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Articles Posted in FINRA News

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 18, 2019 indicate that New York-based broker-dealer Oppenheimer & Company was recently found liable for and ordered to pay an award of more than $250,000 in arbitration proceedings with a customer. Fitapelli Kurta is interested in speaking to investors who […]

Recent news articles and publicly available records provided by the Financial Industry Regulatory Authority (FINRA) report that FINRA has fined Merrill Lynch $300,000 in connection to that firm’s failure to supervise a broker who allegedly defrauded a firm customer in association with what AdvisorHub describes as a “well-known con man,” with whom the broker allegedly […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 18, 2018 indicate that Arizona-based Royal Alliance Associates broker/adviser John Farmer has been named in a pending FINRA complaint alleging he participated in an unapproved and undisclosed outside business activity. Fitapelli Kurta is interested in hearing from investors who have […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 18, 2018 indicate that Arizona-based Royal Alliance Associates broker/adviser Jodi Padgett has been named in a pending FINRA complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Padgett (CRD# 1828918). Jodi Padgett has spent 23 years […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 13, 2018 indicate that Ohio-based David A. Noyes & Company broker/adviser Sam Aziz, who has received customer disputes, was recently named in a FINRA investigation into alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 13, 2018 indicate that former Tennessee-based Wells Fargo Advisors broker/adviser David Strnad, who is currently not affiliated with any broker-dealer firm, was recently named in a FINRA investigation into alleged rule violations. Fitapelli Kurta is interested in speaking to investors […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate that former Colorado-based Cetera Advisors broker/adviser Scott Kozak, who has received customer complaints, was recently discharged from his former employer in connection to alleged rule violations and named in a FINRA investigation. Fitapelli Kurta is interested in […]

In January 2018 FINRA published a quarterly disciplinary review documenting matters it had settled or litigated in the preceding quarter. Following are brief summaries of the matters discussed therein. In one matter, FINRA settled allegations involving a representative who “created fictitious letters to a former customer” so as to hide his provision of inaccurate information […]

In April 2018 FINRA published a quarterly disciplinary review containing summaries of disciplinary actions taken by the organization. The review encompasses both settlements and decisions in litigated cases involving alleged misconduct by registered representatives. Following are brief recaps of the matters discussed therein. One settlement involved allegations that a representative recommended that retail customers purchase […]

Publicly available records published by FINRA and accessed on May 15, 2018 indicate that more than one dozen brokers and/or investment advisers 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 […]

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