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The Certified Financial Planner Board of Standards, which issues the prestigious Certified Financial Planner (CFP) designation, announced in a press release to PR Newswire on August 5, 2019, that they had sanctioned 12 financial planners for violating FINRA rules or the CFP Code of Conduct. Violations include failing to disclose outside business activities and selling […]

On June 17, 2019, John Wyshak, whose 33 years of experience in the securities industry spanned nine firms, became involved in a customer dispute. The allegations are “unauthorized trading, suitability, excessive commissions, violations of industry standards, violation of FINRA Rule 2020, NYSE Rule 405, breach of fiduciary duty, negligent retention, fraud, omission of material facts, […]

FINRA, the Financial Industry Regulatory Authority, has suspended David Antypas (CRD #: 2603488), a financial advisor from Brentwood, Tennessee who was most recently registered with IFS Securities. David Antypas worked for six firms throughout his 23-year career, including: LPL Financial LLC (CRD# 6413) Continue Reading

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 28, 2019 indicate that Illinois-based RBC Capital Markets broker/adviser Martin Hare has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hare (CRD# 2194612). Martin Hare has spent 27 years […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 27, 2018 indicate that former Texas-based HD Vest Investment Services broker Donna Barnard, who has received more than ten pending customer disputes, 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 June 16, 2018 indicate that former Indiana-based Ameriprise Financial Services broker/adviser Nicholas Hoetmer was recently 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 published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that former Florida-based Raymond James & Associates broker/adviser Stephen Murray was recently 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 […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 13, 2018 indicate that former California-based US Bancorp Investments broker/adviser John Wade 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 […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 5, 2018 indicate that California-based Charles Schwab & Company broker Steven Brodie has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Brodie (CRD# 1492095). Steven Brodie has spent four years in […]

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