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Articles Posted in FINRA News

August 2019 Disciplinary Actions When brokers violate FINRA rules or federal securities regulations—by stealing customer funds, recommending unsuitable investments, or refusing to provide on-the-record testimony to FINRA—the Financial Industry Regulatory Authority holds them to account. FINRA publicizes disciplinary actions taken against brokers in their monthly round-up. The full August 2019 report can be viewed here. […]

Two former brokers for USAA Financial Services, which primarily serves military service members and their families, have won an arbitration against their former employer seeking damages related to a defamatory U5 disclosure. Lawyer leaning on table in chambers USAA Financial Services terminated Christopher R. Johnson, of the Addison, Texas branch, and Lee Anne Przybyla, of […]

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 […]

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