Terminated
Earl Midgette: LPL Rep Terminated Over Discretionary Trading Allegations
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 15, 2019 indicate that former North Carolina-based LPL Financial broker Earl Midgette was recently terminated from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Trowbridge (CRD# 2332439).…
Read MoreStephen Trowbridge: Kestra Terminates Rep Over Alleged Policy Violations
Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2019 indicate that Florida-based Newbridge Securities Corporation broker Stephen Trowbridge has received a customer complaint and was recently terminated from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints…
Read MoreKirk Badii: Suitability Complaint Against UBS Rep
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that Massachusetts-based Cantella & Company broker/adviser Kirk Badii has received a pending customer complaint and was discharged from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have…
Read MoreKenneth Schmidle: Mutual Fund Complaint Against Key Investment Services Rep
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that Ohio-based Key Investment Services broker/adviser Kenneth Schmidle has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Schmidle (CRD# 2367487). Kenneth Schmidle has spent 25 years in…
Read MoreCraig Nelson: LPL Rep Terminated Over Customer Complaint Allegations
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 1, 2019 indicate that former Utah-based LPL Financial broker/adviser Craig Nelson, who has received customer disputes, was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta…
Read MoreEdward Conrekas: FINRA Suspends Ex-JW Cole Rep
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2019 indicate that former California-based JW Cole Financial broker/adviser Edward Conrekas was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints…
Read MoreJack Lowrey: Ameriprise Rep Terminated Over Alleged Discretion, Other Violations
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 23, 2019 indicate that former Florida-based Ameriprise Financial Services broker/adviser Jack Lowrey was recently discharged 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…
Read MoreFernando Landicho: TransAmerica Rep Discharged Over Customer Loan Allegations
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 22, 2019 indicate that former California-based TransAmerica Financial Advisors broker Fernando Landicho, who recently received a pending customer dispute, was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm.…
Read MoreArnold Mariampolski: AXA Rep Terminated Over U4 Allegations
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 16, 2019 indicate that former New York-based AXA Advisors broker/adviser Arnold Mariampolski was recently terminated from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Mariampolski (CRD#…
Read MoreDavid Volpe: LPL Rep Discharged Over Alleged Private Securities Transactions
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 16, 2019 indicate that former Arizona-based LPL Financial broker/adviser David Volpe was recently discharged from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Volpe (CRD# 2543478).…
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