Alex James, formerly of Allstate Financial Services, Under Investigation by FINRA for Undisclosed Outside Business Activities

By Fitapelli and Kurta | March 24, 2020

Alex James (CRD#: 5630825), a former registered representative with Allstate Financial Services LLC (CRD#: 18272) in West Palm Beach, Florida, is currently being investigated by the Financial Industry Regulatory Authority (FINRA) for potentially undisclosed outside business activities, according to his BrokerCheck record accessed on March 16, 2020.  What happened to lead to this FINRA investigation?…

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Dennis Mehringer Subject of Two Ongoing FINRA Investigations

By Fitapelli and Kurta | August 23, 2016

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that California-based Western International Securities broker/adviser Dennis Mehringer is the subject of a pending FINRA investigation. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mehringer (CRD# 722569).…

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Jordan Montgomery Subject of FINRA Investigation

By Fitapelli and Kurta | August 5, 2016

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Minnesota-based Northwestern Mutual Investment Services broker Jordan Montgomery has been named in a regulatory investigation. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Montgomery (CRD# 5788771).…

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Gary Speicher Not a Licensed Broker

By Fitapelli and Kurta | July 8, 2016

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 6, 2016 indicate that former Iowa-based Cambridge Investment Research broker Gary Speicher is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have…

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Mark Pfeiffer Facing FINRA Investigation

By Fitapelli and Kurta | July 6, 2016

Public records published by the Financial Industry Regulatory Authority (FINRA) on July 5, 2016 indicate that New York-based FBN Securities broker Mark Pfeiffer is the subject of a FINRA investigation. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Pfeiffer (CRD# 4089566). Mark Pfeiffer…

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David Miller Has Pending FINRA Complaint

By Fitapelli and Kurta | May 26, 2016

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 24, 2016 indicate that former Ohio-based Huntington Investment Company broker David Miller is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to customers who have…

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John Corsi Not a Licensed Broker

By Fitapelli and Kurta | May 12, 2016

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 4, 2016 indicate that former Ohio-based Sterne Agee Financial Services broker John Corsi is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr.…

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Kalomira Zangoulos Named in FINRA Investigation

By Fitapelli and Kurta | March 23, 2016

Michigan-based Sagepoint Financial broker/adviser Kalomira Zangoulos is the subject of customer complaints and a FINRA investigation. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Zangoulos (CRD# 4451124). Kalomira Zangoulos has spent fourteen years in the securities industry and has been registered with Sagepoint…

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