Barred Brokers
Ex-Wells Fargo Rep David Homan Charged With Trust Fund Embezzlement
News reports on mlive and Financial Advisor IQ report that ex-Wells Fargo adviser David Homan has been charged with embezzling thousands of dollars from the trust fund of a deceased client. According to reports, David Homan, who is 68, was arraigned in Bay City, Michigan’s Bay County District Court for “one count of embezzlement between…
Read MoreFINRA 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…
Read MoreUpdate: 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…
Read MoreFINRA 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…
Read MoreDavid 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…
Read MoreRobert 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…
Read MoreHossein 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…
Read MoreMark 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…
Read MoreBernard 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…
Read MoreDeborah 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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