Articles Posted in permitted to resign

Joe Henehan (CRD#: 1344245), a former broker with Hornor, Townsend & Kent, LLC (CRD#: 4031) in San Bernardino, California, has been permitted to resign from the firm after the company informed him he would be terminated, according to his BrokerCheck record accessed on March 10, 2020.

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What happened to lead to Joe Henehan’s resignation? His firm found that he failed to inform the firm of his tax liens, thereby violating firm policy and securities regulations. The firm told Joe Henehan that he would be terminated, so he resigned.

Indeed, Joe Henehan’s BrokerCheck record lists 11 tax liens, starting in 2009, when he became subject to a tax lien of $29,573. Here are his other listed liens:

Dale SeagravePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 16, 2018 indicate that former Florida-based SunTrust Investment Services broker/adviser Dale Seagrave recently resigned from his former employer in connection to alleged rule violations and has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Seagrave (CRD# 2457013).

Dale Seagrave has spent 16 years in the securities industry and was most recently registered with SunTrust Investment Services in Coral Gables, Florida (2015-2018). Previous registrations include Wells Fargo Advisors in Hallandale, Florida (2009-2015); PFIC Securities Corporation in Franklin, Tennessee (2002-2003); Banc of America Investment Services in Boston, Massachusetts (2001-2002); SunTrust Securities in Atlanta, Georgia (2001); Mesirow Financial in Chicago, Illinois (2001); H. Beck in Bethesda, Maryland (2000); Citicorp Investment Services in Long Island City, New York (1998-1999); Painewebber in Weehawken, New Jersey (1998); Shay Financial Services in Irving, Texas (1995-1997); and Suncoast Capital Group in Fort Lauderdale, Florida (1994). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 13, 2009; Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 16, 2007; and Series 7 (General Securities Representative Examination), which he obtained on March 5, 2009. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and recently resigned from his former employer in connection to alleged rule violations.

Mark RaezerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 27, 2018 indicate that former Colorado-based Taylor Capital Management broker Mark Raezer, who was recently sanctioned by state authorities in connection to alleged rule violations, has received a pending customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Raezer (CRD# 6439772).

Mark Raezer has spent two years in the securities industry and was most recently registered with Taylor Capital Management in Aurora, Colorado (2015-2018). He has no previous registrations. He has passed one securities industry examination: Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 9, 2015. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one regulatory sanction and one pending customer complaint, and he recently resigned from his former employer in connection to alleged rule violations.

Billy Zhang

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that former California-based AXA Advisors broker/adviser Billy Zhang recently resigned from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Zhang (CRD# 5510158).

Billy Zhang has spent nine years in the securities industry and was most recently registered with AXA Advisors in Los Angeles, California (2012-2018). Previous registrations include MetLife Securities in Pasadena, California (2011-2012) and AXA Advisors in Irvine, California (2008-2011). He has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on November 27, 2010; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 30, 2008; Series 7 (General Securities Representative Examination), which he obtained on December 29, 2010; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 23, 2008; and Series 24 (General Securities Principal Examination), which he obtained on December 21, 2012. He is currently not registered with any state or firm.

According to his BrokerCheck report, he recently resigned from his former employer in connection to alleged rule violations.

Darrell RobertsPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that Texas-based Western International Securities broker/adviser Darrell Roberts resigned from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Roberts (CRD# 4244624).

Darrell Roberts has spent 16 years in the securities industry and has been registered with Western International Securities in Richardson, Texas since September 2017. Previous registrations include Financial West Group in Richardson Texas (2013-2017); Ameriprise Financial Services (2001-2013); and IDS Life Insurance Company in Minneapolis, Minnesota (2001-2006). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with six US states: Idaho, Indiana, New York, Oklahoma, Texas and Washington.

According to his BrokerCheck report, Darrell Roberts has resigned from a former employer in connection to alleged rule violations.

Blake KingPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 22, 2017 indicate that former Georgia-based Merrill Lynch broker/adviser Blake King recently resigned from his former employer following alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. King (CRD# 6012392).

Blake King has spent four years in the securities industry and was most recently registered with Merrill Lynch in Atlanta, Georgia (2012-2017). He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Blake King recently resigned from his position at Merrill Lynch.