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Articles Tagged with permitted to resign

Bob Berry (CRD#: 1262947), a broker with LPL Financial LLC (CRD#: 6413) and a Registered Investment Adviser (RIA) with Level Four Advisory Services (CRD#: 134086), both in Lexington, South Carolina, is currently involved in an investor dispute, according to his BrokerCheck record accessed on June 23, 2020. What happened to lead to this dispute? Read […]

Nate Clay (CRD#: 4525541), who formerly worked as a broker for Laidlaw & Company (UK) Ltd. (CRD#: 119037), has been suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on April 27, 2020.  On March 18, 2020, Nate Clay failed to respond to FINRA’s request for information. As a result, […]

Jason K. Williams (CRD#: 4676003) was permitted to resign from Thurston Springer Financial on February 8, 2019 after he made unauthorized comments in an online forum regarding “a stock held in his own account and in the accounts of his clients,” according to his BrokerCheck report accessed on September 3, 2019. His recent resignation is […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that South Dakota-based Arete Wealth Management broker/adviser Dennis Thurman has received customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Thurman (CRD# 2342398). Dennis Thurman has […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 26, 2016 indicate that Wisconsin-based SII Investments broker/adviser Michael Halla 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. Halla (CRD# 2738221). Michael Halla has spent 19 […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on July 5, 2016 indicate that Michigan-based LM Kohn & Company broker/adviser David Rubenstein was recently discharged from Wells Fargo Advisors. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rubenstein (CRD# 2514293). David […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on June 22, 2016 indicate that former Arkansas-based Ameriprise Financial Services broker Matthew Morrison 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 speaking to investors who have complaints […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on June 16, 2016 indicate that former Pennsylvania-based Raymond James broker/adviser Jeffrey Ingros has been permanently barred from acting as a broker. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ingros (CRD# […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 30, 2016 indicate that former Kentucky-based Supreme Alliance broker Jeffrey Borneman 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. Borneman (CRD# 1519729). Jeffrey Borneman has […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 26, 2016 indicate that former New York-based Oppenheimer broker Michael Marchassalla 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 speaking investors who have complaints regarding […]

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