Publicly records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate that former Colorado-based First Financial Equity Corporation broker/adviser Jeffrey Sigman, who has been named in a pending FINRA investigation, was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate that former New York-based RBC Capital Markets broker/adviser Cheryl George has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who…

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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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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate that former North Dakota-based Questar Capital Corporation broker Derek Sunderland 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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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2018 indicate that former Texas-based LPL Financial broker/adviser Clifton Roberts, who has received a customer dispute, was discharged from his former employer and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 23, 2018 indicate that former Minnesota-based Oak Ridge Financial Services Group broker/adviser Frederick Olson was recently terminated 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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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 16, 2018 indicate that Illinois-based Newbridge Securities Corporation broker/adviser Xavier Patino, also known as Javier Patino, has been sanctioned by FINRA in connection to alleged rule violations and received a customer dispute. Fitapelli Kurta is interested in hearing from investors who…

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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 16, 2018 indicate that former Delaware-based Berthel Fisher & Company broker/adviser Jerome Poole was recently discharged 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…

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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 10, 2018 indicate that New York-based Newbridge Securities broker Dana Davis has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Davis (CRD# 1707708). Dana Davis has spent 29 years in…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 26, 2018 indicate that former Minnesota-based Raymond James & Associates broker/adviser Barry Wold was recently terminated 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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