Harrison Nathan (CRD #: 3275199), a broker registered with MML Investors Services in Atlanta, Georgia, is facing allegations of account churning, accord to his BrokerCheck record, accessed on February 18, 2021. On January 21, 2021, an investor alleged that Harrison Nathan churned his portfolio and made inappropriate transactions in order to maximize his commissions. The…

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John Cangialosi (CRD #: 3273830), a broker registered with SW Financial, is under investigation by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record, accessed on October 23, 2020. This is only the latest in a string of disclosures on his record — investors who have worked with Mr. Cangialosi should read more…

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Christopher Orlando (CRD #: 4136262), a broker registered with Spartan Capital Securities LLC, is the subject of a FINRA investigation, according to his BrokerCheck report, accessed on October 21, 2020. If you have questions about Mr. Orlando’s history as a broker, keep reading. On September 18, 2020, FINRA made a preliminary determination to recommend disciplinary…

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Mickey Schreiber (CRD#: 1032600), a registered representative with Aegis Capital Corp. (CRD#: 15007) in Red Bank, New Jersey, is currently involved in a pending customer dispute in which a customer is seeking nearly $100,000 in damages, according to his BrokerCheck record accessed on March 24, 2020.  On February 11, 2020, a client filed a complaint…

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John Santariello (CRD#: 5746158), formerly a registered representative with Arive Capital Markets (CRD#: 8060) in Coram, New York, is currently involved in a customer dispute in which a client alleges he engaged in churning, traded excessively, and recommended unsuitable investments, according to his BrokerCheck report accessed on October 1, 2019. The client is seeking $307,042…

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Rick Latta (CRD#: 1532421), a 33-year veteran of the securities industry whose experience spans seven firms, is involved in customer dispute regarding annuity allocations and allegations that his investment strategy is too conservative. He is currently registered with Kovack Securities Inc. of Weston, Florida, according to his BrokerCheck report accessed on July 31, 2019. On…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 17, 2018 indicate that Florida-based Merrill Lynch broker/adviser Warren Scroggie has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Scroggie. Warren Scroggie has spent 19 years in the securities industry…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 25, 2018 indicate that New York-based Network 1 Financial Securities broker Andrew Spaventa has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Spaventa (CRD# 6175466). Andrew Spaventa has spent four…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that New York-based First Allied Securities broker/adviser Douglas Hyer has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hyer (CRD# 254358). Douglas Hyer has spent 48 years…

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