FINRA Sanctions Ex-LPL Rep Suhail Khan Over Unsuitable Investments

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 17, 2018 indicate that former Illinois-based LPL Financial broker/adviser Suhail Khan, who has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm, is involved in a pending customer dispute. Fitapelli Kurta…

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Update: New Pending Investor Complaints Against Westpark Capital Broker Lawrence Fawcett

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 25, 2018 indicate that former California-based Westpark Capital broker Lawrence Fawcett, who was recently sanctioned by FINRA and barred from acting as a broker, has received pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints…

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FINRA Bars 10+ Representatives In June 2018

According to publicly available records provided by the Financial Industry Regulatory Authority and accessed on June 18, 2018, FINRA reported more than ten brokers and/or investment advisers in that month as barred from association with member firms. The representatives listed below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) consenting to these sanctions…

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David Kondracke Has Been Sanctioned and Barred From Acting as a Broker Following Alleged Rule Violations

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2018 indicate that former Ohio-based Merrill Lynch broker/adviser David Kondracke 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…

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Robert Lindell Has Been Barred From Acting as a Broker

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 5, 2017 indicate that former California-based Richfield Orion International broker/adviser Robert Lindell has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in…

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Hossein Amirriahei Was Barred From Acting as a Broker

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 11, 2017 indicate that former California-based Wells Fargo Advisors broker/adviser Hossein Amirriahei has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to…

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Mark Wesley: Sanctioned and Barred by FINRA Following allegations of Misconduct

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 21, 2017 indicate that former Ohio-based Ameriprise Financial Services broker/adviser Mark Wesley has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from…

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Bernard McGee Was Barred From Acting as a Broker

Public records published by the Financial Industry Regulatory Authority (FINRA) on April 18, 2017 indicate that former New York-based Independent Financial Group broker Bernard McGee has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to…

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Deborah Kelley: Barred after Allegations of Participating in “Pay to Play Scheme”

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 14, 2017 indicate that former California-based Seaport Global Securities broker Deborah Kelley has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from…

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