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Articles Posted in FINRA Dispute Resolution

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 30, 2017 indicate that former Washington-based First Allied Securities broker Charles Lundell has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lundell (CRD# 314440). […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on September 20, 2016 indicate that Michigan-based brokerage firm Sigma Financial Corporation has agreed to settle alleged rule violations. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Sigma Financial Corporation (CRD# 14303). Sigma Financial […]

According to public records provided by the US Department of Justice on September 20, 2016, former American Realty Capital Partners Chief Financial Officer Brian Block has been arrested on charges including conspiracy and securities fraud. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 6, 2016 indicate that Florida-based LPL Financial broker/adviser Mark Dutram has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Dutram (CRD# 2416021). Mark Dutram […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 2, 2016 indicate that former New York-based E1 Asset Management broker Michael Schiavone 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. Schiavone (CRD# […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 23, 2016 indicate that New Jersey-based National Securities Corporation broker Matthew Fleissner has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Fleissner (CRD# […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on August 23, 2016 indicate that Illinois-based Triad Advisors broker James Walesa has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Walesa (CRD# 1061209). James […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 23, 2016 indicate that Virginia-based Capitol Securities Management broker/adviser Jerry Alley has received customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Alley (CRD# 1571590). Jerry Alley has spent […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 23, 2016 indicate that Florida-based National Planning Corporation broker/adviser Kenneth Saunders 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. Saunders (CRD# 1481528). Kenneth […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 22, 2016 indicate that Illinois-based Lincoln Financial Securities broker/adviser Alan Thomilson has been the subject of resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Thomilson […]

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