Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 26, 2018 indicate that Ohio-based American Wealth Management broker Brian Stephan has been named in a pending FINRA complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Stephan (CRD# 4222796). Brian Stephan has spent 18…

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According to Financial Industry Regulatory Authority (FINRA) records and a June 22, 2018 report by Investment News, FINRA has issued a $400,000 fine against the online investment advice company Betterment in connection to allegations Betterment FINRA rules related to customer protection and the proper maintenance of books and records. Betterment Securities, a FINRA member and…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that former Georgia-based Edward Jones broker/adviser James Walters was 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 speaking to investors who have…

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Public records provided by the Financial Industry Regulatory Authority and accessed on May 15, 2018, indicate that more than two dozen brokers and/or investment advisers were reported as suspended from association with FINRA member firms in that month. The financial professionals enumerated below have signed letters of Acceptance, Waiver, and Consent (AWC Letters) agreeing to…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 2, 2018 indicate that Uruguay-based Insigneo Securities broker Andres Jaraj has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Jaraj (CRD# 5253088). Andres Jaraj has spent 10 years in the securities…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 2, 2018 indicate that Florida and New York-based Cadaret Grant & Company broker/adviser Lee Rosenberg has been involved in several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rosenberg (CRD# 1010402). Lee Rosenberg…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that Massachusetts-based Securian Financial Services broker/adviser Erik O’Leary has been involved in a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. O’Leary (CRD# 3174893). Erik O’Leary has spent four years…

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