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Articles Tagged with unlicensed

According to publicly-available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016, former New Jersey-based National Securities broker Michael Siegel 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 […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 20, 2016 indicate that former Florida-based IFS Securities broker Rick Frueh 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 to investors who have complaints […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 11, 2016 indicate that Florida-based Summit broker/adviser James Noto has received 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. Noto (CRD# 1030904). James Noto has […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 6, 2016 indicate that former Florida-based Newbridge Securities broker Gerald Cocuzzo 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 to investors who have complaints […]

Investigation: GWG Renewable Secured Debentures Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 22, 2016 indicate that Pennsylvania-based Woodbury Financial Services broker Deborah Griffin, also known as Deborah Rejniak, is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 20, 2016 indicate that former New Jersey-based Edward Jones broker Vincent Fulginiti 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 […]

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