Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 6, 2018 indicate that FINRA reported over 15 brokers and/or investment advisers in November, 2018 as suspended from association with its member firms. The investment professionals documented below have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s […]

Publicly available records published by the Financial Industry Regulatory Authority and accessed on December 6, 2018 indicate that FINRA reported more than 15 brokers and/or investment advisers in November as barred from association with FINRA member firms. The individuals enumerated below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s sanctions […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 4, 2018 indicate that Nevada-based NYLife Securities broker Michael Norman 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 in […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 4, 2018 indicate that Texas-based LPL Financial broker/adviser Celia Scott has been involved in a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Scott (CRD# 2870484). Celia Scott has spent 21 years in […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 4, 2018 indicate that Texas-based LPL Financial broker/adviser Bradley Scott has been involved in a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Scott (CRD# 4381014). Bradley Scott has spent 17 years in […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 4, 2018 indicate that Texas-based LPL Financial broker/adviser Bradley Bowman has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bowman (CRD# 2898756). Bradley Bowman has spent 21 years in the […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 4, 2018 indicate that Texas-based LPL Financial broker/adviser Cecil Ross has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ross (CRD# 2391047). Cecil Ross has spent 24 years in the securities […]

Publicly available records provided by the Securities and Exchange Commission (SEC) on November 29, 2018 indicate that the SEC has reached a settlement of charges against Floyd Mayweather, a professional boxer, and DJ Khaled, a hip-hop producer, in connection to their paid promotion of investments in cryptocurrency Initial Coin Offerings, or ICOs. According to the […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 29, 2018 indicate that Illinois-based brokerage firm Healthios Capital Markets, also known as Third500, has been sanctioned by FINRA in connection to alleged risk management and supervisory failures. Fitapelli Kurta is interested in hearing from investors who have complaints regarding […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 29, 2018 indicate that New York-based brokerage and advisory firm RBC Capital Markets has been sanctioned by FINRA in connection to alleged supervisory failures. Fitapelli Kurta is interested in hearing from investors who have complaints regarding RBC Capital Markets (CRD# 31194). […]

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