Roderick von Lipsey (CRD #: 4270444), a broker registered with UBS Financial Services Inc., is facing pending customer disputes regarding unsuitability and misrepresentation, according to his BrokerCheck record, accessed on September 17, 2020. If you have questions about Roderick von Lipsey’s conduct as a broker, keep reading for more details about his disclosures. On August…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that former Michigan-based NYLife Securities broker/adviser Timothy Millis, who has received a customer complaint, recently resigned from a former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta…

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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 15, 2019 indicate that former Michigan-based LPL Financial broker/adviser James Bylenga has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in…

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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 15, 2019 indicate that former North Carolina-based LPL Financial broker Earl Midgette was recently terminated from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Trowbridge (CRD# 2332439).…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2019 indicate that former New Jersey-based First Standard Financial Company broker Philip Noto has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2019 indicate that Missouri-based LPL Financial broker John Horseman has received resolved or pending customer complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Horseman (CRD# 851636). John Horseman has spent 34 years in…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2019 indicate that Florida-based Newbridge Securities Corporation broker Stephen Trowbridge has received a customer complaint and was recently terminated from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that Massachusetts-based Cantella & Company broker/adviser Kirk Badii has received a pending customer complaint and was discharged from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have…

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