First Financial Equity’s Jeffrey Sigman Terminated Over Outside Business Activities

Publicly records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate that former Colorado-based First Financial Equity Corporation broker/adviser Jeffrey Sigman, who has been named in a pending FINRA investigation, was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with…

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Cheryl George: FINRA Sanctions Ex-RBC Rep Over Alleged Unauthorized Transfer

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate that former New York-based RBC Capital Markets broker/adviser Cheryl George has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who…

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Mitchell 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.…

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Questar Terminates Derek Sunderland Over Alleged Record Alterations

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate that former North Dakota-based Questar Capital Corporation broker Derek Sunderland was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in…

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Former LPL Rep Clifton Roberts Terminated Over Alleged Outside Business Activities

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2018 indicate that former Texas-based LPL Financial broker/adviser Clifton Roberts, who has received a customer dispute, was discharged from his former employer and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors…

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Frederick Olson Terminated from Oak Ridge Financial Services Over Alleged Rule Violations

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 23, 2018 indicate that former Minnesota-based Oak Ridge Financial Services Group broker/adviser Frederick Olson was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in…

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FINRA Sanctions National Securities’ Xavier Patino Over Alleged Annuity Misstatements

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 16, 2018 indicate that Illinois-based Newbridge Securities Corporation broker/adviser Xavier Patino, also known as Javier Patino, has been sanctioned by FINRA in connection to alleged rule violations and received a customer dispute. Fitapelli Kurta is interested in hearing from investors who…

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Jerome Poole Terminated From Berthel Fisher & Company

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 16, 2018 indicate that former Delaware-based Berthel Fisher & Company broker/adviser Jerome Poole was recently discharged from his former employer in connection to alleged rule violations and has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who…

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Suitability, Churning Allegations Against Newbridge Broker Dana Davis

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 10, 2018 indicate that New York-based Newbridge Securities broker Dana Davis has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Davis (CRD# 1707708). Dana Davis has spent 29 years in…

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Barry Wold Terminated From Raymond James & Associates

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 26, 2018 indicate that former Minnesota-based Raymond James & Associates broker/adviser Barry Wold was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in…

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