Sanction
Wesley Foltz: FINRA Sanctions Ex-Prospera Rep Over Annuity Sales
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…
Read MoreAnthony Farnsworth Sanctioned By FINRA Over Books and Records Allegations
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…
Read MoreJudith Bufis Sanctioned by FINRA Private Securities Transaction Allegations
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…
Read MoreTristan O’Neal Sanctioned In Iowa Over Noncompliance Certificate
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…
Read MoreCustomer Alleged Lawrence Passaretti Did Not Notify Them of any Policy Lapse Resulting in Damages Upon the Policy’s Termination
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…
Read MoreLloyd Johnston: FINRA Sanctions Former Capital Financial Services Rep
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…
Read MoreMark Flanagan: Investor Complaints, FINRA Sanctions Against Ex-Citigroup Rep
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…
Read MoreHector Ramos: Westpark Broker Suspended by FINRA Over Unauthorized Loan
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…
Read MoreMichael Bourke: Previously Received Regulatory Sanction, Has Pending Client Complaint
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…
Read MoreRichard Reynolds: Six Customer Complaints, Three Sanctions
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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