Articles Tagged with Winslow Evans & Crocker

Dolores KongPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 25, 2017 indicate that Massachusetts-based Winslow Evans & Crocker broker/adviser Dolores Kong has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Kong (CRD# 4470059).

Dolores Kong has spent 16 years in the securities industry and has been registered with WInslow Evans & Crocker in Boston, Massachusetts since 2004. She was previously registered with Detwiler Mitchell Fenton & Graves in Boston, Massachusetts (2001-2004). She has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on December 21, 2001, and Series 7 (General Securities Representative Examination), which she obtained on November 29, 2001. She is a registered broker and investment adviser with 17 US states and territories: California, Colorado, Connecticut, the District of Columbia, Florida, Hawaii, Idaho, Illinois, Maryland, Massachusetts, Michigan, New Hampshire, New York, Oregon, Pennsylvania, Texas and Wisconsin.

According to her BrokerCheck report, she has received three customer complaints.

Stephen Conrad

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 23, 2017 indicate that Massachusetts-based Wood Company broker Stephen Conrad has been the subject of customer complaints and regulatory sanctions. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Conrad (CRD# 52604).

Stephen Conrad has spent 41 years in the securities industry and has been registered with Wood Company in Boston, Massachusetts since January 2017. Previous registrations include Winslow Evans & Crocker in Boston, Massachusetts; Oppenheimer & Company in Boston, Massachusetts; Josephthal & Company in New York, New York; Cowen & Company; and Legg Mason Wood Walker. He is currently not licensed in any US state.

According to his BrokerCheck report, he has received four customer complaints and two regulatory sanctions

 Shawn Devillier Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that Massachusetts-based Winslow Evans & Crocker broker/adviser Shawn Devillier 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. Devillier (CRD# 1730798).

Shawn Devillier has spent 28 years in the securities industry and has been registered with Winslow Evans & Crocker in Boston, Massachusetts since 2011. Previous registrations include Raymond James & Associates in Springfield, Massachusetts; Morgan Stanley DW in Purchase, New York; and Merrill Lynch in New York, New York. He is a registered broker and investment adviser with six US states: Colorado, Connecticut, Florida, Massachusetts, New York, and Texas. Continue Reading

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