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Articles Posted in Customer Complaint

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2019 indicate that Washington-based NYLife Securities broker Jeffrey Sleeper has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sleeper (CRD# 2548149). Jeffrey Sleeper has spent 24 years in the securities […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2019 indicate that Texas-based PFS Investments broker/adviser Scott Nordblom has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Nordblom (CRD# 2236507). Scott Nordblom has spent 26 years in the securities […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 7, 2019 indicate that California-based PFS Investments broker Stephen Hendy has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hendy (CRD# 3150129). Stephen Hendy has spent eleven years in the securities […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2019 indicate that Colorado-based PFS Investments broker/adviser Joshua Johner has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Johner (CRD# 4760065). Joshua Johner has spent 14 years in the securities industry […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2019 indicate that Iowa-based Principal Securities broker/adviser Rick Bower has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bower (CRD# 5315073). Rick Bower has spent eleven years in the securities industry […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 7, 2019 indicate that Colorado-based Centaurus Financial broker/adviser Michael Fassi has received a pending customer complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Fassi (CRD# 828921). Michael Fassi has spent 40 years in the […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 7, 2019 indicate that Connecticut-based Raymond James & Associates broker/adviser Diane Fisher has received a pending customer complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Fisher (CRD# 1125776). Diane Fisher has spent 35 years in […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 7, 2019 indicate that former Missouri-based Oppenheimer & Company broker/adviser David Reid, who has received a pending customer dispute, recently resigned from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 7, 2019 indicate that former Massachusetts-based Raymond James & Associates broker Robert Clayson was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 7, 2019 indicate that New Jersey-based Merrill Lynch broker/adviser Michael Greenstone has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Greenstone (CRD# 709165). Michael Greenstone has spent 38 years in the […]

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