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Seth Fenn Resigned From a Former Employer Following Allegations of Rule Violations

Seth FennPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 22, 2018 indicate that Maine-based Signator Investors broker Seth Fenn resigned from a former employer in connection to alleged policy violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Fenn (CRD# 6187295).

Seth Fenn has spent four years in the securities industry and has been registered with Signator Investors in Biddeford, Maine since 2015. Previous registrations include Pruco Securities in Newark, New Jersey (2013-2015) and Signator Investors in Andover, Massachusetts (2015). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 6, 2013, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on October 22, 2013. He is a registered broker and investment advisers with two US states—Maine and New Hampshire—and one self-regulatory organization (SRO): FINRA.

According to his BrokerCheck report, Mr. Fenn previously resigned from one of his former employers in connection to alleged rule violations.

In 2015 he submitted his “voluntary resignation” from Pruco Securities in connection to allegations he had submitted life insurance forms for two clients that included “non-genuine client signatures” and further that he submitted to insurance applications for himself that contained “inaccurate information” which enabled him to received commissions he would not otherwise have been entitled to. His “Broker Comment” on the disclosure reads: “These allegations by Pruco were made five weeks after I was hired to an elevated position with a competing company. When I was offered this new position, in good business practice I gave a resignation letter to Pruco. Pruco later filed this alleged termination disclosure. Per my information and belief, I deny all allegations filed by Pruco.”

If you have lost money investing with Seth Fenn, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.

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