Articles Posted in tax liens

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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 18, 2018 indicate that New York-based Laidlaw & Company broker Jonathan Ebel has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ebel (CRD# 5902719).

Jonathan Ebel has spent seven years in the securities industry and has been registered with Laidlaw & Company in Melville, New York since 2015. Previous registrations include Rockwell Global Capital in Melville, New York (2012-2015) and EKN Financial Services in Melville, New York (2011-2012). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 27, 2011, and Series 7 (General Securities Representative Examination), which he obtained on July 8, 2011. He is a registered broker with 38 US states and territories.

According to his BrokerCheck report, he has received one pending customer complaint and one unsatisfied tax lien.

Hector RamosPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 27, 2018 indicate that New York-based Westpark Capital broker/adviser Hector Ramos has received a customer dispute and a FINRA sanction. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ramos (CRD# 4172477).

Hector Ramos has spent 18 years in the securities industry and has been registered with Westpark Capital in New York, New York since 2016. Previous registrations include Bishop Rosen & Company in New York, New York (2014-2016); Morgan Stanley in New York, New York (2011-2014); Merrill Lynch in New York, New York (2008-2011); Morgan Stanley & Company in New York, New York (2007-2008); Morgan Stanley DW in New York, New York (2007); ING Financial Partners in New York, New York (2006-2007); AIG Financial Advisors in New York, New York (2005-2006); SunAmerica Securities in Phoenix, Arizona (2002-2005); and Prudential Securities in New York, New York (2000-2002). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 24, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 8, 2000; Series 31 (Futures Managed Funds Examination), which he obtained on February 23, 2007; and Series 7 (General Securities Representative Examination), which he obtained on June 17, 2000. He is a registered broker and investment adviser with three US states: California, New Jersey, and New York.

According to his BrokerCheck report, he has received one customer complaint, one FINRA sanction, and one unsatisfied civil judgment or lien, and he was discharged from a former employer in connection to alleged rule violations.

https://images.unsplash.com/photo-1518316847866-651fbb917956?ixlib=rb-0.3.5&ixid=eyJhcHBfaWQiOjEyMDd9&s=9749566038e89683cba08ee3fb69dc02&w=1000&q=80Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 27, 2018 indicate that New York-based UBS Financial Services broker/adviser Patrick Donohue has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Donohue (CRD# 1029917).

Patrick Donohue has spent 36 years in the securities industry and has been registered with UBS Financial Services in New York, New York since 2012. Previous registrations include Merrill Lynch in New York, New York (1988-2012); Shearson Lehman Hutton (1988); EF Hutton & Company (1984-1988); and Merrill Lynch (1982-1984). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 17, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 26, 1983; Series 5 (Interest Rate Options Examination), which he obtained on March 2, 1982; and Series 7 (General Securities Representative Examination), which he obtained on January 16, 1982. He is a registered broker and investment adviser with 24 US states and territories: Arizona, California, Colorado, Connecticut, Delaware, the District of Columbia, Florida, Georgia, Illinois, Indiana, Maine, Massachusetts, Missouri, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Virginia, Washington, and Wisconsin.

According to his BrokerCheck report, he has received four customer complaints and two unsatisfied judgments or liens.

Tomas GiraldoPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 26, 2018 indicate that former California-based Merrill Lynch broker/adviser Jose Giraldo, also known as Tomas Giraldo, was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Giraldo (CRD# 5429476).

Jose Giraldo has spent four years in the securities industry and was most recently registered with Merrill Lynch in Chula Vista, California (2013-2018). He was previously registered with David Lerner Associates in Princeton, New Jersey (2012). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on January 11, 2014; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 2, 2012; and Series 7 (General Securities Representative Examination), which he obtained on March 20, 2012. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was recently discharged from his former employer and he has received three unsatisfied tax liens.

Daniel Torres

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 9, 2018 indicate that California-based Ameriprise Financial Services broker/adviser Daniel Torres has received several unsatisfied tax liens. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Torres (CRD# 2163914).

Daniel Torres has spent twenty-six years in the securities industry and has been registered with Ameriprise Financial Services in Irvine, California since 1991. He was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota (1991-2006). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 8, 1991 and Series 7 (General Securities Representative Examination), which he obtained on October 1, 1991. He is a registered broker and investment adviser with 18 US states and territories: Arizona, California, Colorado, Georgia, Hawaii, Idaho, Illinois, Missouri, Nevada, New Jersey, New Mexico, New York, Ohio, Oklahoma, Oregon, Pennsylvania, Texas, and Washington.

According to his BrokerCheck report, he has received three denied customer complaints and three unsatisfied tax liens.

John WyshakPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 22, 2018 indicate that California-based Raymond James & Associates broker/adviser John Wyshak has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wyshak (CRD# 1272260).

John Wyshak has spent 32 years in the securities industry and has been registered with Raymond James & Associates in Los Angeles, California since 2014. Previous registrations include Wedbush Securities in Los Angeles, California (2002-2014); Ryan Beck & Company in Florham, New Jersey (2002); Gruntal & Company in New York, New York (1998-2002); Merrill Lynch in New York, New York (1996-1998); Bear Stearns & Company in New York, New York (1994-1996); Smith Barney Shearson in New York, New York (1993-1994); Lehman Brothers in New York, New York (1989-1993); and Dean Witter Reynolds (1984-1988). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 10, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 28, 1984; Series 7 (General Securities Representative Examination), which he obtained on June 16, 1984; and Series 3 (National Commodity Futures Examination), which he obtained on January 10, 1983. He is a registered broker and investment adviser with five US states: California, Colorado, Connecticut, Georgia, and Massachusetts. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and six unsatisfied tax liens.

John ReardonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 31, 2017 indicate that former California-based Western International Securities broker/adviser John Reardon has received a pending customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Reardon (CRD# 717505).

John Reardon has spent 35 years in the securities industry and was most recently registered with Western International Securities in Pasadena, California (2015-2017). Previous registrations include Merriman Capital in New York, New York; DA Davidson & Company in Pasadena, California; Crowell Weedon & Company in Pasadena, California; Dominick Dominick in New York, New York; UBS Financial Services in Weehawken, New Jersey; Donaldson Lufkin & Jenrette Securities Corporation in Jersey City, New Jersey; Dean Witter Reynolds in Purchase, New York; Donaldson Lufkin & Jenrette in Jersey City, New Jersey; and the Seidler Companies Incorporated in Los Angeles, California. He is currently not registered with any state or firm.

According to his BrokerCheck report, John Reardon has received one pending customer complaint and two unsatisfied tax liens.

Sampson Pearson

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 12, 2017 indicate that former North Carolina-based Northwestern Mutual Investment Services broker Sampson Pearson has been named in a pending customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sampson (CRD# 4159298).

Sampson Pearson has spent 16 years in the securities industry and was most recently registered with Northwestern Mutual Investment Services in Charlotte, North Carolina (2001-2017). Previous registrations include Robert W. Baird & Company in Milwaukee, Wisconsin (2001-2002) and Jefferson Pilot Securities Corporation in Fort Wayne, Indiana (2000-2001). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Sampson Pearson has received one pending customer complaint and one unsatisfied judgment or lien.

Marco Fragnito

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on June 2, 2017 indicate that California-based Wells Fargo Advisors Financial Network broker/adviser Marco Fragnito has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Fragnito (CRD# 2438311).

Marco Fragnito has spent 23 years in the securities industry and has been registered with Wells Fargo Advisors Financial Network in Laguna Hills, California since 2010. Previous registrations include Raymond James & Associates in Newport Beach, California; Wachovia Securities in Anaheim, California; and Salomon Smith Barney in New York, New York. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 31 (Futures Managed Funds Examination); and Series 24 (General Securities Principal Examination). He is a registered broker and investment adviser with fourteen US states and territories: California, Connecticut, Florida, Illinois, Louisiana, Missouri, Nevada, New Jersey, New York, North Carolina, Oklahoma, South Carolina, Texas and Virginia.

According to his BrokerCheck report, Marco Fragnito has received one customer complaint and two unsatisfied tax liens.