Jerry Wells, New York Broker, Suspended from the Securities Industry Over Variable Annuity Misrepresentations

Jerry Wells (CRD#: 1015358), a registered representative with Sagepoint Financial, Inc. (CRD#: 133763) in Rochester, New York, has been suspended from the securities industry by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on January 22, 2020. On December 4, 2019, Jerry Wells entered into an Acceptance, Waiver, and Consent (AWC)…

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FINRA Suspends 20+ Representatives In June 2018

According to publicly available records published by the Financial Industry Regulatory Authority and accessed on June 18, 2018, more than two dozen brokers and/or investment advisers were reported in that month as suspended from association with FINRA member firms. The representatives listed have signed letters of Acceptance, Waiver and Consent (AWC Letters) consenting to FINRA’s…

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Reynold Vaughan III Has Received Eight Customer Complaints and Three Regulatory Sanctions

Public records published by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that New York-based SW Financial broker Reynold Vaughan III has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Vaughan (CRD# 1025788). Reynold Vaughan has spent 24 years in the…

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Li-Lin Hsu Has Received Three FINRA Sanctions

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 25, 2018, as well as a news report published on April 23, 2018 indicate that former California-based Ameriprise broker/adviser Li-Lin Hsu has been sanctioned by FINRA, barred from acting as a broker, and arrested in connection with an alleged embezzlement…

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Daniel Wilson Has Received a Customer Complaint

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that Iowa-based Northwestern Mutual Investment Services broker Daniel Wilson has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wilson (CRD# 1033853). Daniel…

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Dion Padilla Was Issued a Three Month Suspension

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2017 indicate that former Texas-based Next Financial Group broker/adviser Dion Padilla has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Padilla (CRD# 4432230). Dion Padilla…

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Dennis Coral Was Issued a Suspension by FINRA

Public records published by the Financial Industry Regulatory Authority (FINRA) on March 17, 2017 indicate that former Florida-based Kovack Securities broker/adviser Dennis Coral has been sanctioned by FINRA and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Coral (CRD# 4561718). Dennis Coral…

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Leigh Garber Was Issued a Suspension by FINRA

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 24, 2017 indicate New York-based National Securities and Adirondack Trading Group broker Leigh Garber has been sanctioned by FINRA. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Garber (CRD# 2768572). Leigh Garber has spent eighteen years in…

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James Speno: Sanctioned by FINRA

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 26, 2017 indicate that former New York-based Morgan Stanley broker/adviser James Speno has been suspended by FINRA and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Speno (CRD# 431912).…

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