Daniel O’Neill (CRD #: 1358245), a broker registered with Aegis Capital, has multiple tax liens on his record, according to his BrokerCheck record, accessed on February 5, 2021. Keep reading to learn more about O’Neill’s conduct as a broker. On September 19, 2019, Daniel O’Neill became the subject of a tax lien for $4,923.92. He…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2019 indicate that Wisconsin-based Woodbury Financial Services broker/adviser Brian Menzel recently resigned from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Menzel (CRD# 2592509). Brian…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 16, 2018 indicate that Tennessee-based Securities Service Network broker William Gibbs III recently resigned from his former employer in connection to alleged rule violations and has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 31, 2018 indicate that New Jersey-based Cadaret Grant & Company broker Norman Broad has numerous unsatisfied tax liens. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Broad (CRD# 1016966). Norman Broad has spent 36 years…

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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 25, 2018 indicate that former Washington-based LPL Financial broker Christopher Landa 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…

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Public records published by the Financial Industry Regulatory Authority (FINRA) on May 22, 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…

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