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Tamara Steele Allegedly participated in violations of FINRA rules

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Tamara Steele

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 28, 2017 indicate that former Indiana-based Comprehensive Asset Management and Servicing broker/adviser Tamara Steele is involved in pending customer disputes, was discharged 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 investors who have complaints regarding Ms. Steele (CRD# 3227494).

Tamara Steele has spent 17 years in the securities industry and was most recently registered with Comprehensive Asset Management and Servicing in Pendleton, Indiana (2009-2017). Previous registrations include Purshe Kaplan Sterling Investments in Pendleton, Indiana (2008); American General Securities Incorporated in Pendleton, Indiana (2002-2007); and Franklin Financial Services Corporation in Houston, Texas (1999-2002). She has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on May 20, 1999; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on May 20, 1999; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on May 13, 1999. She is currently not affiliated with any broker-dealer firm.

According to his BrokerCheck report, she has received two pending customer complaints and was discharged from her former employer in connection to alleged rule violations.

In July 2017 a customer alleged Tamara Steele, while employed at Comprehensive Asset Management and Servicing, participated in private securities transactions, made unsuitable investment recommendations, violated Indiana securities laws, sold unregistered securities, breacher her fiduciary duty, acted negligently, and participated in violations of FINRA rules and NYSE rules. The customer is seeking $240,000 in damages in the pending complaint.

In July 2017 a customer alleged Tamara Steele, while employed at Comprehensive Asset Management and Servicing, participated in outside business activities, sold investments away from the firm, made unsuitable investment recommendations, was negligent in her management of the account, violated the Indiana Securities Act, sold unregistered and non-exempt securities, breached her fiduciary duty, and violated FINRA rules. The customer is seeking more than $280,000 in damages in the pending complaint.

In June 2017 she was terminated from her position at Comprehensive Asset Management and Servicing following allegations she participated in private securities transactions for several clients without prior notice to and approval from the firm.

If you have lost money investing with Tamara Steele, call Fitapelli Kurta at 877-238-4175 without delay. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.