Articles Posted in FINRA Complaint

Robert TweedPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 25, 2017 indicate that California-based Cabot Lodge Securities broker/adviser Robert Tweed has been named in pending complaints by FINRA and the Securities and Exchange Commission. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Tweed (CRD# 2339324).

Robert Tweed has spent 24 years in the securities industry and has been registered with Cabot Lodge Securities in San Marino, California since 2015. Previous registrations include Capwest Securities in San Marino, California (2011); MAM Securities in Sherman Oaks, California (2010-2011); Capwest Securities in San Marino, California (2007-2010); United Securities Alliance in San Marino, California (2005-2007); National Planning Corporation in El Segundo, California (1999-2005); Intersecurities in St. Petersburg, Florida (1997-1999); Laguna Securities in Newport Beach, California (1995-1997); Wealth Resource Capital Corporation in Newport Beach, California (1994-1995); and Securities America in La Vista, Nebraska (1993-1994). He has passed five securities industry examinations: Series 6 (Uniform Investment Adviser Law Examination), which he obtained on May 29, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 18, 1993; Series 31 (Futures Managed Funds Examination), which he obtained on December 12, 2002; Series 7 (General Securities Representative Examination), which he obtained on May 11, 1993; and Series 24 (General Securities Principal Examination), which he obtained on January 28, 1999. He is a registered broker and investment adviser with eleven US states and territories: California, Georgia, Illinois, Louisiana, Michigan, New Mexico, New York, Pennsylvania, South Carolina, Texas and Washington.

According to his BrokerCheck report, he has received five customer complaints, two pending customer complaints, one pending FINRA complaint, and one pending SEC complaint.

Trevor Gordon

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 13, 2017 indicate that South Carolina-based Sandlapper Securities broker/adviser Trevor Gordon has been named in a pending FINRA complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Sandlapper Securities and/or Mr. Gordon (CRD# 2195122).

Trevor Gordon has spent 18 years in the securities industry and has been registered with Sandlapper Securities in Greenville, South Carolina since 2006. Previous registrations include James Harold Goode Jr. in San Clemente, California; Steven L. Falk & Associates in Las Vegas, Nevada; NFP Securities in Austin, Texas; Raymond James & Associates in St. Petersburg, Florida; Dean Witter Reynolds in Purchase, New York; and Provident Advisers in New York, New York. He is a registered broker and investment adviser with 44 US states and territories.

According to his BrokerCheck report, he has been named in a pending FINRA complaint.

Walter Marino

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 11, 2017 indicate that former New York-based Benjamin Securities broker/adviser Walter Marino has been named respondent in a pending FINRA complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Marino (CRD# 2121623).

Walter Marino has spent 22 years in the securities industry and was most recently registered with Benjamin Securities in Hauppage, New York (2016). Previous registrations include Lincoln Investment in Dix Hills, New York; Planmember Securities in Farmingville, New York; Legend Equities in Bohemia, New York; Ehrenkrantz King Nussbaum in Melville, New York; and Ehrenkrantz King Nussbaum in New York, New York. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one pending FINRA complaint, nine customer complaints and four pending customer complaints.

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