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Articles Posted in Terminated

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that Nevada-based Stifel Nicolaus & Company broker/adviser Mark Elston has been terminated or resigned from two former employers in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that New Jersey-based Coastal Equities broker/adviser Robert Mehlin, who has received a customer dispute, was recently terminated from a former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 12, 2019 indicate that former Arizona-based First Financial Equity Corporation broker/adviser Robert High, who has been named in an FBI investigation, was recently discharged from a former employer in connection to alleged rule violations and is currently not affiliated with any […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 21, 2019 indicate former New York-based Allied Millennial Partners broker James Eichner, who has received resolved or pending customer disputes, recently resigned 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 February 20, 2019 indicate that Minnesota-based Securities America broker/adviser Craig Senn has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Senn (CRD# 866245). Craig Senn has spent 22 years in […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 20, 2019 indicate that former Texas-based Raymond James & Associates broker/adviser Robert Howard 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 speaking […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 20, 2019 indicate that former Ohio-based TransAmerica Financial Advisors broker/adviser Michael Mackay recently resigned 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 […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2019 indicate that former Wisconsin-based LPL Financial broker/adviser William Schnepp was 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 February 12, 2018 indicate that former Texas-based Kestra Investment Services broker/adviser Cheryl Stallings, also known as Cheryl Bledsoe, has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 4, 2019 indicate that Texas-based DH Hill Securities broker Richard Dismore was discharged from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Dismore (CRD# 1920728). Richard […]

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