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Articles Posted in Customer Complaint

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that former Florida-based MML Investors Services broker/adviser Oscar Francis has been sanctioned by the SEC in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that California-based Union Capital Management broker/adviser Richard Labare, who has received customer disputes, has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that Florida-based Newbridge Securities Corporation broker/adviser Peter Goffin has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Goffin (CRD# 1617710). Peter Goffin has spent 32 years in […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that Georgia-based Carter Terry & Company broker/adviser John Timberlake has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Timberlake (CRD# 2109445). John Timberlake has spent 24 […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that former Washington DC-based Oppenheimer & Company broker/adviser Bruce Tuinier, who has received a pending customer dispute, is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that California-based Commonwealth Financial Network broker/adviser Kurt Jackson has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Jackson (CRD# 2913769). Kurt Jackson has spent 21 years in […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that Wisconsin-based Stifel Nicolaus & Company broker/adviser Robert Shirley has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Shirley (CRD# 2021090). Robert Shirley has spent 29 years in the […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that New York-based Laidlaw & Company broker/adviser John Busco has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Busco (CRD# 825869). John Busco has spent 36 […]

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 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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