Posts Tagged ‘investor complaints’
Michael Venturino Racks Up 12th Investor Dispute
Michael Venturino (CRD #: 5872439), a broker registered with Spartan Capital Securities, is the subject of an investigation initiated by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record, accessed on December 28, 2020. This is his 17th BrokerCheck disclosure — a relatively high number of disclosures, given that only around 8% of…
Read MoreEnergy XXL Files For Bankruptcy
A Reuters report published on April 14, 2016 states that Bermuda-based oil and gas company Energy XXL has filed for bankruptcy. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding investments in Energy XXL (NASDAQ: EXXI). According to MarketWatch, Energy XXL is an independent oil…
Read MoreInvestor Complaints: GT Advanced Technologies (GTATQ)
The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have lost money investing in GT Advanced Technologies, Inc. (NASDAQ: GTAT; OTC: GTATQ). According to Seeking Alpha, GT Advanced Technologies is a technology company that produces “advanced materials” for use in the electronic, solar, and LED industries. GTAT’s products…
Read MoreLPL Financial Broker Karl H. Romero – Investor Complaints
Current LPL Financial broker, Karl H. Romero, has nine customer initiated complaints, according to his BrokerCheck Report. Four of those complaints are pending arbitration with the Financial Industry Regulatory Authority (FINRA).
Read MoreInvestigation: Former Oriental Financial Services Broker, Richard Lee Prann
The securities and investment fraud law firm, Fitapelli Kurta, is investigating claims against former Oriental Financial Services broker Richard Lee Prann.
Read MoreGT Advanced Technologies (GTAT) – Bankrupt – Stock fraud attorneys investigate
As millions held their breath and awaited the much anticipated release of Apple’s IPhone 6, GT Advanced Technologies (GTAT) cringed and awaited the inevitable – bankruptcy.
Read MoreICAP Corporates LLC fined $8 million for parties and other “business expenses”.
On December 5, 2014 ICAP Corporates was fined $8 million dollars for failing to establish an adequate supervisory system for their entertainment expenses.
Read MoreInvestor complaints: JP Morgan broker Robert Owen Klein
The Federal Industry Regulatory Authority (FINRA) has ordered financial titan, JP Morgan Securities to pay customers $485,000 in damages as a result of overly concentrated investments in U.S. Treasury bonds.
Read MoreInvestigation: Transamerica Financial Advisors broker, John J. Quintero
Fitapelli Kurta, is investigating claims against John J. Quintero. John J. Quintero is a broker currently registered with Transamerica Financial Advisors.
Read More