Articles Tagged with Unsuitability

Trevor WurtzebachPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 8, 2016 indicate that Illinois-based JP Morgan broker/adviser Trevor Wurtzebach 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. Wurtzebach (CRD# 5134519).

Trevor Wurtzebach has spent nine years in the securities industry and has been registered with JP Morgan in Wilmette, Illinois since April 2016. Previous registrations include JP Morgan Securities in Chicago, Illinois (2014-2016); Sigma Financial Corporation in Chicago, Illinois (2010-2013); and National Securities Corporation in Chicago, Illinois (2006-2010). He is a registered broker and investment adviser five US states and territories: California, Florida, Illinois, North Carolina, and Texas. Continue Reading

Richard ColemanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 8, 2016 indicate that New York-based Salomon Whitney Financial broker Richard Coleman has been the subject of customer complaints and regulatory sanctions. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Coleman (CRD# 2720422).

Richard Coleman has spent 19 years in the securities industry and has been registered with Salomon Whitney Financial in Farmingdale, New York since February 2016. Previous registrations include Legend Securities in Miller Place, New York; Tryco Securities in Melville, New York; Brookville Capital Partners, which has since been expelled by FINRA, in Melville, New York; John Thomas Financial, which has since been expelled by FINRA, in New York, New York; Woodstock Financial Group in Farmingdale, New York; Rockwell Global Capital in Port Jefferson, New York; Aura Financial Services in East Setauket, New York; A&F Financial Services in Mount Dora, Florida; New Castle Financial Services, which has since been expelled by FINRA, in Melville, New York; Benson York Group in Melville, New York; LH Ross & Company in Boca Raton, Florida; Granite Associates in Del Ray Beach, Florida; Continental Broker-Dealer, which has since been expelled by FINRA, in Carle Place, New York; Whitehall Wellington Investments in Port Washington, New York; and Gaines Berland in Bethpage, New York. He is a registered broker with 16 US states and territories: California, Connecticut, the District of Columbia, Georgia, Iowa, Louisiana, Minnesota, Nebraska, New York, North Carolina, Oklahoma, Pennsylvania, Rhode Island, South Carolina, Texas, and Wyoming. Continue Reading

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

John SaccentePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that New York-based Cova Capital Partners broker John Saccente 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. Saccente (CRD# 2581445).

John Saccente has spent 11 years in the securities industry and has been registered with Cova Capital Partners in New York, New York since April 2016. Previous registrations include Legend Securities in Syosset, New York; Tryco Securities in Melville, New York; Brookville Capital Partners, which has since been expelled by FINRA, in Melville, New York; John Thomas Financial, which has since been expelled by FINRA, in New York, New York; Meyers Associates in New York, New York; Blackwall Capital Partners in New York, New York; Brookville Capital Partners, which has since been expelled by FINRA, in Uniondale, New York; EKN Financial, which has since been expelled by FINRA, in Melville, New York; New Castle Financial Services, which has since been expelled by FINRA, in New York, New York; and Great Eastern Securities in New York, New York. He is a registered broker and investment adviser with 18 US states and territories: California, the District of Columbia, Illinois, Indiana, Iowa, Kansas, Louisiana, Minnesota, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, Rhode Island, South Carolina, Vermont, Washington, and West Virginia. Continue Reading

Arlon Enmeier Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that California-based Securities America broker/adviser Arlon Enmeier 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. Enmeier (CRD# 1000999).

Arlon Enmeier has spent 34 years in the securities industry and has been registered with Securities America in San Clemente, California since 1994. Previous registrations include Linsco/Private Ledger Corporation in Boston, Massachusetts; EBM World Network Incorporated; IDM Securities Corporation; All Services Financial Center; and University Securities. He is a registered broker and investment adviser with 23 US states and territories: Arizona, California, Colorado, Florida, Georgia, Hawaii, Idaho, Illinois, Kansas, Mississippi, Montana, Nebraska, Nevada, New York, Oklahoma, Oregon, Pennsylvania, South Carolina, Texas, Utah, Virginia, Washington, and Wisconsin. Continue Reading

James MirendaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that New York-based Legend Securities broker James Mirenda has been the subject of customer complaints and a regulatory sanctions. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mirenda (CRD# 2585792).

James Mirenda has spent eight years in the securities industry and has been registered with Legend Securities in Miller Place, New York since April 2015. Previous registrations include Tryco Securities in Miller Place, New York; Brookville Capital Partners, which has since been expelled by FINRA, in Miller Place, New York; John Thomas Financial, which has since been expelled by FINRA, in New York, New York; JD Nicholas & Associates in Lake Grove, New York; EKN Financial Services, which has since been expelled by FINRA, in Melville, New York; Joseph Gunnar & Company in Medford, New York; EKN Financial Services, which has since been expelled by FINRA, in Farmingville, New York; KC Ward Financial in Ronkonkoma, New York; American Capital Partners in Medford, New York; Clark Dodge & Company in Dodge City, New York; and World Equity Group in Garden City, New York. He is a registered broker with seven US states: California, Connecticut, Iowa, Minnesota, New York, Oklahoma, and Wyoming. Continue Reading

Jeffrey Geraci Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that Virginia-based Intervest International Equities Corporation broker/adviser Jeffrey Geraci 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. Geraci (CRD# 1839469).

Jeffrey Geraci has spent 27 years in the securities industry and has been registered with Intervest International Equities Corporation in Virginia Beach, Virginia since 2010. Previous registrations include MICG Investment Management, which has since been expelled by FINRA, in Virginia, Beach, Virginia; Infinex Investments in Virginia Beach, Virginia; BI Investments in Virginia Beach, Virginia; and First Command Financial Planning in Tampa, Florida. He is a registered broker and investment adviser with 10 US states and territories: California, Colorado, Florida, Hawaii, Illinois, Maryland, North Carolina, Texas, Utah, and Virginia. Continue Reading

Cheryl KitashimaPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that Washington-based Centaurus Financial broker/adviser Cheryl Kitashima 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 Ms. Kitashima (CRD# 729389).

Cheryl Kitashima has spent 35 years in the securities industry and has been registered with Centaurus Financial in Bellevue, Washington since 2005. Previous registrations include KMS Financial Services in Seattle, Washington; Pacific Harbor Securities in Highland, Utah; Royal Alliance Associates in New York, New York; Integrated Resources Equity Corporation; FSC Securities; and Waddell & Reed. She is a registered broker and investment adviser with nine US states and territories: Arizona, California, Colorado, Idaho, Montana, New Mexico, Oregon, Utah, and Washington. 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

David PettyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that Alabama-based Raymond James & Associates broker/adviser David Petty has received numerous customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Petty (CRD# 2031149).

David Petty has spent 26 years in the securities industry and has been registered with Raymond James & Associates in Montgomery, Alabama since 2013. Previous registrations include Morgan Keegan & Company in Montgomery, Alabama; Regions Investment Company in Birmingham, Alabama; American Express Financial Advisors in Minneapolis, Minnesota; IDS Life Insurance Company in Minneapolis, Minnesota; and the Stuart-James Company in Denver, Colorado. He is a registered broker and investment adviser with nine US states and territories: Alabama, Florida, Georgia, Maryland, Mississippi, North Carolina, Tennessee, Texas, and Virginia. Continue Reading