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Articles Tagged with arbitration

Arizona-based Sagepoint Financial broker Frederick Fischer is the subject of denied customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from customers who have complaints regarding Mr. Fischer (CRD# 2317795). Frederick Fischer has spent twenty years in the securities industry and has been registered with Sagepoint Financial in Chandler, […]

Ohio-based Raymond James & Associates broker/adviser Kenton Gearhart has been suspended by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gearhart (CRD# 2544526). Kenton Gearhart has spent 21 years in the securities industry and has been registered with Raymond James & Associates […]

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments in Energy Transfer Equity LP (NYSE: ETE). Energy Transfer Equity LP is a limited partnership company in the energy sector. Headquartered in Dallas, Texas, Energy Transfer Equity LP provides natural gas pipeline transportation and transmission […]

North Carolina-based Lincoln Financial Advisors Corporation broker/adviser James Winther is the subject of settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Winther (CRD# 3188240). James Winther has spent thirteen years in the securities industry and has been registered […]

California-based Western International Securities broker/adviser Robert Sessa is 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. Sessa (CRD# 1026924). Robert Sessa has spent 31 years in the securities industry and has been registered with Western International Securities in […]

Former California-based NI Advisors broker/adviser Alfred Chan has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Chan (CRD# 4473594). Alfred Chan has spent thirteen years in the securities industry and was most recently registered with NI Advisors in Oakland, […]

New York-based Trident broker John Columbia is 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. Columbia (CRD# 4621944). John Columbia has spent twelve years in the securities industry and has been registered with Trident Partners in Woodbury, New […]

Texas-based Morgan Stanley broker/adviser James Harvey III is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Harvey (CRD# 2950942). James Harvey III has spent seventeen years in the securities industry and has been registered with Morgan Stanley in Dallas, Texas […]

California-based Financial West Group broker/adviser Daniel Maughan is the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Maughan (CRD# 2561363). Daniel Maughan has spent eighteen years in the securities industry and has been registered with Financial West Group in Los Angeles, California since […]

California-based Girard Securities broker/adviser Matthew Lum is the subject of settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lum (CRD# 1622477). Matthew Lum has spent 28 years in the securities industry and has been registered with Girard Securities […]

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