Articles Posted in Barred Brokers

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Robert Lindell

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 5, 2017 indicate that former California-based Richfield Orion International broker/adviser Robert Lindell has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lindell (CRD# 2550012).

Robert Lindell has spent 22 years in the securities industry and was most recently registered with Richfield Orion International in Santa Rosa, California (2013-2017). Previous registrations include Revere Securities in Bangor, Maine; Jesup & Lamont Securities in New York, New York; Intervest International Equities Corporation in Frankfort, Maine; Edward Jones in St. Louis, Missouri; and Hackett & Company in South Burlington, Vermont. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received several regulatory sanctions and has been named in a pending criminal complaint.

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Hossein AmirriaheiPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 11, 2017 indicate that former California-based Wells Fargo Advisors broker/adviser Hossein Amirriahei has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Amirriahei (CRD# 2121350).

Hossein Amirriahei has spent 25 years in the securities industry and was most recently registered with Wells Fargo Advisors in Los Angeles, California (2003-2016). Previous registrations include Prudential Securities in New York, New York; Pruco Securities in Newark, New Jersey; and the Prudential Insurance Company of America in Newark, New Jersey. He has passed five securities industry examinations: Series 31 (Futures Managed Funds Examination); Series 6 (Investment Company Products/Variable Contracts Representative Examination); Series 7 (General Securities Representative Examination); 65 (Uniform Investment Adviser Law Examination); and Series 63 (Uniform Securities Agent State Law Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one FINRA sanction and one customer complaint, and was discharged from a former employer.

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Mark WesleyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 21, 2017 indicate that former Ohio-based Ameriprise Financial Services broker/adviser Mark Wesley has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from investors who have complains regarding Mr. Wesley (CRD# 2511569).

Mark Wesley has spent 21 years in the securities industry and was most recently registered with Ameriprise Financial Services in Independence, Ohio (1994-2016). He was previously registered with IDS Life Insurance in Minneapolis, Minnesota and is currently not registered with any state or firm.

According to his BrokerCheck report, he has been sanctioned by FINRA and has received several customer disputes.

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Bernard McGeePublic records published by the Financial Industry Regulatory Authority (FINRA) on April 18, 2017 indicate that former New York-based Independent Financial Group broker Bernard McGee has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. McGee (CRD# 1203327).

Bernard McGee has spent 32 years in the securities industry and was most recently registered with Independent Financial Group in Cazenovia, New York (2012-2016). Previous registrations include Cadaret Grant & Company in Cazenovia, New York; New England Securities in East Syracuse, New York; and Royal Alliance Associates in New York, New York. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two customer complaints and one regulatory sanction which is currently on appeal.

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Deborah KelleyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 14, 2017 indicate that former California-based Seaport Global Securities broker Deborah Kelley has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Kelley (CRD# 1179082).

Deborah Kelley has spent 30 years in the securities industry and was most recently registered with Seaport Global Securities in San Francisco, California. Previous registrations include Stifel Nicolaus & Company in San Francisco, California; Sterne Agee & Leach in San Francisco, California; MF Global in San Francisco, California; Piper Jaffray & Company in San Francisco, California; BNP Paribas Securities in San Francisco, California. ABN Amro in Stamford, Connecticut; Everen Securities in St. Louis, Missouri; Prescott Ball & Turben; and Dean Witter Reynolds. She is currently not registered with any state or firm.

According to his BrokerCheck report, Deborah Kelley has been sanctioned by FINRA and is the subject of pending criminal and civil charges.

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Kevin WannerPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 24, 2017 indicate that former North Dakota-based Questar Capital broker Kevin Wanner has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from customers who have complaints regarding Mr. Wanner (CRD# 1402627).

Kevin Wanner has spent thirty years in the securities industry and was most recently registered with Questar Capital in Bismarck, North Dakota (2012-2015). Previous registrations include Woodbury Financial Services in Bismarck, North Dakota; USAllianz Securities in Bismarck, Maryland; Raymond James Financial in St. Petersburg, Florida; LM Financial Partners in New Orleans, Louisiana; Merrill Lynch in New York, New York; SunAmerica Securities in Phoenix, Arizona; Anchor National Financial Services; and AG Edwards & Sons in St. Louis, Missouri. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Kevin Wanner has received two regulatory sanctions, was terminated from his position at Questar Capital, and is the subject of a pending customer dispute.

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Marcus Debaise

Public records provided by the Financial Industry Regulatory Authority (FINRA) on February 20, 2017 indicate that former Connecticut-based Wells Fargo broker Marcus Debaise has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Debaise (CRD# 2404266).

Marcus Debaise has spent 21 years in the securities industry and was most recently registered with Wells Fargo Advisors in Glastonbury, Connecticut (2003-2015). Previous registrations include Prudential Securities in New York, New York (2000-2003) and Legg Mason Wood Walker in Baltimore, Maryland (1993-2000). Mr. Debaise is currently not registered with any state or firm.

According to his BrokerCheck report, he has been the subject of 32 customer complaints and seven pending customer complaints.

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Kimberley Springsteen-Abbott

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 1, 2017 indicate that former Florida-based Commonwealth Capital Securities Corporation broker Kimberley Springsteen-Abbott has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Springsteen-Abbott (CRD# 1367633).

Kimberley Springsteen-Abbott has spent 27 years in the securities industry and was most recently registered with Commonwealth Capital Securities in Clearwater, Florida (1997-2016). Previous registrations include Wheat First Securities in Charlotte North Carolina and Butcher & Singer. She is currently not registered with any state or firm.

According to her BrokerCheck report and FINRA records, Kimberley Springsteen-Abbott has received two SEC sanctions and one FINRA sanction.

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Howard Richards

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 23, 2017 indicate that former Minnesota-based NFP Advisor Services broker/adviser Howard Richards has been permanently barred by the Securities and Exchange Commission from acting as a broker or investment adviser or otherwise associating with firms that sell securities or provide investment advice to the public. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Richards (CRD# 2172691).

Howard Richards has spent 23 years in the securities and was most recently registered with NFP Advisor Services in Plymouth, Minnesota (2014-2015). Previous registrations include Cambridge Investment Research in Plymouth, Minnesota; Royal Alliance Associates in New York, New York; American Express Financial Advisors in Minneapolis, Minnesota; and IDS Life Insurance in Minneapolis, Minnesota. He is currently not registered with any state or firm.

According to his BrokerCheck report, Howard Richards has been sanctioned by the SEC.

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Ash NarayanPublicly available records provided by the Securities and Exchange Commission (SEC) on December 30, 2016 indicate that former California-based RGT Wealth Advisors adviser Ash Narayan has been permanently barred from associating with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Narayan (CRD# 2630251).

Ash Narayan is a former investment adviser who was most recently registered with RGT Wealth Advisors in Irvine, California (2003-2016). He is currently not registered with any state or firm. According to his SEC Investment Advisor Report, he has been barred by the SEC and was terminated from RGT Wealth Management.

In May 2016 the SEC announced fraud charges and emergency relief against Ash Narayan following allegations he “secretly siphon[ed] millions of dollars from accounts he managed for professional athletes and investing their earnings in a cash-starved online sports and entertainment ticket business for which he has served on the Board of Directors.” The SEC alleged that Mr. Narayan transferred more than $33 million from customer accounts to the company, generally without their awareness or authorization, and used forged or unauthorized signatures. The ticket business allegedly “became dependent upon the fraudulent cash infusions” and Mr. Narayan allegedly received almost $2 million in “hidden compensation” from the business. In December 2016 he was permanently barred from the securities industry, issued a fine of $350,000, and was ordered to pay disgorgement of $1,498,000.