Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 15, 2018 indicate that former Louisiana-based Prospera Financial Services broker Wesley Foltz 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 have…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former Colorado-based Paronsex Securities broker/adviser Anthony Farnsworth has been sanctioned by FINRA in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former Iowa-based Northwestern Mutual Investment Services broker Judith Bufis was recently sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker. 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 November 1, 2018 indicate that former Iowa-based Northwestern Mutual Investment Services broker Tristan O’Neal 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…

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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 17, 2018 indicate that New York-based American Portfolios Financial Services broker/adviser Lawrence Passaretti has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Passaretti (CRD# 1191641). Lawrence Passaretti has spent 34…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2018 indicate that former Washington-based Capital Financial Services broker/adviser Lloyd Johnston, who has received a pending customer dispute, was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is…

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Public records published by the Financial Industry Regulatory Authority (FINRA) on July 17, 2018 indicate that former Illinois-based Citigroup Global Markets broker/adviser Mark Flanagan has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Flanagan (CRD# 1949836). Mark Flanagan has…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 27, 2018 indicate that New York-based Westpark Capital broker/adviser Hector Ramos has received a customer dispute and a FINRA sanction. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ramos (CRD# 4172477). Hector Ramos has spent 18…

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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that New Jersey-based RBC Capital Markets broker/adviser Michael Bourke has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bourke (CRD# 2412223). Michael Bourke has spent 24 years…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 15, 2018 indicate that New York-based Worden Capital Management broker Richard Reynolds has received customer disputes and regulatory sanctions. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Reynolds (CRD# 2162706). Richard Reynolds has spent 24…

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