More than a dozen brokers and/or investment advisers were reported as barred from associating with Financial Industry Regulatory Authority member firms in February 2018, per FINRA’s list of disciplinary actions issued in that month. The individuals enumerated below below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s sanctions; they have…

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The Financial Industry Regulatory Authority’s (FINRA) list of disciplinary actions issued in January 2018 includes 19 former registered representatives who were reported as barred from affiliating with FINRA member firms. The below individuals have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s sanctions without admitting or denying the alleged underlying activities.…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 15, 2017 indicate that Iowa-based broker-dealer Berthel Fisher & Company has been sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Berthel Fisher & Company (CRD# 13609). According to…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 9, 2017 indicate that New Jersey-based brokerage and advisory firm Summit Equities was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Summit Equities (CRD# 11039). Established in New…

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Public records published by the Financial Industry Regulatory Authority (FINRA) on September 9, 2016 indicate that former California-based Accelerated Capital Group broker Jeffrey Smith is the subject of a pending FINRA investigation. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Smith (CRD# 2400590).…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) on September 7, 2016 indicate that former New York-based Legend Securities broker Hank Werner has been named in a pending FINRA complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Werner (CRD# 1615495).…

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Public records published by the Financial Industry Regulatory Authority (FINRA) on June 28, 2016 indicate that former California-based Growth Capital Services broker Daniel Miller has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Miller (CRD# 5551362). Daniel Miller has…

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According to records provided by the Financial Industry Regulatory Authority (FINRA), Texas-based brokerage and advisory firm Next Financial has submitted a letter of Acceptance, Waiver and Consent (AWC Letter) to settle allegations of misconduct. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Next Financial…

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The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Connecticut-based Investment Center broker/adviser Leon Vaccarelli (CRD# 3227636). Leon Vaccarelli has spent sixteen years in the securities industry and has been registered with the Investment Center in Waterbury, Connecticut since 2011. Previous registrations include QA3 Investment…

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According to records provided by the Financial Industry Regulatory Authority (FINRA), Minnesota-based brokerage and advisory firm Woodbury Financial Services has signed a letter of Acceptance, Waiver, and Consent (AWC letter) alleging violations of misconduct. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Woodbury Financial…

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