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Articles Posted in Customer Complaint

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 4, 2018 indicate that Nevada-based NYLife Securities broker Michael Norman has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 4, 2018 indicate that Texas-based LPL Financial broker/adviser Celia Scott has been involved in a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Scott (CRD# 2870484). Celia Scott has spent 21 years in […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 4, 2018 indicate that Texas-based LPL Financial broker/adviser Bradley Scott has been involved in a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Scott (CRD# 4381014). Bradley Scott has spent 17 years in […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 4, 2018 indicate that Texas-based LPL Financial broker/adviser Bradley Bowman has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bowman (CRD# 2898756). Bradley Bowman has spent 21 years in the […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 4, 2018 indicate that Texas-based LPL Financial broker/adviser Cecil Ross has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ross (CRD# 2391047). Cecil Ross has spent 24 years in the securities […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 26, 2018 indicate that Washington-based LPL Financial Services broker/adviser Kirk Balin has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Balin (CRD# 4590715). Kirk Balin has spent 15 years in […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 26, 2018 indicate that Texas-based Cetera Advisors broker/adviser Travis Hughes has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hughes (CRD# 1532177). Travis Hughes has spent 32 […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 16, 2018 indicate that South Carolina-based Centaurus Financial broker Atul Makharia has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Makharia (CRD# 5070762). Atul Makharia has spent 12 years in […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 16, 2018 indicate that former Ohio-based Stifel Nicolaus & Company broker/adviser Michael Iannarino, who has received customer disputes, was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 16, 2018 indicate that New York-based Newbridge Securities Corporation broker Jesse Krapf has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Krapf (CRD# 5467277). Jesse Krapf has spent nine years […]

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