AWCs
Christopher Wurtzinger Suspended by FINRA and Subject of a Customer Complaint
Christopher Wurtzinger (CRD #: 1921024), a broker registered with American Trust Investment Services and an investment adviser registered with Sorsby Financial Corporation, was recently suspended by the Financial Industry Regulatory Authority (FINRA). Christopher Wurtzinger is also the subject of a client dispute regarding account churning, unauthorized trading, fraud, and breach of fiduciary duty, according to…
Read MoreSylvester Knox Suspended By FINRA Following Regulatory Actions and Client Disputes Alleging Unauthorized Transactions
Sylvester Knox (CRD #: 1625705), an investment advisor registered with The Knox Group Wealth Management, and a broker formerly registered with FSC Securities Corporation, was suspended by the Financial Industry Regulatory Authority (FINRA), according to his Investment Adviser Public Disclosure, accessed August 19, 2020. This was the latest on a substantial list of regulatory actions…
Read MoreJoseph Pratt, Former Pennsylvania Broker, Barred by FINRA for Alleged Insider Trading
Joseph Pratt (CRD#: 719416), formerly a registered representative with Stifel, Nicolaus & Company, Incorporated (CRD#: 793), has been barred by FINRA for alleged insider trading, according to his BrokerCheck report accessed on October 23, 2019. On September 5, 2019, Joseph Pratt entered into an AWC in which he consented to the findings that he “obtained…
Read MoreFINRA Suspends 15 Representatives In September 2018
Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 20, 2018 list more than one dozen brokers and/or investment advisers as subject to FINRA suspension in that month. Below are the representatives included on that list, who have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to these…
Read MoreFINRA Bars More Than One Dozen Representatives In September 2018
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 20, 2018 indicated that more than one dozen brokers and/or investment advisers were reported as barred from association with broker-dealer firms in that month. The representatives, or former representatives enumerated below have signed Letters of Acceptance, Waiver and Consent (AWC…
Read MoreFINRA Suspends 20+ Representatives In July 2018
Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 6, 2018 indicate that FINRA reported over 20 brokers and/or investment advisers in that month as suspended from association with member firms. The individuals enumerated below have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to these actions; they…
Read MoreFINRA Bars 20+ Representatives In July 2018
Publicly available records published by the Financial Industry Regulatory Authority and accessed on August 6, 2018 indicate that FINRA reported more than twenty brokers and/or investment advisers in that month as barred from association with FINRA member firms. The individuals enumerated below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to these…
Read MoreFifth Third Securities Sanctioned by FINRA This Month
Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 10, 2018 indicate that Ohio-based brokerage and advisory firm Fifth Third Securities was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Fifth Third Securities (CRD# 628). Founded…
Read MoreCambridge Investment Research Has Been Sanctioned by FINRA
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 10, 2018 indicate that Iowa-based brokerage firm Cambridge Investment Research was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Cambridge Investment Research (CRD# 39543). Founded in 1995,…
Read MoreFINRA Suspends 25+ Representatives in February 2018
More than two dozen brokers and/or investment advisers were reported as suspended from association Financial Industry Regulatory Authority member firms in February 2018, according to FINRA’s list of disciplinary actions issued last month. The below individuals have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s suspensions; they have not admitted to…
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