Jon Dabareiner Was “Permitted to Resign” From Concord Wealth Partners

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 26, 2017 indicate that former Concord Wealth Partners and Ameriprise Financial Services broker/adviser Jon Dabareiner has received several customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints…

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Michael Velarde Has Been the Subject of Four Customer Complaints Regarding Unsuitable Investments

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 20, 2017 indicate that Texas-based Wells Fargo Clearing Services broker/adviser Michael Velarde has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Velarde (CRD# 1707166). Michael Velarde has spent 30 years in…

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Beaumont Financing Authority Agreed to Settle Charges Regarding False Statements

Publicly available records provided by the Securities and Exchange Commission (SEC) and accessed on September 22, 2017 indicate that the SEC has charged a California-based municipal financing authority called the Beaumont Financing Authority in connection to alleged false statements regarding five bond offerings. Fitapelli Kurta is interested in hearing from investors who have complaints regarding…

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Rance Carlson Received a Customer Complaint for Purchasing a Majority of Illiquid Investments

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 17, 2017 indicate that Missouri-based CommunityAmerica Financial Solutions broker/adviser Rance Carlson has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Carlson (CRD# 5110433). Rance Carlson has spent 11 years in the securities…

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Equity-Linked CDs: What You Need To Know

According to the Securities and Exchange Commission (SEC), an equity-linked certificate of deposit (CD) is an “FDIC-insured certificate of deposit that ties the rate of return to the performance of a stock index such as the S&P 500 Composite Stock Price Index.” Conditions vary by investment, but an equity-linked generally has a term of five…

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Envoy Advisory Was Censured and Fined by the SEC

Publicly available records provided by the Securities and Exchange Commission (SEC) as well as an Investment News report published on September 11, 2017 indicate that the SEC has censured Colorado-based advisory firm Envoy Advisory in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Envoy Advisory. According…

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Market-Linked CDs: Know the Risks

Market-linked CDs are certificates of deposit whose returns are based on either the performance of a market index, a basket of equities, or both. They are also known as index-linked CDs or equity-linked CDs. In general, the principal amount one invests in a market-linked CD is FDIC-insured up to $250,000. Market-linked CDs have obvious advantages…

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Andrea Golis Has Received One Pending Regulatory Complaint

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 25, 2017 indicate that Minneapolis-based Thrivent Investment Management broker Andrea Golis has been named in a pending complaint by state regulatory authorities. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Golis (CRD# 1401462). Andrea Golis has…

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Jeffrey Delaney Was Discharged From his Former Employer

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2017 indicate that former South Carolina-based Pruco Securities broker Jeffrey Delaney 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. Delaney (CRD# 4199148).…

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Mike Milne Received a FINRA Sanction

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 20, 2017 indicate that former Florida-based Kovack Securities broker/adviser Mike Milne has received a pending customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Milne…

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