Gregory O’Brien (CRD #: 3154314), a broker registered with PHX Financial, Incorporated, is facing allegations from clients regarding unsuitable use of margin and poor performance, according to his BrokerCheck record, accessed August 19, 2020. Do you have questions about Gregory O’Brien’s conduct as a broker? Keep reading to learn more. On June 18, 2020, a…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 27, 2018 indicate that New Jersey-based Royal Alliance Associates broker/adviser Jerald Aloof has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Aloof (CRD# 1567086). Jerald Aloof has spent 31 years in…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 6, 2018 indicate that former Washington-based Capital Financial Services broker/adviser Lloyd Johnston, who has received a pending customer dispute, was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 28, 2018 indicate that former Georgia-based Cape Securities broker Jerry Westling has received resolved or pending customer complaints. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Westling (CRD# 464074). Jerry Westling has spent 42 years in…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that Texas-based MML Investors Services broker Brett Thiery has received several unsatisfied tax liens. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Thiery (CRD# 5179667). Brett Thiery has spent ten years in the securities…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 9, 2018 indicate that New Jersey-based PTS Brokerage broker/adviser Ronald Smith has received a regulatory sanction, a pending customer dispute and several unsatisfied tax liens. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Smith (CRD# 2483733).…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 9, 2018 indicate that Georgia-based Questar Capital broker/adviser David Crane has received a customer dispute and several unsatisfied tax liens. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Crane (CRD# 1334510). David Crane has spent…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 9, 2018 indicate that former Florida-based Newbridge Securities broker/adviser Edward Klug, who is currently not affiliated with any broker-dealer firm, has received a customer dispute and several unsatisfied tax liens. Fitapelli Kurta is interested in hearing from investors who have…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 25, 2018 indicate that former New York-based Ashton & Stewart broker/adviser Daniel Rozzi has received a customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr.…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 20, 2018 indicate that former Kansas-based Ameriprise Financial Services broker/adviser Mark Sachse, who has received a pending customer dispute, was 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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