Regulatory Sanction
Daniel Winger Sanctioned, Barred by FINRA Over Alleged Misuse of Customer Funds
Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that former Washington-based PFS Investments broker Daniel Winger 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 in…
Read MoreCustomer Wins $1 Million Award Against Trustmont Financial Group
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 6, 2018 indicate that an investors has won an award exceeding $1,000,000 in an arbitration claim against Trustmont Financial Group. Filed in February 2017, the investor’s claim alleged Trustmont Financial Group violated the Florida Securities and Investor Protection Act, breached…
Read MorePresidential Brokerage: Investor Wins Over $654,000 in Suitability Complaint
Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 31, 2018 indicate that Colorado-based brokerage and advisory firm Presidential Brokerage has received several customer disputes and a regulatory sanction. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Presidential Brokerage (CRD# 28784). Established in California in 1991,…
Read MoreNYLife Securities Fined $200,000 Over Outside Business Activity Allegations
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 31, 2018 indicate that New York-based brokerage firm NYLife Securities has received numerous customer disputes and regulatory sanctions. Fitapelli Kurta is interested in hearing from investors who have complaints regarding NYLife Securities (CRD# 5167). Established in Delaware in 2007, NYLife Securities…
Read MoreGreat American Investors: Regulatory Sanctions Allege Supervisory Failures
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 31, 2018 indicate that Kansas-based brokerage firm Great American Investors has received several regulatory sanctions. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Great American Investors (CRD# 28489). Established in Kansas in 1991, Great American Investors…
Read MoreFrost Brokerage Services Subject of Four Regulatory Events, Including $200,000 FINRA Fine
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 31, 2018 indicate that Texas-based brokerage firm Frost Brokerage Services has received regulatory sanctions and a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Frost Brokerage Services (CRD# 17499). Established in Texas in 1986,…
Read MoreSunTrust Investment Services Fined $1,148,000 by SEC
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 31, 2018 indicate that Georgia-based brokerage firm SunTrust Investment Services has received numerous customer disputes and regulatory sanctions. Fitapelli Kurta is interested in hearing from investors who have complaints regarding SunTrust Investment Services (CRD# 17499). Established in Georgia in 1985, SunTrust…
Read MoreKey Investment Services Fined $100,000 in FINRA Sanction
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 31, 2018 indicate that Ohio-based broker-dealer and advisory firm Key Investment Services has received a regulatory sanction. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Key Investment Services (CRD# 10111). Established in Ohio in 2005, Key Investment…
Read MoreMitchell Kurtz: Henley & Company Discharges Rep Over Alleged Outside Business Activities, Selling Away
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.…
Read MoreDevin Wicker Named In FINRA Complaint Over Alleged Improper Conversion
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate that New York-based JVB Financial Group broker Devin Wicker has been sanctioned by the SEC and named in a pending FINRA complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wicker (CRD# 4228250).…
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