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Articles Posted in Terminated

Brandon Stimpson (CRD#: 4299623), who is not currently affiliated with any broker-dealer, is involved in a pending customer dispute, according to his BrokerCheck record accessed on August 7, 2019. On June 19, 2019, Stimpson became involved in a pending dispute in which a client alleges, “unsuitability, overconcentration and unauthorized trading, deceptive practices, failure to supervise, […]

Fred Stow (CRD#: 864436), formerly a registered representative with Raymond James & Associates in Nashville, Tennessee, is involved in a pending dispute in which a customer is alleging that he stole client funds, according to his BrokerCheck record accessed on August 9, 2019. The customer is alleging “breach of fiduciary duty, conversion, unjust enrichment, tortious […]

Paul Bonaccini (CRD #: 2071614), a 28-year veteran of the securities industry whose experience spans five firms, was terminated from Raymond James & Associates (CRD#: 705) on June 4, 2019 for “failure to follow management directives and allegations of unauthorized trading in client accounts,” according to his BrokerCheck report accessed on July 31, 2019. He […]

Charles Kerker (CRD#: 1317057), a 34-year veteran of the securities industry whose experience spans three firms, was terminated from Next Financial Group, Inc. of Cohoes, New York on June 18, 2019 due to “failure to adequately respond to a compliance inquiry regarding equity transactions in 12 customer accounts. Specifically, the date and time that clients […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 24, 2019 indicate that New Jersey-based Northwestern Mutual Investment Services broker/adviser Manish Shah was recently terminated from a former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 24, 2019 indicate that former Oregon-based Cetera Advisors broker/adviser George Merhoff, who has received numerous resolved or pending customer complaints, was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 24, 2019 indicate that Rhode Island-based Lincoln Financial Securities Corporation broker James Crosson was recently terminated from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Crosson (CRD# […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 26, 2019 indicate that former Kansas-based RBC Capital Markets broker/adviser Paul Gershon, who was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker, is currently not affiliated with any broker-dealer firm. Fitapelli Kurta […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that Nevada-based Stifel Nicolaus & Company broker/adviser Mark Elston has been terminated or resigned from two former employers in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that New Jersey-based Coastal Equities broker/adviser Robert Mehlin, who has received a customer dispute, was recently terminated from a former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta […]

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