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Articles Tagged with outside activity

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 27, 2016 indicate that Missouri-based Kovack Securities broker Steven Bumbera was recently terminated from his previous position. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bumbera (CRD# 4686154). Steven Bumbera […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that Texas-based Sagepoint Financial broker/adviser Ricky Moore is the subject of a pending FINRA complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Moore (CRD# 2574634). Ricky […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that Texas-based Titan Securities broker/adviser Richard Demetriou has been named in a FINRA investigation. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Demetriou (CRD# 828433). Richard Demetriou […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 30, 2016 indicate that former Illinois-based Morgan Stanley broker Brian Sak is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sak (CRD# 3259830). […]

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 records published by the Financial Industry Regulatory Authority (FINRA) on June 23, 2016 indicate that former Pennsylvania-based First Allied Securities broker Theodore Rothman has been permanently barred from “engaging in certain activities.” The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rothman (CRD# […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) on June 22, 2016 indicate that former California-based Valic Financial Advisors broker Richard Hawkes is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on June 9, 2016 indicate that former Oklahoma-based WFG Investments broker Jay Jordan has settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Jordan (CRD# 1776666). Jay Jordan has […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 24, 2016 indicate that Wisconsin-based Merrill Lynch broker/adviser Paul Akre 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. Akre (CRD# 1068145). Paul Akre has spent […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 12, 2016 indicate that former Arizona-based First Financial Equity broker Robert Kerrigan has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kerrigan (CRD# 268516). Robert Kerrigan […]

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