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Articles Tagged with Discharged

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Kansas-based Ameritas Investment Corporation broker/adviser Jerry Hurt has received two regulatory sanctions. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hurt (CRD# 2139646). Jerry Hurt has […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 17, 2016 indicate that North Carolina-based Ameriprise Financial Services broker/adviser Carmen Lance, also known as Carmen Smith, has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that Ohio-based Ameriprise broker/adviser Lorene Fairbanks has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Fairbanks (CRD# 2788572). Lorene Fairbanks has […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that Tennessee-based United Planners Services of America a Limited Partner broker/adviser Charles Woodall Sr. was discharged from his previous employer. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 5, 2016 indicate that former Tennessee-based Woodbury Financial Services broker David Ross is currently not licensed to act as a broker or investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 5, 2016 indicate that former California-based LPL Financial broker/adviser Robert Cenko is currently not licensed to act as a broker or investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 30, 2016 indicate that former Tennessee-based WFG Investments broker/adviser Wesley Wood has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wood (CRD# 4703879). […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on June 28, 2016 indicate that former Florida-based JW Cole Financial broker Dennis Merritt has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Merritt (CRD# 1748115). Dennis Merritt has […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on June 27, 2016 indicate that Michigan-based Ameriprise broker/adviser Jeffrey Rush has received settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rush (CRD# 1220200). Jeffrey Rush has spent […]

Public available records published by the Financial Industry Regulatory Authority (FINRA) on June 22, 2016 indicate that former South Carolina-based Sagepoint Financial broker Timothy Dufresne, who has been permanently barred from associating with firms that sell securities to the public, is the subject of a pending customer complaint. The securities and investment fraud law firm […]

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