Jordan Montgomery Subject of FINRA Investigation

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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Mark Wesley Permitted to Resign from Ameriprise

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that former Ohio-based Ameriprise broker Mark Wesley 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 complaints regarding…

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William Frasco Has Criminal Charge

Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that New York-based First Standard Financial Company broker William Frasco has been the subject of a criminal charge. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Frasco (CRD#…

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Gary Speicher Not a Licensed Broker

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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Broker Spotlight: Austin Dutton

Public records published by the Financial Industry Regulatory Authority (FINRA) on July 6, 2016 indicate that Pennsylvania-based Newbridge Securities Corporation broker/adviser Austin Dutton Jr. has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Dutton (CRD# 2739167).…

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Brandon Gioffre Permanently Barred from Securities Industry

Public records provided by the Financial Industry Regulatory Authority (FINRA) on June 29, 2016 indicate that former New York-based Constellation broker Brandon Gioffre has been permanently barred from acting as a broker. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from customers who have complaints regarding Mr. Gioffre (CRD# 2854741).…

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Douglas Miller is Permanently Barred from Securities Industry

Public records published by the Financial Industry Regulatory Authority (FINRA) on May 30, 2016 indicate that former Ohio-based Triad Advisors broker/adviser Douglas Miller has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in…

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