News reports and publicly available records provided by the Financial Industry Regulatory Authority (FINRA), accessed on August 9, 2018, indicate that former Wells Fargo Advisors broker/adviser Mike Frew, who has been sanctioned by FINRA and barred from acting as a broker, was recently arrested in connection with an alleged Ponzi scheme. Fitapelli Kurta is interested…

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Publicly available records provided by the New York Attorney General’s Office and accessed on July 11, 2018 indicate that the state’s Attorney General, Barbara Underwood, has obtained a grand jury indictment of financial advisor Thomas Lagan, as well as former judge Richard Sherwood, in connection to allegations that the two “orchestrated a complex scheme to…

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A Securities and Exchange Commission (SEC) release published on May 24, 2018 reports that the SEC filed fraud charges against two executives of a microcap company, E-Waste Systems, alleging they defrauded retail investors in a “penny stock scheme.” Filed in the federal court in the District of Columbia, the complaint alleges that Niel Martin Nielson,…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that Arizona-based First Allied Securities broker/adviser Ronald McCook is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McCook (CRD# 4155186). Ronald McCook has spent 17 years in the…

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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 16, 2018 indicate that former Florida-based Raymond James Financial Services broker/adviser Stefan Pastor, who is involved in a pending customer dispute, was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 3, 2018 indicate that California-based StockCross Financial Services broker/adviser Herbert Voss has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Voss (CRD# 1014475). Herbert Voss has spent 33 years…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that California-based Centaurus Financial broker/adviser James Davis has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Davis (CRD# 1530880). James Davis has spent 31…

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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 1, 2018 indicate that Tennessee-based Merrill Lynch broker/adviser George Todd has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Todd (CRD# 1206553). George Todd has spent 34 years in the securities…

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