Articles Posted in Terminated

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.

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.

Timary Delorme

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 25, 2018 indicate that former California-based Wedbush Securities broker/adviser Timary Delorme was recently sanctioned by the Securities and Exchange Commission (SEC) and barred from acting as a broker or investment adviser or otherwise associating with firms that sell securities or provide investment advice to the public. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Delorme (CRD# 736418).

Timary Delorme has spent 36 years in the securities industry and was most recently registered with Wedbush Securities in Los Angeles, California (1981-2018). She has no previous registrations. She has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on September 15, 1987, and Series 7 (General Securities Representative Examination), which she obtained on August 15, 1981. She is currently not registered with any state or firm.

According to her BrokerCheck report, she has received two customer complaints, two pending customer complaints, and one regulatory sanction.

Ricky HigginsPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 18, 2018 indicate that South Carolina-based First Heartland Capital broker/adviser Ricky Higgins, who was recently sanctioned by FINRA and suspended from acting as a broker, is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Higgins (CRD# 1726947).

Ricky Higgins has spent 30 years in the securities industry and has been registered with First Heartland Capital in Spartansburg, South Carolina since 2016. Previous registrations include ProEquities in Spartansburg, South Carolina (2012-2016); First Heartland Capital in Spartansburg, South Carolina (1999-2012); and Pruco Securities Corporation (1987-1999). He is a registered broker and investment adviser with eight US states: Virginia, Tennessee, South Carolina, North Carolina, New Mexico, Nevada, Georgia, and Florida.

According to his BrokerCheck report, he has received one FINRA sanction and one pending customer complaint, and he was terminated from his former employer in connection to alleged rule violations.

Gordon QuanPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 14, 2018 indicate that former California-based Cetera Advisor Networks broker/adviser Gordon Quan was 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 speaking to investors who have complaints regarding Mr. Quan (CRD# 1326425).

Gordon Quan has spent 33 years in the securities industry and was most recently registered with Cetera Advisor Networks in Pasadena, California (1994-2018). He was previously registered with Financial Designs Corporation (1985-1994). He has passed two securities industry examinations: Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 3, 1987, and Series 22 (Direct Participation Programs Representative Examination), which he obtained on May 9, 1985. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and was discharged from his former employer in connection to alleged rule violations.

Lawrence MurphyPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 13, 2018 indicate that former Florida-based International Assets Advisory broker/adviser Lawrence Murphy was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Murphy (CRD# 1270120).

Lawrence Murphy has spent 33 years in the securities industry and has been registered with International Assets Advisory in Orlando, Florida since 2016. Previous registrations include Equity Services in Edison, New Jersey (2016); MSI Financial Services in Moorestown, New Jersey (2004-2016); AXA Advisors in Marlton, New Jersey (2008); Metropolitan Life Insurance Company in Mount Laurel, New Jersey (2004-2007); WS Griffith Securities in Hartford, Connecticut (1993-2004); Phoenix Equity Planning Corporation in Hartford, Connecticut (1991-1993); and Nathan & Lewis Securities in New York, New York (1984-1991). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 7, 1987; Series 7 (General Securities Representative Examination), which he obtained on July 18, 1987; Series 22 (Direct Participation Programs Representative Examination), which he obtained on July 12, 1984; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 26, 1984; and Series 24 (General Securities Principal Examination), which he obtained on May 21, 1993. He is a registered broker and investment adviser with nine US states: Connecticut, Delaware, Florida, Mississippi, New Jersey, New York, Pennsylvania, South Carolina, and Virginia.

According to his BrokerCheck report, Lawrence Murphy has received one customer complaint and one FINRA sanction, and resigned or was discharged from two former employers.

Aaron Sheehy

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 8, 2018 indicate that former New York-based Morgan Stanley broker Aaron Sheehy was recently terminated 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 speaking to investors who have complaints regarding Mr. Sheehy (CRD# 1847401).

Aaron Sheehy has spent twenty-five years in the securities industry and was most recently registered with Morgan Stanley in New York, New York (2009-2018). Previous registrations include Citigroup Global Markets in New York, New York (1997-2009) and Salomon Brothers in New York, New York (1992-1998). He has passed six securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 23, 1992; Series 3 (National Commodity Futures Examination), which he obtained on July 9, 1993; Series 7 (General Securities Representative Examination), which he obtained on April 10, 1992; Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on December 8, 1997; Series 24 (General Securities Principal Examination), which he obtained on July 9, 1997; and Series 4 (Registered Options Principal Examination), which he obtained on February 18, 1997. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and was recently discharged from his former employer in connection to alleged rule violations.

John SinkPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 6, 2018 indicate that former Missouri-based Century Securities Associates broker/adviser John Sink, who has received a customer dispute, was recently discharged from a former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sink (CRD# 1214698).

John Sink has spent 34 years in the securities industry and was most recently registered with Century Securities Associates in St. Louis, Missouri (2011-2018). Previous registrations include Smith Moore & Company in Clayton, Missouri (2005-2011); Wyoming Financial Securities in Cheyenne, Wyoming (2000-2005); Salomon Smith Barney in New York, New York (1990-2000); AG Edwards & Sons in St. Louis, Missouri (1988-1990); Shearson Lehman Hutton in New York, New York (1988); EF Hutton & Company (1986-1988); and Smith Barney Harris Upham (1983-1986). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 14, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 22, 1983; and Series 7 (General Securities Representative Examination), which he obtained on November 19, 1983. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and was recently terminated from a former employer.

Donald SavinoPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 5, 2018 indicate that New York-based American Portfolios Financial Services broker/adviser Donald Savino is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Savino (CRD# 1405800).

Donald Savino has spent 32 years in the securities industry and has been registered with American Portfolios Financial Services in Rochester, New York since April 2017. Previous registrations include LPL Financial in Rochester, New York (2007-2017); H&R Block Financial Advisors in Rochester, New York (2003-2007); Wachovia Securities in St. Louis, Missouri (2001-2003); McDonald Investments in Cleveland, Ohio (1998-2001); Essex Capital Markets in Rochester, New York (1996-1998); Community Securities in Rochester, New York (1988-1996); and Merrill Lynch (1985-1988). He has passed eight securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 23, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 15, 1985; Series 31 (Futures Managed Funds Examination), which he obtained on June 2, 2006; Series 7 (General Securities Representative Examination), which he obtained on September 21, 1985; Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on July 22, 2005; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on July 13, 2005; Series 53 (Municipal Securities Principal Examination), which he obtained on June 14, 1995; and Series 4 (Registered Options Principal Examination), which he obtained on May 19, 1994. He is a registered broker and investment adviser with six US states and territories: Alabama, California, Florida, New York, Puerto Rico, and South Carolina.

According to his BrokerCheck report, he has received one pending customer complaint and he was discharged from a former employer in connection to alleged rule violations.

Daniel PolanskyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 31, 2018 indicate that New York-based American Portfolios Financial Services broker/adviser Daniel Polansky, who has been involved in a customer dispute, was recently terminated from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Polansky (CRD# 4580954).

Daniel Polansky has spent 13 years in the securities industry and has been registered with American Portfolios Financial Services in Clifton Park, New York since March 2018. Previous registrations include Wells Fargo Clearing Services in Albany, New York (2012-2018); UBS Financial Services in Albany, New York (2006-2018); Mercer Allied Company in Albany, New York (2005-2006); and Janney Montgomery Scott in Philadelphia, Pennsylvania (2002-2003). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 7, 2006, and Series 7 (General Securities Representative Examination), which he obtained on October 2, 2002 . He is a registered broker and investment adviser with 15 US states and territories: California, Connecticut, Florida, Illinois, Kansas, Maryland, Massachusetts, New Hampshire, New York, Pennsylvania, Rhode Island, South Carolina, Vermont, and Virginia.

According to his BrokerCheck report, he has received one customer complaint and was discharged from his former employer in connection to alleged rule violations.

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