The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding the California-based brokerage and advisory firm Planmember Securities Corporation (CRD# 11869).
Formed in California in 1982, Planmember Securities Corporation is headquartered in Carpinteria, California and registered in 51 US states and territories. Jon Michael Ziehl is President; Daniel Anthony Murphy, Jr. is Chief Compliance Officer and Senior Vice President; Byron Francis Bowman is Chief Legal Officer and Secretary; Terrall Joseph Janeway is Executive Vice President and Chief Operating Officer; William Starr Kemble is Senior Vice President of Finance, Financial Operations Principal, and Chief Financial Officer.
According to its BrokerCheck report, Planmember Securities Corporation is the subject of two regulatory sanctions.
In 2010 the Financial Industry Regulatory Authority (FINRA) sanctioned Planmember Securities Corporation following allegations the firm outsourced its mutual fund breakpoint determinations to a third party, which failed to make certain considerations and ultimately overcharged Planmember customers. Planmember Securities Corporation was censured and issued a fine of $20,000.
In 2008 FINRA sanctioned Planmember Securities Corporation following allegations the firm received checks from public customers which it failed to deposit in a timely manner, and additionally failed to maintain adequate books and records with regard to customer checks. Planmember Securities Corporation was issued a fine of $5,000.
If you or someone you know has a complaint regarding Planmember Securities Corporation, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover losses. Fitapelli Kurta accepts every case on contingency, which means you will only pay us if and when you recover 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.
If you have lost money investing with Mark Anthony Intino or Royal Enterprise Associates, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recover your losses. All cases are taken on contingency: we only get paid if and when you recoup money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.