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Articles Tagged with terminated

Public records published by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that former Indiana-based Key Investment Services broker Christopher Herrmann has received resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Herrmann (CRD# 4123657). Christopher […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that Arkansas-based Wilbanks Securities broker Andrew Hardie has been the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hardie (CRD# 1765110). Andrew […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on July 5, 2016 indicate that New Jersey-based TFS Investments broker Michael Vetere was recently discharged from Ameritas Investment Corporation. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Vetere (CRD# 4275271). Michael Vetere […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on July 5, 2016 indicate that Michigan-based LM Kohn & Company broker/adviser David Rubenstein was recently discharged from Wells Fargo Advisors. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rubenstein (CRD# 2514293). David […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on June 23, 2016 indicate that former Pennsylvania-based First Allied Securities broker Theodore Rothman has been permanently barred from “engaging in certain activities.” The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rothman (CRD# […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on June 21, 2016 indicate that California-based Madison Avenue Securities broker David Barber 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. Barber (CRD# 1165082). David Barber has spent […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on June 14, 2016 indicate that former New York-based Ameriprise Financial Services broker Stephen Caruso has received 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. Caruso (CRD# 3020510). […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 23, 2016 indicate that former Connecticut-based Investacorp broker Warren Rockmacher has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rockmacher (CRD# 2005652). Warren Rockmacher has spent […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 19, 2016 indicate that former South Carolina-based Sagepoint Financial broker Timothy Dufresne has been permanently barred from associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 16, 2016 indicate that California-based Morgan Stanley broker/adviser Chi Ling Yu, also known as Gillian Yu, has received several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Yu […]

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