Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 7, 2019 indicate that former Florida-based Pruco Securities broker Mario Telfair recently resigned from a 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…

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Publicly available records provided by the Securities and Exchange Commission (SEC) and the New Jersey Bureau of Securities accessed on August 16, 2018 indicate that former New Jersey-based investment adviser Richard Belott, and his former employer, Financial Planning Advisors, have been sanctioned by the Bureau in connection to various allegations of fraud. According to the…

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The Financial Industry Regulatory Authority (FINRA) issued a regulatory notice (18-20) on July 6, 2018 titled: “FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets.” In summary, the notice request that firms “promptly notify FINRA” if they or their associated persons or affiliates are presently engaging or intend to…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 19, 2018 indicate that former Minnesota-based Ameriprise Financial broker/adviser Stephanie Grossman recently resigned from her 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…

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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 21 2017 indicate that former South Carolina-based Sandlapper Securities broker/adviser Theodore Franse has received a pending customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Franse…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2017 indicate that former Florida-based Merrill Lynch broker/adviser Judy Healy has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Healy (CRD# 4000812). Judy…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 4, 2017 indicate that Arizona-based National Planning Corporation broker/adviser Gary Deardorff has been the subject of resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Deardorff (CRD# 1216674). Gary Deardorff has spent nineteen…

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