Public records published by the Financial Industry Regulatory Authority (FINRA) on January 23, 2017 indicate that New York-based Oppenheimer & Company broker/adviser Matthew Giannone has been sanctioned by FINRA and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Giannone (CRD# 2800349). Matthew…

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Public records published by the Financial Industry Regulatory Authority (FINRA) on January 5, 2017 indicate that Pennsylvania-based Cambridge Investment Research broker/adviser Ronald Paull III has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Paull (CRD# 2968273). Ronald Paull has…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 30, 2016 indicate that Connecticut-based Investors Capital broker Robert Estevez is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Estevez (CRD# 3161419). Robert…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 29, 2016 indicate that California-based Independent Financial Group broker/adviser Alexander Lessard has been the subject of a customer complaint and a FINRA sanctioned. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 9, 2016 indicate that Chicago-based Stifel Nicolaus & Company broker/adviser Steven Wine 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. Wine (CRD# 1503868). Steven Wine…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 7, 2016 indicate that former Connecticut-based Wells Fargo Advisors broker Daniel Myers 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. Myers (CRD# 5202769). Daniel Myers…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 2, 2016 indicate that former Florida-based UBS Financial Services broker James Scullin 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. Scullin (CRD# 1577362). James Scullin…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 2, 2016 indicate that New Jersey-based Network 1 Financial broker Philip Dina is the subject of several pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Dina (CRD#…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that California-based Western International Securities broker/adviser Dennis Mehringer is the subject of a pending FINRA investigation. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mehringer (CRD# 722569).…

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