Daniel Mancuso (CRD #2519423), a broker and investment advisor registered with Paulson Investment Advisors LLC, has consented to official censure from FINRA, according to his BrokerCheck record, accessed on October 6, 2020. Mr. Mancuso has also settled several client disputes related to unsuitable investments. On February 6, 2014, Daniel Mancuso entered into an Acceptance, Waiver,…

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Marshall Isaacson (CRD #: 1140370), a previously registered broker with Newbridge Securities Corporation, has been barred by FINRA, according to his BrokerCheck record, accessed on September 23, 2020. In addition to this regulatory action, Mr. Isaacson has racked up several investor disputes, a civil judgement, and two tax liens. On July 20, 2020, Mr. Isaacson…

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Concorde Group Holdings Inc. was named in a recent SEC action brought against the company’s owner, Craig Zabala. Concorde Group Holdings is a Delaware-based company with a principal place of business in New York. The SEC complaint alleges that between February 2015 and August 2019, Zabala defrauded 17 investors by making allegedly false statements in…

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Yvonne Nirelli (CRD# 1364313), a broker registered with Cadaret, Grant & Co, Inc., has been suspended by FINRA, according to her BrokerCheck record, accessed on September 17, 2020. She entered into an agreement with FINRA that discloses more information about the reason behind her suspension. On August 12, 2020, Yvonne Nirelli entered into an Acceptance,…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that California-based Stifel Nicolaus broker/adviser Joel Davidman has received a pending customer complaint and was recently sanctioned by state regulatory authorities. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Davidman (CRD# 861180).…

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A news release published by the Massachusetts Secretary of the Commonwealth’s office on March 8, 2019 reports that William Galvin, the Secretary of the Commonwealth, opened an investigation into allegations that Wells Fargo Advisors made “inappropriate referrals of brokerage customers to managed and advisory accounts” as well as unsuitable investment recommendations and unsuitable referrals. Fitapelli…

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Publicly available records published by the Securities and Exchange Commission (SEC) on March 25, 2019 indicate that the SEC has filed fraud charges against Direct Lending Investments, LLC, a registered investment adviser, in connection with allegations that the company orchestrated “a multi-year fraud” causing about $11 million in “over-charges of management and performance fees to…

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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 3, 2019 indicate that Nebraska-based broker-dealer firm Oppenheimer & Company has received more than 250 complaints from customers and regulatory authorities. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Oppenheimer & Company (CRD# 249). Established in New…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 3, 2019 indicate that Nebraska-based broker-dealer firm Securities America has received more than 70 complaints from customers and regulatory authorities. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Securities America (CRD# 10205). Established in Delaware in…

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Publicly available records published by the US Department of Justice on May 12, 2017, indicate that Virginia resident Tamer Moumen pleaded guilty to wire fraud in connection with charges that he misused investors’ funds, “some of which were invested through a purported hedge fund called Crescent Ridge Capital Partners.” Fitapelli Kurta is interested in hearing…

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