Articles Tagged with Unauthorized trades

Troy BryantPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 15, 2016 indicate that Maryland-based Wells Fargo Advisors broker/adviser Troy Bryant has been the subject of settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bryant (CRD# 2361343).

Troy Bryant has spent 22 years in the securities industry and has been registered with Wells Fargo Advisors in Baltimore, Maryland since March 2015. Previous registrations include UBS Financial Services in Baltimore, Maryland; Merrill Lynch in Baltimore, Maryland; Prudential Securities in New York, New York; Smith Barney in New York, New York; Baltimore Bancorp Investment Services; Smith Barney Shearson in New York, New York; and Lehman Brothers in New York, New York. He is a registered broker and investment adviser with 17 US states and territories: California, Colorado, Connecticut, Delaware, the District of Columbia, Florida, Georgia, Maryland, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Virginia, and Wisconsin. Continue Reading

Gary NeedhamPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 14, 2016 indicate that Massachusetts-based LPL Financial broker Gary Needham has been named in a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Needham (CRD# 2366853).

Gary Needham has spent 22 years in the securities industry and has been registered with LPL Financial in Manchester-by-the-Sea, Massachusetts since 2003. Previously registrations include Wachovia Securities in St. Louis, Missouri; Prudential Securities in New York, New York; and Dean Witter Reynolds in Purchase, New York. He is a registered broker with 17 US states and territories: Arizona, California, Connecticut, Florida, Georgia, Illinois, Maine, Massachusetts, New Hampshire, New Jersey, New York, Oregon, Pennsylvania, Rhode Island, Tennessee, Virginia, and Washington. Continue Reading

Kenneth Bruno Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 14, 2016 indicate that New Jersey-based Stifel Nicolaus & Company broker/adviser Kenneth Bruno has received 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. Bruno (CRD# 854559).

Kenneth Bruno has spent 38 years in the securities industry and has been registered with Stifel Nicolaus & Company in Hackensack, New Jersey since 2014. Previous registrations include Oppenheimer & Company in Saddle Brook, New Jersey; Citigroup Global Markets in Paramus, New Jersey; Lehman Brothers in New York, New York; Janney Montgomery Scott; Merrill Lynch; Herzfeld & Stern; LF Rothschild Unterburg Towbin; Lehman Brothers Kuhn Loeb; and Verrilli Altschuller Schwartz. He is a registered broker and investment adviser with 15 US states and territories. Continue Reading

 Anthony Mazzo Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that Florida-based BB&T Securities broker/adviser Anthony Mazzo has been named in a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mazzo (CRD# 2385020).

Anthony Mazzo has spent 22 years in the securities industry and has been registered with BB&T Securities in Palm Beach, Florida since April 2016. Previous registrations include UBS Financial Services in Boca Raton, Florida; Oppenheimer & Company in Boca Raton, Florida; Wachovia Securities in Del Ray Beach, Florida; Raymond James & Associates in St. Petersburg, Florida; Dean Witter Reynolds in Purchase, New York; Gruntal & Company in New York, New York; and GKN Securities in New York, New York. He is a registered broker and investment adviser with 18 US states and territories. Continue Reading

Ryan Weiner Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 7, 2016 indicate that Florida-based Joseph Stone Capital broker Ryan Weiner is the subject of pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Weiner (CRD# 1534253).

Ryan Weiner has spent five years in the securities industry and has been registered with Joseph Stone Capital in Aventura, Florida since March 2016. Previous registrations include Laidlaw & Company in St. Petersburg, Florida (2013-2015); Hunter Scott Financial, which has since been expelled by FINRA, in Del Ray Beach, Florida (2012-2013); and Rockwell Global Capital in Farmingdale, New York (2010-2012). He is a registered broker in Florida and New York. Continue Reading

Howard WenPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 22, 2016 indicate that California-based Morgan Stanley broker/adviser Howard Wen 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. Wen (CRD# 2833693).

Howard Wen has spent 18 years in the securities industry and has been registered with Morgan Stanley in Pasadena, California since March 2016. He was previously registered with Merrill Lynch in Pasadena, California (1998-2016). He is a registered broker and investment adviser with eight US states: California, Florida, Massachusetts, Michigan, New Jersey, New York, Pennsylvania, and Washington. Continue Reading

Dion Padilla Public records published by the Financial Industry Regulatory Authority (FINRA) on June 22, 2016 indicate that Texas-based Next Financial Group broker/adviser Dion Padilla is the subject of a pending FINRA complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Padilla (CRD# 4432230).

Dion Padilla has spent 14 years in the securities industry and has been registered with Next Financial Group in San Antonio, Texas since 2006. Previous registrations include Securities America in La Vista, Nebraska; UBS Financial Services in Weehawken, New Jersey; Valic Financial Advisors in Houston, Texas; and Merrill Lynch in New York, New York. He is a registered broker and investment adviser with four US states: California, Colorado, Missouri, and Texas. Continue Reading

Peter GirgisPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 21, 2016 indicate that New York-based Legend Securities broker Peter Girgis is the subject of settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Girgis (CRD# 4520444).

Peter Girgis has spent 13 years in the securities industry and has been registered with Legend Securities in New York, New York since 2013. Previous registrations include Joseph Gunnar & Company in Staten Island, New York; Brookstone Securities, which has since been expelled by FINRA, in Staten Island, New York; JP Turner & Company in Staten Island, New York; Gunnallen Financial in Staten Island, New York; and Joseph Stevens & Company in Brooklyn, New York. He is a registered broker with 19 US states and territories. Continue Reading

Bradley Ross Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 16, 2016 indicate that Florida-based UBS Financial Services broker/adviser Bradley Ross 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. Ross (CRD# 1325524).

Bradley Ross has spent 31 years in the securities industry and has been registered with UBS Financial Services in Fort Lauderdale, Florida since 2011. Previous registrations include Raymond James & Associates in Fort Lauderdale (2006-2011); Janney Montgomery Scott in Fort Lauderdale (1999-2006); Gruntal & Company in New York, New York (1997-1999); Coburn & Meredith in Simsbury, Connecticut (1995-1997); First Montauk Securities in Red Bank, New Jersey (1995); Meridian, Dunhill & Company (1994-1995); Dunhill Equities in Garden City, New Jersey (1992-1994); Prudential Securities in New York, New York (1990-1992); Legg Mason Wood Walker in Baltimore, Maryland (1989-1990); and Dean Witter Reynolds (1985-1990). He is a broker and investment adviser registered in 26 US states and territories. Continue Reading

Sherry BremerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 14, 2016 indicate that Florida-based Cetera Advisors broker/adviser Sherry Bremer, also known as Sherry Tucker, has been sanctioned by the Florida Office of Financial Regulation. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Bremer (CRD# 1194878).

Sherry Bremer has spent 32 years in the securities industry and has been registered with Cetera Advisors in Orlando, Florida since 2015. Previous registrations include Triad Advisors in Winter Park, Florida; Summit Brokerage Services in Oxford, Florida; AIG Financial Advisors in Winter Park, Florida; Lincoln Financial Advisors in Maitland, Florida; Raymond James Financial Services in Winter Park, Florida; Fiserv Investor Services in Houston, Texas; Raymond James Financial Services in St. Petersburg, Florida; JJB Hilliard WL Lyons in Louisville, Kentucky; Robert W. Baird & Company in Milwaukee, Wisconsin; Illinois Company Investments; Integrated Resources Equity Corporation; and Thomson McKinnon Securities. She is a registered broker and investment adviser with five US states and territories: the District of Columbia, Florida, Indiana, North Carolina, and Rhode Island. Continue Reading

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