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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 19, 2018 list more than a dozen brokers and/or investment advisers who were reported as suspended from association with FINRA member firms in that month. The financial professionals enumerated below have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing […]

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Publicly available records published by FINRA and accessed on October 19, 2018 list six investment professionals who were reported as barred from associating with Financial Industry Regulatory Authority member firms this month. The individuals enumerated below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) in connection to these disciplinary actions, without admitting to […]

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 16, 2018 indicate that former California-based Mutual Securities broker/adviser Gary Pevey was recently terminated from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Pevey (CRD# 2129469). […]

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 16, 2018 indicate that Connecticut-based Kovack Securities broker/adviser Carl Cornaglia has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cornaglia (CRD# 3067666). Carl Cornaglia has spent 20 years in […]

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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 16, 2018 indicate that former California-based Independent Financial Group broker Jon Pariser 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 […]

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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 15, 2018 indicate that former Michigan-based B. Riley Wealth Management broker/adviser John Woch was recently discharged from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Woch (CRD# […]

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 15, 2018 indicate that New York-based Reid & Rudiger broker Elvis Parkes has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Parkes (CRD# 2358223). Elvis Parkes has spent 24 […]

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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 15, 2018 indicate that Massachusetts-based Cambridge Investment Research broker/adviser Gary Boyt has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Boyt (CRD# 3199337). Gary Boyt has spent 19 years in the […]

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 15, 2018 indicate that Pennsylvania-based Stifel Nicolaus & Company broker/adviser John Lisowski has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lisowski (CRD# 1011572). John Lisowski has spent 36 years […]

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Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in OPKO Health (NASDAQ:OPK) in connection to alleged violations of securities laws by OPK. Fitapelli Kurta is interested in speaking to investors who have complaints regarding investments made in OPKO Health between September 26, 2013 and September 7, 2018. […]