Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that FINRA has sanctioned LPL Financial in connection to allegations the firm violated rules concerning the reporting of customer complaints as well as rules concerning anti-money laundering procedures. Fitapelli Kurta is interested in hearing from investors who…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 24, 2018 indicate that Texas-based AllState Financial Services broker Jesse Gil has been named in a FINRA investigation into alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gil (CRD# 5188650). Jesse Gil…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 19, 2018 indicate that former Wisconsin-based Questar Capital Corporation broker/adviser William Kaczmarek has been named in an investigation by state regulatory authorities into alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kaczmarek…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 8, 2018 indicate that Missouri-based Farmers Financial Solutions broker Michael Brumley has been named in an investigation by state regulatory authorities. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Brumley (CRD# 4695724). Michael Brumley has…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 8, 2018 indicate that Florida-based Crystal Bay Securities broker Rafael Golan, who has received several resolved or pending customer disputes, has been named in several regulatory investigations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Golan…

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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 31, 2018 indicate that former Missouri-based Forest Securities broker/adviser David Apted, who has been sanctioned by FINRA, was recently named in a FINRA investigation into alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr.…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 19, 2017 indicate that former California-based Montage Securities broker/adviser Harold Couglar has been named in a FINRA investigation into alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Couglar (CRD# 1193367). Harold Couglar…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 7, 2017 indicate that New York-based Janney Montgomery Scott broker/adviser Thomas Niles has been named in a pending FINRA investigation. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Niles (CRD# 2264883). Thomas Niles has spent…

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