Posts Tagged ‘tax liens’
Gregory O’Brien Subject of Client Allegations Regarding Unsuitable Use of Margin
Gregory O’Brien (CRD #: 3154314), a broker registered with PHX Financial, Incorporated, is facing allegations from clients regarding unsuitable use of margin and poor performance, according to his BrokerCheck record, accessed August 19, 2020. Do you have questions about Gregory O’Brien’s conduct as a broker? Keep reading to learn more. On June 18, 2020, a…
Read MoreJoe Henehan Resigns from Hornor, Townsend & Kent After Failing to Disclose Tax Liens
Joe Henehan (CRD#: 1344245), a former broker with Hornor, Townsend & Kent, LLC (CRD#: 4031) in San Bernardino, California, has been permitted to resign from the firm after the company informed him he would be terminated, according to his BrokerCheck record accessed on March 10, 2020. What happened to lead to Joe Henehan’s resignation? His…
Read MoreTony Duggins Has FINRA Sanction and Outstanding Tax Liens
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that New York-based Spartan Capital Securities broker Tony Duggins has received customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Duggins (CRD# 4556340). Tony Duggins has…
Read MoreJeffrey Coburn Has Pending Regulatory Investigation
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 11, 2016 indicate that former Illinois-based Arete Wealth Management broker Jeffrey Coburn 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…
Read MoreRicardo Sanchez Has Five Outstanding Liens
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 8, 2016 indicate that Florida-based PFS Investments broker Ricardo Sanchez has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sanchez (CRD# 2341541). Ricardo Sanchez…
Read MoreMark 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…
Read MoreJohn Cullen Has Outstanding Tax Liens
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that New York-based Spartan Capital Securities broker John Cullen has received resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cullen (CRD# 5062835).…
Read MoreTuan Phan Has Five Outstanding Tax Liens
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that New York-based National Securities broker Tuan Phan, also known as Peter Phan, has received a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr.…
Read MoreWilliam Carlton Has Outstanding Liens
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 15, 2016 indicate that Virginia-based UBS broker/adviser William Carlton has been the subject of resolved and pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Carlton (CRD# 1132967).…
Read MoreDouglas Solinski Has Three Outstanding Liens
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that New York-based Newbridge Securities broker Douglas Solinski, also known as Douglas Blake, has been named in a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding…
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