Articles Tagged with Unsuitability

Samuel Herbert Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Louisiana-based NYLife Securities broker/adviser Samuel Herbert has been the subject of numerous customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Herbert (CRD# 2679181).

Samuel Herbert has spent 20 years in the securities industry and has been registered with NYLife Securities in Lake Charles, Louisiana since 1995. He has no previous registrations. He is a registered broker and investment adviser with fourteen US states and territories: Alabama, Arizona, Arkansas, Louisiana, Maryland, Mississippi, New Jersey, New Mexico, New York, Oklahoma, Pennsylvania, South Dakota, Tennessee, and Texas. Continue Reading

Carlo Corzine Public records published by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Florida-based Dawson James Financial broker Carlo Corzine is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Corzine (CRD# 1928723).

Carlo Corzine has spent 26 years in the securities industry and has been registered with Dawson James Securities in Boca Raton, Florida since 2012. Previous registrations include Hamershlag Sulzberger Borg Capital Markets in New York, New York; Buckman Buckman & Reid in Boca Raton, Florida; Newbridge Securities in Boca Raton, Florida; Sterling Financial Investment Group, which has since been expelled by FINRA, in Boca Raton, Florida; Round Hill Securities in Alamo, California; Northeast Securities in Mitchelfield, New York; PCM Securities in Green Acres, Florida; Southeast Research Partners in Melville, New York; Josephthal Lyon & Ross in New York, New York; JW Gant & Associates; and Shearson Lehman Hutton in New York, New York. He is a registered broker and investment adviser with 16 US states and territories: Arizona, California, Delaware, Florida, Georgia, Indiana, Minnesota, Missouri, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Texas, Virginia, and Washington. Continue Reading

Lawrence GoldsteinPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that California-based Oppenheimer broker/adviser Lawrence Goldstein has received several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Goldstein (CRD# 3223787).

Lawrence Goldstein has spent 17 years in the securities industry and has been registered with Oppenheimer & Company in Los Angeles, California since 2003. Previous registrations include CIBC World Markets in New York, New York (2001-2003) and PaineWebber in Weehawken, New Jersey (1999-2001). He is a registered broker and investment adviser with 23 US states and territories: Alabama, Arizona, California, Colorado, Connecticut, Florida, Georgia, Hawaii, Iowa, Louisiana, Maryland, Michigan, Minnesota, Missouri, Nevada, New Jersey, New York, North Carolina, Pennsylvania, South Dakota, Tennessee, Texas, and Washington. Continue Reading

Simon KopelPublicly-available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Florida-based Wells Fargo broker/adviser Simon Kopel has been the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Kopel (CRD# 1497729).

Simon Kopel has spent 30 years in the securities industry and has been registered with Wells Fargo Advisors in Fort Lauderdale, Florida since 2011. Previous registrations include Merrill Lynch in Miami, Florida (1994-2011) and Dean Witter Reynolds in Purchase, New York (1986-1994). He is a registered broker and investment adviser with seven US states and territories: Colorado, Florida, Illinois, New York, Oregon, Puerto Rico, and Virginia. Continue Reading

Alexis Intili Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that New York-based Allstate Financial Services broker Alexis Intili 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 Ms. Intili (CRD# 2925224).

Alexis Intili has spent 14 years in the securities industry and has been registered with Allstate Financial Services in Staten Island, New York since February 2015. Previous registrations include M&T Securities in Havertown, Pennsylvania; Santander Securities in Union, New Jersey; LPL Financial in Union, New Jersey; Wamu investments in Staten Island, New York; BNY Investment Center in New York, New York; Quick & Reilly in New York, New York; Merrill Lynch in New York, New York; Fred Alger & Company in New York, New York; Chase Investment Services in Chicago, Illinois; Financial Network Investment Corporation in El Segundo, California; Essex National Securities in Napa, California; Fleet Enterprises in New York, New York; and Ryan Beck & Company in Florham Park, New Jersey. She is a registered broker in New Jersey and New York. Continue Reading

Mark WesleyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that former Ohio-based Ameriprise broker Mark Wesley 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. Wesley (CRD# 2511569).

Mark Wesley has spent 21 years in the securities industry and was most recently registered with Ameriprise Financial Services in Independence, Ohio (1994-2016). He was previously registered with IDS Life Insurance in Minneapolis, Minnesota (1994-2006). He is currently not registered with any state or firm. Continue Reading

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

Joseph McGinleyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 27, 2016 indicate that Pennsylvania-based Morgan Stanley broker/adviser Joseph McGinley has been the subject of two customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. McGinley (CRD# 327656).

Joseph McGinley has spent 42 years in the securities industry and has been registered with Joseph McGinley in Philadelphia, Pennsylvania since 2011. Previous registrations include UBS Financial Services in Philadelphia, Pennsylvania (2004-2011); Morgan Stanley DW in Purchase, New York (1978-2004); and Dean Witter & Company (1974-1978). He is a registered broker and investment adviser with 12 US states and territories: California, Colorado, Delaware, Florida, Illinois, Maryland, New Hampshire, New Jersey, New York, Oregon, Pennsylvania, and Vermont. Continue Reading

Barbara KenersonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that Rhode Island-based Janney Montgomery Scott broker/adviser Barbara Kenerson 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 Ms. Kenerson (CRD# 1060984).

Barbara Kenerson has spent 33 years in the securities industry and has been registered with Janney Montgomery Scott in Providence, Rhode Island since 1999. Previous registrations include PaineWebber in Weehawken, New Jersey (1990-1999) and Tucker Anthony in Boston, Massachusetts (1982-1990). She is a registered broker and investment adviser with 18 US states and territories: Alabama, Arkansas, California, Connecticut, Florida, Georgia, Indiana, Kentucky, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, Rhode Island, South Carolina, Texas, and West Virginia. 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

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