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Articles Posted in Terminated

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 16, 2018 indicate that former California-based RBC Capital Markets broker/adviser Barry Hartwyk, who has been involved in several customer disputes, was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 16, 2018 indicate that former Ohio-based Stifel Nicolaus & Company broker/adviser Michael Iannarino, who has received customer disputes, was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 14, 2018 indicate that South Carolina-based Stifel Nicolaus & Company broker/adviser Lynn Faust was recently discharged from her former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Faust (CRD# […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 13, 2018 indicate that former Florida-based Raymond James Financial Services broker/adviser Mark Tudor was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 13, 2018 indicate that former New Jersey-based Principal Securities broker/adviser Christopher Hildebrant, who has received resolved or pending customer disputes, was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 31, 2018 indicate that former Louisiana-based Edward Jones broker/adviser Thomas Zimmerman was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 31, 2018 indicate that former New York-based Morgan Stanley broker/adviser Yitzchok Goodman, who has received several customer disputes, was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 26, 2018 indicate that Pennsylvania-based Geneos Wealth Management broker/adviser Samuel Monchik has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Monchik (CRD# 4113886). Samuel Monchik has spent 18 years in […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 22, 2018 indicate that former Kansas-based LPL Financial broker/adviser Trent Jones was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 22, 2018 indicate that former Nebraska-based MML Investors Services broker/adviser Chad Mackland was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing […]

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