Sanction
James Bylenga: Ex-LPL Rep Barred by FINRA over Customer Loan Allegations
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…
Read MorePhilip Noto: $668,000 Pending Complaint Against Suspended Ex-First Standard Rep
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…
Read MoreUpdate: New Pending Complaints Against Worden’s Richard Reynolds
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 27, 2019 indicate that New York-based Worden Capital Management broker Richard Reynolds has received new pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Reynolds (CRD# 2162706). Richard Reynolds has spent 25 years in…
Read MoreJohn Columbia: Investor Seeks $15 Million in Complaint Against Alexander Capital Rep
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 22, 2019 indicate that New York-based Alexander Capital broker/adviser John Columbia has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Columbia (CRD# 2194537). John Columbia has spent 25 years…
Read MoreTimothy Johnson: Massachusetts Sanctions Stifel Nicolaus Rep; Trading Allegations
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 22, 2019 indicate that Massachusetts-based Stifel Nicolaus & Company broker/adviser Timothy Johnson, who has received customer disputes, was recently sanctioned by state regulatory authorities in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints…
Read MoreMichael Neumeier: Investor Complaint Alleges Unsuitable Behringer Harvard REIT
Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 10, 2019 indicate that Maryland-based Coastal Equities broker/adviser Michael Neumeier has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Neumeier (CRD#…
Read MoreAaron Austin: Ex-LPL Rep Charged with Felony Theft, Suspended by FINRA
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 31, 2018 indicate that former Maryland-based LPL Financial broker/adviser Aaron Austin has been sanctioned by FINRA in connection to alleged rule violations and from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding…
Read MoreDonald Cox: Investor Seeks $2 Million in Complaint Alleging Fraud, Forgery by Raymond James Rep
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 18, 2018 indicate that Michigan-based Raymond James & Associates broker/adviser Donald Cox is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Cox (CRD# 716663). Donald Cox has spent 38…
Read MoreDana Vietor: CFD Investments Rep Resigns Over Alleged Private Securities Transactions
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 18, 2018 indicate that former Texas-based CFD Investments broker/adviser Dana Vietor recently resigned 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 investors…
Read MoreRandolph McNeill: FINRA Sanctions Ex-Buckman Rep
Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2018 indicate that former New Jersey-based Buckman Buckman & Reid broker/adviser Randolph McNeill was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who…
Read More