Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that former Washington-based PFS Investments broker Daniel Winger has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 6, 2018 indicate that an investors has won an award exceeding $1,000,000 in an arbitration claim against Trustmont Financial Group. Filed in February 2017, the investor’s claim alleged Trustmont Financial Group violated the Florida Securities and Investor Protection Act, breached…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 31, 2018 indicate that Colorado-based brokerage and advisory firm Presidential Brokerage has received several customer disputes and a regulatory sanction. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Presidential Brokerage (CRD# 28784). Established in California in 1991,…

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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 31, 2018 indicate that New York-based brokerage firm NYLife Securities has received numerous customer disputes and regulatory sanctions. Fitapelli Kurta is interested in hearing from investors who have complaints regarding NYLife Securities (CRD# 5167). Established in Delaware in 2007, NYLife Securities…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 31, 2018 indicate that Kansas-based brokerage firm Great American Investors has received several regulatory sanctions. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Great American Investors (CRD# 28489). Established in Kansas in 1991, Great American Investors…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 31, 2018 indicate that Texas-based brokerage firm Frost Brokerage Services has received regulatory sanctions and a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Frost Brokerage Services (CRD# 17499). Established in Texas in 1986,…

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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 31, 2018 indicate that Georgia-based brokerage firm SunTrust Investment Services has received numerous customer disputes and regulatory sanctions. Fitapelli Kurta is interested in hearing from investors who have complaints regarding SunTrust Investment Services (CRD# 17499). Established in Georgia in 1985, SunTrust…

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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 31, 2018 indicate that Ohio-based broker-dealer and advisory firm Key Investment Services has received a regulatory sanction. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Key Investment Services (CRD# 10111). Established in Ohio in 2005, Key Investment…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate that former New York-based Henley & Company broker/adviser Mitchell Kurtz, who has received customer complaints, was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm.…

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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate that New York-based JVB Financial Group broker Devin Wicker has been sanctioned by the SEC and named in a pending FINRA complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wicker (CRD# 4228250).…

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