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Articles Posted in Regulatory Sanction

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 14, 2018 indicate that California-based broker-dealer First Allied Securities has been sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding First Allied Securities (CRD# 32444). Established in New […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2019 indicate that Washington-based NYLife Securities broker/adviser Steven Davis, who has received customer disputes, was recently named in a pending state regulatory action. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Davis (CRD# 1618380). […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2018 indicate that former Illinois-based Merrill Lynch broker/adviser Ben Dembla 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 […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2019 indicate that California-based NI Advisors broker/adviser Suihock Goy has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Goy (CRD# 2821380). Suihock Goy has spent 21 years in […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2019 indicate that California-based Westpark Capital broker John Reilly has received a pending customer complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Reilly (CRD# 870804). John Reilly has spent 16 years in the securities […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 18, 2019 indicate that former Mississippi-based Next Financial Group broker Thomas Watts, who is currently registered as an investment adviser with Beyond Capital Financial Management Group, was recently sanctioned by state regulatory authorities in connection to alleged rule violations and suspended […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 18, 2019 indicate that North Carolina-based Capital Investment Group broker Seth Nannini, who has received a pending customer dispute, was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 16, 2019 indicate that Tennessee-based Morgan Stanley broker/adviser Frank Venable has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 16, 2019 indicate that former Colorado-based First Financial Equity Corporation broker/adviser Daniel Levine 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 […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 9, 2019 indicate that former South Carolina-based Voya Financial Advisors broker James Flynn 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 […]

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