Gregory O’Brien Subject of Client Allegations Regarding Unsuitable Use of Margin

By Fitapelli and Kurta | August 20, 2020

Gregory O’Brien (CRD #: 3154314), a broker registered with PHX Financial, Incorporated, is facing allegations from clients regarding unsuitable use of margin and poor performance, according to his BrokerCheck record, accessed August 19, 2020. Do you have questions about Gregory O’Brien’s conduct as a broker? Keep reading to learn more. On June 18, 2020, a…

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Jeffrey Coburn Has Pending Regulatory Investigation

By Fitapelli and Kurta | August 23, 2016

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 11, 2016 indicate that former Illinois-based Arete Wealth Management broker Jeffrey Coburn 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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Ricardo Sanchez Has Five Outstanding Liens

By Fitapelli and Kurta | August 22, 2016

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 8, 2016 indicate that Florida-based PFS Investments broker Ricardo Sanchez 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. Sanchez (CRD# 2341541). Ricardo Sanchez…

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Mark Wesley Permitted to Resign from Ameriprise

By Fitapelli and Kurta | August 2, 2016

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that former Ohio-based Ameriprise broker Mark Wesley 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 regarding…

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John Cullen Has Outstanding Tax Liens

By Fitapelli and Kurta | July 28, 2016

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that New York-based Spartan Capital Securities broker John Cullen 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. Cullen (CRD# 5062835).…

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Tuan Phan Has Five Outstanding Tax Liens

By Fitapelli and Kurta | July 25, 2016

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that New York-based National Securities broker Tuan Phan, also known as Peter Phan, has received a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr.…

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William Carlton Has Outstanding Liens

By Fitapelli and Kurta | July 19, 2016

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 15, 2016 indicate that Virginia-based UBS broker/adviser William Carlton has been the subject of resolved and pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Carlton (CRD# 1132967).…

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Douglas Solinski Has Three Outstanding Liens

By Fitapelli and Kurta | July 12, 2016

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that New York-based Newbridge Securities broker Douglas Solinski, also known as Douglas Blake, has been named in a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding…

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