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Articles Tagged with SII investments

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 22, 2017 indicate that former California-based SII Investments broker/adviser Timothy Sullivan was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 2, 2017 indicate that former New Jersey-based SII Investments broker Scott Newsholme has been barred from acting as a broker and named in a complaint by the Securities and Exchange Commission. Fitapelli Kurta is interested in speaking to investors who […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and the Commonwealth of Massachusetts report that the Massachusetts Securities Division has issued an administrative complaint against Wisconsin-based broker-dealer SII Investments (CRD#: 2225). The complaint concerns alleged supervisory failures relating to non-traded real estate investment trust (REIT) products. Established in Wisconsin in 1968, SII […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on March 2, 2017 indicate that Wisconsin-based broker-dealer firm SII Investments has been sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding SII Investments (CRD# 2225). Established in Wisconsin in 1968, SII Investments […]

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 […]

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding California and Wisconsin-based SII Investments broker/adviser Timothy Sullivan (CRD# 2969989). Timothy Sullivan has spent seventeen years in the securities industry and has been registered with SII Investments in San Ramon, California and Appleton, Wisconsin since 2008. […]

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