Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that former Arizona-based First Financial Equity Corporation broker Stephen Whittaker has received a pending customer dispute and was recently terminated from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Whittaker (CRD# 831764).
Stephen Whittaker has spent 15 years in the securities industry and was most recently registered with First Financial Equity Corporation in Surprise, Arizona (2012-2019). Previous registrations include Morgan Stanley Smith Barney in Surprise, Arizona (2009-2012); Morgan Stanley & Company in Surprise, Arizona (2007-2009); Morgan Stanley DW in Surprise, Arizona (2006-2007); and AG Edwards & Sons in St. Louis, Missouri (2003-2006). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 18, 2003; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on September 10, 2003. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one pending customer complaint, was recently terminated from a former employer in connection to alleged rule violations, and resigned from another former employer in connection to alleged rule violations.
In April 2019 he was terminated from his position at First Financial Equity Corporation in connection to allegations he participated in undisclosed outside business activities that included tax planning for firm clients.
In April 2019 a customer alleged Stephen Whittaker, while employed at First Financial Equity Corporation, executed unauthorized trades and made unsuitable investment recommendations. The customer is seeking $35,000 in damages in the pending complaint.
In 2012 he voluntarily resigned from his position at Morgan Stanley in connection to allegations he engaged in communications with third parties about two customers’ accounts without receiving proper written authorization from the firm, and additional allegations that he participated in unapproved outside business activities.
If you or someone you know has lost money investing with Stephen Whittaker, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. 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.