, Texas, Utah, Virginia, Washington, and Wyoming. Continue Reading

Brian StevensonPublic records provided by the Financial Industry Regulatory Authority (FINRA) on July 17, 2016 indicate that Ohio-based Wells Fargo broker/adviser Brian Stevenson has received numerous resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Stevenson (CRD# 1854798).

Brian Stevenson has spent 28 years in the securities industry and has been registered with Wells Fargo Advisors in Dublin, Ohio since January 2016. Previous registrations include Morgan Stanley in Dublin, Ohio (2009-2016); Morgan Stanley & Company in Dublin, Ohio (2007-2009); and Merrill Lynch in Upper Arlington, Ohio (1988-2007). He is a registered broker and investment adviser with 18 US states and territories: California, Florida, Georgia, Indiana, Iowa, Kansas, Michigan, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, West Virginia, and Wisconsin. Continue Reading

Charles CorrealPublic records provided by the Financial Industry Regulatory Authority (FINRA) on July 16, 2016 indicate that Pennsylvania-based Harvest Financial Corporation broker/adviser Charles Correal is the subject of three pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Correal (CRD# 1366202).

Charles Correal has spent 31 years in the securities industry and has been registered with Harvest Financial Corporation in Pittsburgh, Pennsylvania since May 2016. Previous registrations include Morgan Stanley in Upper St. Clair, Pennsylvania (2009-2016); Morgan Stanley & Company in Pittsburgh, Pennsylvania (2007-2009); Morgan Stanley DW in Pittsburgh, Pennsylvania (2006-2007); Janney Montgomery Scott in Cannonsburg, Pennsylvania (1992-2006); Legg Mason Wood Walker in Baltimore, Maryland (1988-1992); and Janney Montgomery Scott (1985-1988). He is a registered broker and investment adviser with six US states: California, Maryland, Ohio, Pennsylvania, Virginia, and West Virginia. Continue Reading