Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 18, 2019 list 15 brokers and/or investment advisers reported as subject to FINRA sanctions suspending them in that month. The individuals named below have signed letters of Acceptance, Waiver and Consent (AWC Letters) consenting to these disciplinary actions, though they […]

Public records provided by FINRA and accessed on March 18, 2019 list 10 investment representatives who were reported in March 2019 as sanctioned by FINRA and barred from association with FINRA member firms. The brokers and/or investment advisers listed below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) in connection with these sanctions, […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 list 10 brokers and/or investment advisers reported as having received suspensions from association with FINRA member firms in February 2019. The investment professionals included below have signed letters of Acceptance, Waiver and Consent (AWC Letters) consenting to FINRA’s sanctions; […]

Publicly available records provided by FINRA and accessed on March 17, 2019 list 10 investment representatives who were reported in February 2019 as subject to disciplinary actions barring them from association with FINRA member firms. The individuals listed below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) in connection to these disciplinary actions; […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 list more than one dozen brokers and/or investment advisers reported as having received suspensions from association with FINRA member firms in January 2019. The individuals enumerated below have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing […]

Publicly available records published by FINRA and accessed on March 17, 2019 list more than 20 investment representatives who were reported in January 2019 as barred from associating with Financial Industry Regulatory Authority member firms. The individuals listed below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) in connection to these disciplinary actions, […]

The Securities and Exchange Commission announced on March 12, 2019 that it had filed charges against William “Doc” Gallagher, who described himself as the “Money Doctor” in his appearances on Dallas, Texas-area radio shows, in connection to allegations that he orchestrated a $19.6 million Ponzi scheme targeting the retirement funds of elderly investors. The SEC […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Kentucky-based Ameriprise Financial Services broker/adviser Regina Onkst has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Onkst (CRD# 1128989). Regina Onkst has spent 34 years […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that New Jersey-based Coastal Equities broker/adviser Robert Mehlin, who has received a customer dispute, was recently terminated from a former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Texas-based UBS Financial Services broker/adviser Robert Mueller has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mueller (CRD# 2647227). Robert Mueller has spent 23 years in […]

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