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Articles Posted in Regulatory Sanction

FINRA, the Financial Industry Regulatory Authority, has issued its July 2019 monthly report of disciplinary actions levied against brokers and brokerage firms. The report includes information about brokers barred by FINRA for document forgery and annuity churning, among other activities, as well as brokers suspended by FINRA for improperly liquidating variable annuities and engaging in […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 11, 2019 indicate that former California-based brokerage firm Accelerated Capital Group has received two regulatory sanctions. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Accelerated Capital Group (CRD# 41270). Established in California in 1996, Accelerated Capital […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that California-based Stifel Nicolaus broker/adviser Joel Davidman has received a pending customer complaint and was recently sanctioned by state regulatory authorities. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Davidman (CRD# 861180). […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 26, 2019 indicate that former Kansas-based RBC Capital Markets broker/adviser Paul Gershon, who was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker, is currently not affiliated with any broker-dealer firm. Fitapelli Kurta […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) on February 24, 2017 indicate that former North Dakota-based Questar Capital broker Kevin Wanner has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from customers who have complaints […]

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 provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that Texas-based UBS Financial Services broker/adviser Richard Niemann has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that former Texas-based PFS Investments broker Derrick Trussell has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that former New York-based Paulson Investment Company broker Kevin Graetz has been sanctioned by FINRA 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 4, 2019 indicate that New Jersey-based broker-dealer firm Royal Alliance Associates has received more than 60 complaints from customers and regulatory authorities. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Royal Alliance Associates (CRD# 23131). Established […]

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