Super Lawyers
AVVO
Million Dollar Advocates Forum
Martindale-Hubbell

Articles Posted in AWC

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 […]

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 […]

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 […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 28, 2018 report that more than 20 brokers and/or investment advisers were suspended by FINRA from association with member firms. The representatives listed below have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s disciplinary actions, however, […]

Public records provided by the Financial Industry Regulatory Authority and accessed on August 28, 2018 listed more than 20 brokers and/or investment advisers as barred from association with broker-dealer firms. The representatives listed below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s disciplinary actions, though they have not admitted to […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 3, 2018 indicate that Pennsylvania-based brokerage firm Mid Atlantic Capital Corporation has received several regulatory sanctions. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mid Atlantic Capital Corporation (CRD# 10674). Established in Pennsylvania in 1981, Mid […]

Twelve brokers and/or investment advisers were reported as suspended from association with Financial Industry Regulatory Authority member firms in April 2018, according to FINRA’s list of disciplinary actions issued this month. These individuals, listed below, have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to the sanctions, without admitting to or denying the […]

More than two dozen brokers and/or investment advisers were reported as under suspension from association Financial Industry Regulatory Authority member firms in March 2018, per FINRA’s list of disciplinary actions issued last month. The below individuals have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to the sanctions against them, without admitting to […]

Nine brokers and/or investment advisers were reported as barred from associating with Financial Industry Regulatory Authority member firms in March 2018, per FINRA’s list of disciplinary actions issued this month. The individuals enumerated below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s sanctions; they have not admitted or denied the […]

Contact Information