Charles Lundell Was Sanctioned Following Allegations of Exercising Discretion Without Authorization

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 30, 2017 indicate that former Washington-based First Allied Securities broker Charles Lundell has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lundell (CRD# 314440).…

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Sigma Financial Corporation Has Agreed To Settle Alleged Rule Violations

Public records published by the Financial Industry Regulatory Authority (FINRA) on September 20, 2016 indicate that Michigan-based brokerage firm Sigma Financial Corporation has agreed to settle alleged rule violations. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Sigma Financial Corporation (CRD# 14303). Sigma Financial…

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Brian Block Former American Realty Capital Partners CFO Arrested

According to public records provided by the US Department of Justice on September 20, 2016, former American Realty Capital Partners Chief Financial Officer Brian Block has been arrested on charges including conspiracy and securities fraud. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr.…

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Mark Dutram Settles Customer Complaint in 2015

Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 6, 2016 indicate that Florida-based LPL Financial broker/adviser Mark Dutram has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Dutram (CRD# 2416021). Mark Dutram…

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Broker Spotlight: Michael Schiavone

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 2, 2016 indicate that former New York-based E1 Asset Management broker Michael Schiavone has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Schiavone (CRD#…

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Matthew Fleissner Settled Complaint for Excessive Commissions

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 23, 2016 indicate that New Jersey-based National Securities Corporation broker Matthew Fleissner has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Fleissner (CRD#…

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James Walesa and Unsuitability Allegations

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on August 23, 2016 indicate that Illinois-based Triad Advisors broker James Walesa has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Walesa (CRD# 1061209). James…

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Jerry Alley Has Settled Complaints

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 23, 2016 indicate that Virginia-based Capitol Securities Management broker/adviser Jerry Alley has received customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Alley (CRD# 1571590). Jerry Alley has spent…

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Kenneth Saunders Has Unsuitability Allegations

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 23, 2016 indicate that Florida-based National Planning Corporation broker/adviser Kenneth Saunders has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Saunders (CRD# 1481528). Kenneth…

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Alan Thomlinson Faces Allegations of Reverse Churning

Alan Thomilson (CRD #: 1855542), an investment adviser registered with Cornerstone Securities, is involved in allegations of account mismanagement, according to his Investment Adviser Public Disclosure record, accessed on June 1, 2021. Thomilson is a formerly registered broker, most recently with Ameriprise. On March 29, 2021, investors alleged that that Alan Thomilson recommended an unsuitable…

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