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Articles Posted in Regulatory Sanction

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 29, 2018 indicate that Illinois-based brokerage firm Healthios Capital Markets, also known as Third500, has been sanctioned by FINRA in connection to alleged risk management and supervisory failures. Fitapelli Kurta is interested in hearing from investors who have complaints regarding […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 29, 2018 indicate that New York-based brokerage and advisory firm RBC Capital Markets has been sanctioned by FINRA in connection to alleged supervisory failures. Fitapelli Kurta is interested in hearing from investors who have complaints regarding RBC Capital Markets (CRD# 31194). […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 29, 2018 indicate that Illinois-based brokerage firm Melvin Securities has been sanctioned by FINRA in connection to alleged filing, record-keeping and net capital rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Melvin Securities (CRD# 29767). […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 29, 2018 indicate that New York-based brokerage firm JVB Financial has been sanctioned by FINRA in connection to alleged risk management and supervisory failures. Fitapelli Kurta is interested in hearing from investors who have complaints regarding JVB Financial (CRD# 149758). According […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 15, 2018 indicate that former Tennessee-based Securities Service Network broker/adviser Peter Holler was recently 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 […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 13, 2018 indicate that former Missouri-based NYLife Securities broker/adviser David Colflesh, who has received numerous customer disputes, was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 26, 2018 indicate that Virginia-based Arete Wealth Management broker/adviser Roshan Loungani, who has been sanctioned by FINRA, recently received a new pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Loungani (CRD# 4256993). […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 22, 2018 indicate that former Pennsylvania-based Valmark Securities broker/adviser Charles Bruton was recently named in an investigation by state regulatory authorities and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 27, 2018 indicate that former Michigan-based Triad Advisors broker Christopher Tolmacs, who in 2016 was barred from acting as a broker or otherwise associating with a broker-dealer firm, has received new customer complaints and a new regulatory sanction. Fitapelli Kurta is […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that California-based StockCross Financial broker/adviser Peter Cunningham has been named in a pending complaint by the Massachusetts Securities Division. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Cunningham (CRD# 2400211). Peter Cunningham has […]

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