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Articles Tagged with Sanction

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 19, 2016 indicate that former South Carolina-based Sagepoint Financial broker Timothy Dufresne has been permanently barred from associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 9, 2016 indicate that former California-based LPL Financial broker Raymond Schmidt has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested […]

California-based NPB Financial Group broker/adviser Stephen Kipp is the subject of a regulatory sanction and a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kipp (CRD# 1255862). Stephen Kipp has spent 31 years in the securities industry and has been registered […]

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