Articles Tagged with unregistered

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

Patrick MackaronisPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 23, 2016 indicate that former New Jersey-based Wells Fargo broker Patrick Mackaronis 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. Mackaronis (CRD# 5435817).

Patrick Mackaronis has spent four years in the securities industry and was most recently registered with Wells Fargo Advisors in Wayne, New Jersey (2008-2012). He is currently not registered with any state or firm. Continue Reading

Lizabeth TyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 12, 2016 indicate that former Texas-based Park Avenue Securities broker Lizabeth Ty has been permanently barred from acting 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. Ty (CRD# 4737319).

Lizabeth Ty has spent 10 years in the securities industry and was most recently registered with Park Avenue Securities in Houston, Texas (2006-2015). Previous registrations include Brookstreet Securities Corporation in San Juan Capistrano, California (2004) and Ameritas Investment Corporation in Lincoln, Nebraska (2004). She is currently not registered with any state or firm. Continue Reading

Gary Vanden BuschPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 10, 2016 indicate that former Wisconsin-based Sagepoint Financial broker Gary Vanden Busch 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. Vanden Busch (CRD# 4230756).

Gary Vanden Busch has spent nine years in the securities industry and was most recently registered with Sagepoint Financial in La Crosse, Wisconsin (2005-2009). Previous registrations include SunAmerica Securities in Phoenix, Arizona (2003-2005) and Waddell & Reed in Overland Park, Kansas (2000-2003). He is currently not registered with any state or firm. Continue Reading

Brian SheaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 27, 2016 indicate that former New York-based McGinn Smith & Company broker Brian Shea 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. Shea (CRD# 2570872).

Brian Shea has spent 13 years in the securities industry and was most recently registered with McGinn Smith & Company in Albany, New York (1996-2010). Previous registrations include Pointe Capital in Tampa, Florida (2001-2004) and Online Capital Securities in Albany, New York (2001-2003). He is currently not registered with any state or firm. Continue Reading

Steven SimonePublic records provided by the Financial Industry Regulatory Authority (FINRA) on April 27, 2016 indicate that former New York-based Salomon Whitney broker Steven Simone has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Simone (CRD# 2413602).

Steven Simone has spent 17 years in the securities industry and was most recently registered with Salomon Whitney in Babylon Village, New York (2008-2011). Previous registrations include Westrock Advisors in Melville, New York; Raike Financial Group in Woodstock, Georgia; GIT Securities Corporation in Plainview, New York; Clark Street Capital in Levittown, New York; Royal Hutton Securities in New York, New York; Toluca Pacific Securities in Burbank, California; Hanover Sterling & Company in New York, New York; and GKN Securities in New York, New York (1993-1994). Of his former employers, four have since been expelled by FINRA: Westrock Advisors, GIT Securities, Clark Street Capital, and Royal Hutton Securities. He is currently not registered with any state or firm. Continue Reading

Kazia BekinsPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 20, 2016 indicate that former Florida-based JP Morgan Securities broker Kazia Bekins 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 Ms. Bekins (CRD# 4894814).

Kazia Bekins has spent eight years in the securities industry and was most recently registered with JP Morgan Securities in Boynton Beach, Florida (2012-2013). Previous registrations include Chase Investment Services Corporation in Boynton Beach, Florida (2010-2012); LPL Financial Corporation in Deerfield Beach, Florida (2009-2010); ING Financial Partners in Boca Raton, Florida (2006-2009); Ameriprise Financial Services in Boca Raton, Florida (2005-2006); and IDS Life Insurance Company in Minneapolis, Minnesota (2005-2006). She is currently not registered with any state or firm, nor licensed to act as a broker or an investment adviser. Continue Reading

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