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Articles Tagged with finra complaint

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that former New York-based Southeast Investments broker John Kakonikos is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that Texas-based Titan Securities broker/adviser Richard Demetriou has been named in a FINRA investigation. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Demetriou (CRD# 828433). Richard Demetriou […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on July 14, 2016 indicate that Illinois-based Stifel Nicolaus broker/adviser Kevin Fitzpatrick has received several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Fitzpatrick (CRD# 1447182). Kevin Fitzpatrick has spent 26 […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 14, 2016 indicate that New York-based Salomon Whitney Financial broker Douglas Leone is the subject of several customer complaints and a pending regulatory complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 6, 2016 indicate that Texas-based Merrill Lynch broker/adviser Thomas Phillips Jr., also known as Jay Phillips, is the subject of a pending FINRA complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 26, 2016 indicate that former New York-based Oppenheimer broker Michael Marchassalla is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking investors who have complaints regarding […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 28, 2016 indicate that former Georgia-based IFS Securities broker Jay Chitnis is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints […]

According to records provided by the Financial Industry Regulatory Authority (FINRA), former New York-based Cape Securities broker Jonathan Ghermezian is currently not registered to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of fraud against Mr. Ghermezian (CRD# 3217297). Jonathan Ghermezian has spent […]

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