Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 9, 2017 indicate that New Jersey-based brokerage and advisory firm Summit Equities was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Summit Equities (CRD# 11039).
Established in New Jersey in 1982, Summit Equities is headquartered in Parsippany, New Jersey and registered with 48 US states and territories. Steven Weinman is Chairman of the Board, Chief Executive Officer and Co-Chief Investment Officer; Michael Bremer is Chief Operations Officer; Stanley Gregor is President; Robert Lamberti is Co-Chief Investment Officer; Miriam Lefkowitz is Chief Legal Officer; Robert Slomin is Chief Compliance Officer; Mara Stempler is Chief Financial Officer. The firm is registered with the Securities and Exchange Commission and FINRA.
According to the firm’s BrokerCheck report, Summit Equities was recently sanctioned by FINRA in connection to alleged rule violations.