Articles Posted in Barred Brokers

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Lawrence FawcettPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 25, 2018 indicate that former California-based Westpark Capital broker Lawrence Fawcett, who was recently sanctioned by FINRA and barred from acting as a broker, has received pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Fawcett (CRD# 5851474).

Lawrence Fawcett has spent 5 years in the securities industry and has been registered with Westpark Capital in Los Angeles, California (2015-2018). Previous registrations include Salomon Whitney Financial in Farmingdale, New York (2013-2015); Rockwell Global Capital in Melville, New York (2013); John Thomas Financial in New York, New York (2013); Rockwell Global Capital in New York, New York (2012-2013); and EKN Financial Services in Melville, New York (2012). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint, three pending customer complaints, and two FINRA sanctions.

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FINRA Bars 10+ RepresentativesAccording to publicly available records provided by the Financial Industry Regulatory Authority and accessed on June 18, 2018, FINRA reported more than ten brokers and/or investment advisers in that month as barred from association with member firms. The representatives listed below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) consenting to these sanctions without admitting to or denying the alleged underlying actions. Additional information about each action is available on FINRA’s disciplinary actions homepage.

 

Name Current/Former Employers
Laura Ortega Shean LPL Financial
William George Brunner Investment Planners
Domingo Gonzalez Park Avenue Securities
Scott William Palmer Janney Montgomery Scott
Kevin James Lee Martin Nielson & Company
Tyler Harris Merrill Lynch
Ron Jason Ison Buckman Buckman & Reid
Steven Pagartanis Lombard Securities
Dallas Richardson York Wells Fargo Clearing Services
Richard Gomez Avenir Financial Group
Vincent Santoro State Farm VP Management Corporation
Craig Eugene Walker NYLife Securities

 

 

 

 

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Scott PolishPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that former Ohio-based Wells Fargo Clearing Services broker/adviser Scott Polish has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Polish (CRD# 2165523).

Scott Polish has spent 25 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in Mentor, Ohio (2008-2017). Previous registrations include Citigroup Global Markets in Pepper Pike, Ohio (2001-2008); First Union Securities in St. Louis, Missouri (1999-2001); First Union Capital Markets in Charlotte, North Carolina (1999); McDonald Investments in Cleveland, Ohio (1993-1999); Olde Discount Corporation in Detroit, Michigan (1991-1993); and Painewebber in Weehawken, New Jersey (1991). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 10, 2008; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 11, 1991; Series 31 (Futures Managed Funds Examination), which he obtained on July 7, 2000; Series 7 (General Securities Representative Examination), which he obtained on August 16, 1991; Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on April 28, 1993; and Series 4 (Registered Options Principal Examination), which he obtained on March 18, 1993. 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 he was discharged from a former employer in connection to alleged rule violations.

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David KondrackePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2018 indicate that former Ohio-based Merrill Lynch broker/adviser David Kondracke has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kondracke (CRD# 849161).

David Kondracke has spent 38 years in the securities industry and was most recently registered with Merrill Lynch in Columbus, Ohio (2006-2017). Previous registrations include Advest in Hartford, Connecticut (1984-2006) and Vercoe & Company (1978-1984). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on April 18, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 26, 1985; Series 7 (General Securities Representative Examination), which he obtained on February 18, 1978; and Series 40 (Registered Principal Examination), which he obtained on December 14, 1978. He is currently not registered with any state or firm.

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

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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.