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Articles Tagged with unsuitability

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 […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that Minnesota-based Feltl & Company broker Timothy O’Brien 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. O’Brien (CRD# 1182298). Timothy O’Brien has […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) on August 11, 2016 indicate that Texas-based Global Investor Services broker/adviser Eduardo Alaman, also known as Eduardo Alamanpandal, has been 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. […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) on August 8, 2016 indicate that Florida-based Investors Capital broker/adviser Scott Aabel has been the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Aabel (CRD# 1493667). Scott Aabel […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 5, 2016 indicate that Ohio-based McDonald Partners broker/adviser John Goodman has been the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Goodman (CRD# 1386009). John […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that California-based Raymond James & Associates broker/adviser Gary Handler has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Handler (CRD# 1985218). […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that former Georgia-based Allstate Financial Services broker Patrick Bellantoni 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 August 9, 2016 indicate that California-based Morgan Stanley broker/adviser Robert Daly has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Daly (CRD# 3111426). Robert Daly […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that New York-based Morgan Stanley broker/adviser Richard Zinman has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Zinman (CRD# 1212093). Richard […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that California and New Mexico-based Centaurus Financial broker/adviser Seyed Ahmad Hashemian has been the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. […]

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