Articles Posted in Regulatory Sanction

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Matthew BarrettPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2017 indicate that former Massachusetts-based Rothschild Lieberman broker Matthew Barrett has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Barrett (CRD# 3277609).

Matthew Barrett has spent 15 years in the securities industry and was most recently registered with Rothschild Lieberman in Boston, Massachusetts (2016). Previous registrations include Newport Coast Securities in Boston, Massachusetts; White Weld & Company Securities in Boston, Massachusetts; Seven Points Capital in Boston, Massachusetts; Avian Securities in Boston, Massachusetts; BTIG LLC in Boston, Massachusetts; Raymond James & Associates in St. Petersburg, Florida; AdVest in Hartford, Connecticut; and Dain Rauscher in New York, New York. He is currently not registered with any state or firm.

According to his BrokerCheck report, Matthew Barrett was recently sanctioned by FINRA and has previously been sanctioned by the State of Massachusetts.

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Donald BergeronPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2017 indicate that former North Carolina-based Capital Guardian broker/adviser Donald Bergeron has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bergeron (CRD# 2653896).

Donald Bergeron has spent 20 years in the securities industry and was most recently registered with Capital Guardian LLC in Charlotte, North Carolina (2009-2016). Previous registrations include Merrill Lynch in Charlotte, North Carolina; JJB Hilliard WL Lyons in Louisville, Kentucky; American Frontier Financial Corporation in Denver, Colorado; Painewebber in Weehawken, New Jersey; and RAF Financial Corporation in Denver, Colorado. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has been sanctioned by FINRA and was discharged from two former employers.

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Christopher PollardPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2017 indicate that former Georgia-based Morgan Stanley broker/adviser Christopher Pollard has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pollard (CRD# 6143750).

Christopher Pollard has spent 3 years in the securities industry and was most recently recently registered with Morgan Stanley in Atlanta, Georgia (2013-2016). 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, he has been sanctioned by FINRA and was discharged from his former employer.

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Jason Likens

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2017 indicate that former Florida-based International Assets Advisory broker/adviser Jason Likens has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Likens (CRD# 4716661).

Jason Likens has spent 11 years in the securities industry and was most recently registered with International Assets Advisory in Orlando, Florida (2016-2017). Previous registrations include Oppenheimer & Company in Asheville, North Carolina; Stanford Group Company in Asheville, North Carolina; UBS Financial Services in Asheville, North Carolina; and Wachovia Securities in St. Louis, Missouri. 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 terminated from two former employers.

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Frank TeggePublicly available records published by the Financial Industry Regulatoyr Authority (FINRA) and accessed on August 15, 2017 indicate that former Michigan-based Wells Fargo Advisors broker/adviser Frank Tegge has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Tegge (CRD# 443782).

Frank Tegge has spent 45 years in the securities industry and was most recently registered with Wells Fargo Advisors in East Lansing, Michigan (2008-2015). Previous registrations include Ferris Baker Watts in East Lansing, Michigan; McDonald Investments in Cleveland, Ohio; Thomson McKinnon Securities in New York, New York; and Manley Bennett McDonald & Company. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has been sanctioned by FINRA and was terminated from his former employer.

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Frank Tegge

Publicly available records published by the Financial Industry Regulatoyr Authority (FINRA) and accessed on August 15, 2017 indicate that former Michigan-based Wells Fargo Advisors broker/adviser Frank Tegge has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Tegge (CRD# 443782).

Frank Tegge has spent 45 years in the securities industry and was most recently registered with Wells Fargo Advisors in East Lansing, Michigan (2008-2015). Previous registrations include Ferris Baker Watts in East Lansing, Michigan; McDonald Investments in Cleveland, Ohio; Thomson McKinnon Securities in New York, New York; and Manley Bennett McDonald & Company. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has been sanctioned by FINRA and was terminated from his former employer.

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Murray MonroePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2017 indicate that former California-based Western International Securities broker/adviser Murray Monroe has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Monroe (CRD# 2337934).

Murray Monroe has spent 24 years in the securities industry and was most recently registered with Western International Securities in Pasadena, California (2010-2017). Previous registrations include Crowell Weedon & Company in West Covina, California and Atlas Securities in San Leandro, California. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and one FINRA sanction.

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Bryan LightseyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 11, 2017 indicate that Florida-based International Assets Advisory broker/adviser Bryan Lightsey 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. Lightsey (CRD# 4472767).

Bryan Lightsey has spent 14 years in the securities industry and was most recently registered with International Assets Advisory in Orlando, Florida (2016). Previous registrations include AXA Advisors in Boca Raton, Florida; AIG Retirement Advisors in Houston, Texas; and the Variable Annuity Marketing Company in Houston, Texas. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two regulatory sanctions, one pending regulatory complaint, and one customer complaint. He was also discharged from his position at AXA Advisors in January 2016 following allegations of “material misrepresentations on multiple customer variable annuity applications.”

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Stephen SalmPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 11, 2017 indicate that California-based Lombard Securities broker Stephen Salm has been sanctioned by FINRA and issued a suspension from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Salm (CRD# 1970888).

Stephen Salm has spent 27 years in the securities industry and has been registered with Lombard Securities in Carlsbad, California since 2014. Previous registrations include Securities America in Solana Beach, California; Financial West Group in Westlake Village, California; Torrey Pines Securities in San Diego, California; First Wall Street Corporation in Carlsbad, California; Raymond-Martin Financial; and Baraban Securities in Los Angeles, California. He is a registered broker with nine US states and territories: Arizona, California, Colorado, Nevada, New Mexico, New York, Oregon, Texas and Washington.

According to his BrokerCheck report, he has received one customer complaint and one FINRA sanction.

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Scott Garrison

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 11, 2017 indicate that former California-based LPL Financial broker advisor Stanley Garrison, also known as Scott Garrison, has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Garrison (CRD# 1126118).

Stanley Scott Garrison has spent 32 years in the securities industry and was most recently registered with LPL Financial in Bakersfield, California (2009-2015). Previous registrations include Associated Securities Corporation in Bakersfield, California; FSC Securities in Bakersfield, California; Sentra Securities in Phoenix, Arizona; Prudential-Bache Securities; and Dean Witter Reynolds. He is currently not registered with any state or firm.

According to his BrokerCheck report, Stanley Scott Garrison has received one FINRA sanction and two customer complaints.