Articles Posted in FINRA investigation

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Michael OlindePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 6, 2017 indicate that Louisiana-based Capital Financial Services broker/adviser Michael Olinde was terminated from a former employer in connection to alleged rule violations and is involved in a pending FINRA investigation. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Olinde (CRD# 3063204).

Michael Olinde has spent 19 years in the securities industry and has been registered with Capital Financial Services in Baton Rouge, Louisiana since July 2017. Previous registrations include LPL Financial in Baton Rouge, Louisiana (2009-2017); Mutual Services Corporation in Baton Rouge, Louisiana (2008-2009); AIG Financial Advisors in Baton Rouge, Louisiana (2008); American General Securities Incorporated in Baton Rouge, Louisiana (2002-2008); and Franklin Financial Services Corporation in Houston, Texas (1998-2002). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 16, 2007; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 25, 1998; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on May 7, 2001. He is a registered broker and investment adviser with eleven US states and territories: Alabama, California, Florida, Kansas, Kentucky, Louisiana, Mississippi, North Carolina, Oklahoma, Texas and Virginia.

According to his BrokerCheck report, he has been named in an ongoing FINRA investigation and was recently discharged from a former employer in connection to alleged rule violations.

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Jack McBridePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 7, 2017 indicate that Michigan-based Wunderlich Securities broker/adviser Jack McBride has received customer disputes and was recently named in a FINRA investigation. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McBride (CRD# 2517946).

Jack McBride has spent 22 years in the securities industry and has been registered with Wunderlich Securities in Birmingham, Michigan since 2014. Previous registrations include Ameriprise Financial Services in Farmington Hills, Michigan (2009-2014) and Ameriprise Advisor Services in West Bloomfield, Michigan (1994-2009). 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 8 (General Securities Sales Supervisor Examination [Options Module & General Module]). He is a registered broker and investment adviser with 17 US states and territories: Arkansas, California, Colorado, Connecticut, Florida, Georgia, Illinois, Iowa, Michigan, Minnesota, New Hampshire, New York, North Carolina, Ohio, South Carolina, Vermont and Wisconsin.

According to his BrokerCheck report, he has received two customer complaints, was recently named in two FINRA investigations, and was discharged from a former employer.

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Joe Buckner

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 19, 2017 indicate that former Texas-based Brazos Securities broker/adviser Joe Buckner 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. Buckner (CRD# 2187957).

Joe Buckner has spent 21 years in the securities industry and was most recently registered with Brazos Securities in Dallas, Texas (1996-2015). Previous registrations include Maplewood Investment Advisors in Dallas, Texas; La Jolla Capital Corporation in San Diego, California; and Merrill Lynch in New York, New York. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one FINRA sanction and one pending customer complaint, and has been named in a pending regulatory investigation.

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Leslie Markus

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 25, 2017 indicate that Pennsylvania-based Lincoln Investment broker/adviser Leslie Markus, also known as George Markus, has been named in a FINRA investigation. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Markus (CRD# 2688964).

Leslie Markus has spent 21 years in the securities industry and has been registered with Lincoln Investment in Bethlehem, Pennsylvania since 2015. Previous registrations include Ameriprise Financial Services in Center Valley, Pennsylvania; Cadaret Grant & Company in Syracuse, New York; Multi-Financial Securities Corporation in North East, Maryland; American Capital Corporation in Valley Forge, Pennsylvania; Tower Square Securities in El Segundo, California; and Guardian Investor Services in New York, New York. He is a registered broker and investment adviser with seven US states: California, Delaware, Maryland, New Jersey, Pennsylvania, Texas and Virginia.

According to his BrokerCheck report, Leslie Markus was discharged from a former employer and has been named in a pending FINRA investigation.

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Brad BrooksPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 11, 2017 indicate that Texas-based Titan Securities broker/adviser Brad Brooks has been named in a pending FINRA complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Brooks (CRD# 1584633).

Brad Brooks has spent thirty years in the securities industry and has been registered with Titan Securities in Addison, Texas since 2005 Previous registrations include Southwest Texas Capital in Plano, Texas; Wachovia Securities in St. Louis, Missouri; Bear Stearns & Company in New York, New York; and Shearson Lehman Hutton in New York, New York. He is a registered broker and investment adviser with thirteen US states and territories.

According to his BrokerCheck report, Brad Brooks has received four customer complaints, one regulatory sanction, and one pending FINRA complaint.

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George Warner

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 6, 2017 indicate that Texas-based Dominion Investor Services broker George Warner has been named in a pending FINRA complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Warner (CRD# 2300570).

George Warner has spent 22 years in the securities industry and has been registered with Dominion Investor Services in Horseshoe Bay, Texas since March 2017. Previous registrations include NFP Advisor Services in Rockwall, Texas; LPL Financial in Rockwall, Texas; Primevest Financial Services in St. Cloud, Minnesota; Pruco Securities in Newark, New Jersey; 1717 Capital Management Company in Newark, Delaware; MetLife Securities in Springfield, Massachusetts; and Metropolitan Life Insurance Company in New York, New York. He is currently not registered with any US state or territory.

According to his BrokerCheck report, George Warner has received one pending FINRA complaint and one customer complaint.

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Richard CumleyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 6, 2017 indicate that Kansas-based Dominion Investor Services Richard Cumley has been named in a pending FINRA investigation. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Cumley (CRD# 1727165).

Richard Cumley has spent 29 years in the securities industry and has been registered with Dominion Investor Services in Overland Park, Kansas since March 2017. Previous registrations include Securities America in Overland Park, Kansas; Sunset Financial Services in Overland Park, Kansas; Cambridge Investment Research in Fairfield, Iowa; Cornerstone Investments in Topeka, Kansas; Securities America in La Vista, Nebraska; Walnut Street Securities in El Segundo, California; Northwestern Mutual Investment Services in Milwaukee, Wisconsin; Robert W. Baird & Company in Milwaukee, Wisconsin; MetLife Securities in Springfield, Massachusetts; and Metropolitan Life Insurance in New York, New York. He is currently not registered with any US state or territory.

According to his BrokerCheck report, Richard Cumley has been named in a pending customer complaint and a pending FINRA investigation.

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William Baum

Public records published by the Financial Industry Regulatory Authority (FINRA) on April 4, 2017 indicate that Kansas-based Great American Investors broker William Baum has received several resolved or pending customer disputes and is the subject of a pending FINRA investigation. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Baum (CRD# 1528847).

William Baum has spent 30 years in the securities industry and has been registered with Great American Investors in Overland Park, Kansas since 2001. Previous registrations include First Union Securities in St. Louis, Missouri; George K. Baum & Company in Kansas City, Missouri; Dain Bosworth; General Securities in North Kansas City, Missouri; and ML Stern & Company. He is a registered broker with nine US states and territories: Arizona, California, Colorado, Florida, Georgia, Kansas, Maryland, Missouri and Texas.

According to his BrokerCheck report, he has received four customer complaints, one pending customer complaint, and one pending FINRA investigation.

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Jack BixlerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 14, 2017 indicate that South Carolina-based Sandlapper Securities broker/adviser Jack Bixler has been named in a pending FINRA investigation. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bixler (CRD# 22331).

Jack Bixler has spent forty years in the securities industry and has been registered with Sandlapper Securities in Greenville, South Carolina since 2006. Previous registrations include CNP Securities in Newport Beach, California; James Harold Goode, Jr. in San Clemente, California; WNC Capital Corporation in Irvine, California; Prudential Investment Management in Newark, New Jersey; Provident Advisors in New York, New York; AIG Equity Sales in New York, New York; Alliance Fund Distributors in New York, New York; American Finance Group Equities in Boston, Massachusetts; Colonial Equities Corporation; MDCC Securities Corporation; Brauvin Securities; Security Properties Capital Corporation; 1901 Century Financial Corporation; Minoco Capital; and University Capital Corporation. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 1 (Registered Representative Examination); and Series 00 (General Securities Principal Examination). He is a registered broker and investment adviser with four US states: California, Indiana, Ohio and South Carolina.

According to his BrokerCheck report, Jack Bixler is the subject of a pending FINRA investigation.