Articles Tagged with unsuitable

Dale CerbertPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2016 indicate that Florida-based FSC Securities broker/adviser Dale Cerbert has been the subject of customer complaints and regulatory sanctions. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Cerbert (CRD# 2986573).

Dale Cerbert has spent 18 years in the securities industry and has been registered with FSC Securities in The Villages, Florida since 2014. Previous registrations include Morgan Stanley in The Villages, Florida; National Planning in The Villages, Florida; Securities America in The Villages, Florida; National Planning in El Segundo, California; Securities America in La Vista, California; Conseco Securities in Carmel, Indiana; and Conseco Financial Services in Carmel, Indiana. He is a registered broker and investment adviser with 32 US states and territories. Continue Reading

James CarpenterFormer Oregon-based Sagepoint Financial broker James Carpenter 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. Carpenter (CRD# 2199138).

James Carpenter has spent 22 years in the securities industry and was most recently registered with Sagepoint Financial in Central Point, Oregon (2012-2015). Previous registrations include Next Financial Group in Central Point, Oregon (2007-2012) and InterSecurities in Rogue River, Oregon (1993-2007). He is currently not registered with any state or firm. Continue Reading

Samuel WymanNew York-based Ladenburg Thalmann & company broker  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. Wyman (CRD# 473707).

Samuel Wyman has spent 44 years in the securities industry and has been registered with Ladenburg Thalmann & Company in Westhampton Beach, New York since October 2015. Previous registrations include Gilford Securities in Westhampton, New York; Advest in Hartford, Connecticut; Donaldson Lufkin & Jenrette Securities in Jersey City, New York; Credit Suisse First Boston Corporation in New York, New York; Loeb Partners; Hornblower Weeks Noyes & Trask; Spencer Trask & Company; W.E. Hutton & Company; and Thomson McKinnon Securities. He is a registered broker with eighteen US states and territories: Arizona, Arkansas, California, Connecticut, the District of Columbia, Florida, Maryland, Massachusetts, Minnesota, Nevada, New Jersey, New Mexico, New York, Oregon, Pennsylvania, South Carolina, Texas, and Virginia. Continue Reading

Benjamin AibelNew York-based Wunderlich broker Benjamin Aibel is 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. Aibel (CRD# 1994).

Benjamin Aibel has spent 47 years in the securities industry and was most recently registered with Wunderlich Securities in New York, New York. He was previously registered with Sanders Morris Harris in New York, New York; Oppenheimer & Company in New York, New York; Advest in Hartford, Connecticut; Salomon Smith Barney in New York, New York; and four other broker-dealers since 1968. He is currently not registered with any state or firm. Continue Reading

Edward SchwarzCalifornia-based Merrill Lynch broker/adviser Edward Schwarz is the subject of resolved or pending customer disputes. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Schwarz (CRD# 843622).

Edward Schwarz has spent 38 years in the securities in the securities industry and has been registered with Merrill Lynch in San Diego, California since 1978. He is a registered broker and investment adviser with 25 US states and territories. Continue Reading

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