Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2018 indicate that New York-based Stifel Nicolaus & Company broker/adviser Robert Cohen, who has received customer disputes, was recently discharged from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who…

Read More

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former California-based Signator Investors broker Joseph Pratte was recently 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…

Read More

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former Arkansas-based MML Investors Services broker/adviser Matthew White has been sanctioned by state regulatory authorities in connection to alleged rule violations and is currently not registered as a broker with any state or firm. Fitapelli Kurta is…

Read More

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 30, 2018 indicate that Florida-based Cambridge Investment Research broker Stephen Florio, who has received a customer dispute, was recently terminated from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have…

Read More

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 30, 2018 indicate that former Virginia-based Voya Financial Advisors broker Paul Lemacks was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from…

Read More

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 30, 2018 indicate that former Michigan-based LPL Financial broker/adviser Scott Burns, who has received a customer dispute, was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta…

Read More

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 30, 2018 indicate that former Pennsylvania-based Citizens Securities broker/adviser Jeffrey Walker, who has received a pending customer dispute, was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli…

Read More

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 25, 2018 indicate that former Massachusetts-based Raymond James & Associates broker/adviser Joseph Woitkoski was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in…

Read More

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 26, 2018 indicate that former Kentucky-based LPL Financial broker/adviser Mark Lamkin was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from…

Read More

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 25, 2018 indicate that former Texas-based PFS Investments broker/adviser Steven Owen was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from…

Read More