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Articles Posted in Customer Complaint

In recent years UBS Financial Services has recommended some of its high net worth clients invest in its Yield Enhancement Strategy. Also known as YES, the program was marketed as a low-risk strategy designed to create supplementary income for UBS clients. However, many investors are now alleging that they suffered unrealized losses through the program, […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 24, 2019 indicate that Texas-based First Financial Securities of America broker Richard Gornto has received resolved or pending customer complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gornto (CRD# 841493). Richard Gornto has spent […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 24, 2019 indicate that former New Jersey-based Triad Advisors broker Stephen DeCesare, who is currently registered as an investment adviser with DeCesare Retirement Specialists, has received a pending customer complaint. Fitapelli Kurta is interested in speaking to investors who have […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 24, 2019 indicate that Illinois-based Berthel Fisher & Company Financial Services broker/adviser Gordon Roberts has received resolved or pending customer complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Roberts (CRD# 1474475). Gordon Roberts has […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 24, 2019 indicate that New Jersey-based Herbert J. Sims & Company broker Joseph Teifer has received pending customer complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Teifer (CRD# 4837464). Joseph Teifer has spent 14 years […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that former Arizona-based First Financial Equity Corporation broker Stephen Whittaker has received a pending customer dispute and was recently terminated from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 29, 2019 indicate that New Jersey-based UBS Financial Services broker/adviser Andrew Perry has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Perry (CRD# 1726938). Andrew Perry has spent 30 years […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 29, 2019 indicate that New York-based Worden Capital Management broker Gregory Dean has received numerous resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Dean (CRD# 5822512). Gregory Dean has spent […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 29, 2019 indicate that former New York-based Worden Capital Management broker Wesley Wallace, who has received resolved or pending customer disputes, is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 29, 2019 indicate that New York-based UBS Financial Services broker/adviser Mark Zeller has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Zeller (CRD# 2263684). Mark Zeller has spent 25 years […]

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