Articles Posted in Regulatory Sanction

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Leslie Koonce

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that California-based EK Riley Investments broker/adviser Leslie Koonce has been sanctioned by state authorities and named in a pending FINRA investigation. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Koonce (CRD# 1131758).

Leslie Koonce has spent 32 years in the securities industry and has been registered with EK Riley Investments in Menlo Park, California since 2015. Previous registrations include Cetera Advisor Networks in Menlo Park, California (2015); LPL Financial in Menlo Park, California (2009-2015); Associated Securities Corporation in Menlo Park, California (2004-2009); Main Street Management Company in Boston, Massachusetts (1999-2004); and Hornor Townsend & Kent in Horsham, Pennsylvania (1984-1998). He is a registered broker and investment adviser with 14 US states and territories: Alabama, Arizona, California, Colorado, Florida, Idaho, Illinois, Kansas, Massachusetts, New York, North Carolina, Oregon, Tennessee, and Washington.

According to his BrokerCheck report, he was recently sanctioned by state authorities and has been named in a pending FINRA investigation.

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Kenneth Neuner

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that former California-based TCFG Wealth Management broker/adviser Kenneth Neuner 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 Mr. Neuner (CRD# 2719529).

Kenneth Neuner has spent 21 years in the securities industry and was most recently registered with TCFG Wealth Management in Laguna Niguel, California (2017). Previous registrations include Summit Brokerage Services in Dallas, Texas (2016-2017); VSR Financial Services in Dallas, Texas (1996-2016); and Dominion Capital Corporation in Dallas, Texas (1996). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent 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 a former employer in connection to alleged rule violations.

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Terrence Diehl

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that former Boston-based LPL Financial broker Terrence Diehl 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. Diehl (CRD# 2335297).

Terrence Diehl has spent 10 years in the securities industry and was most recently registered with LPL Financial in Boston, Massachusetts (2015-2016). Previous registrations include Joseph Gunnar & Company in New York, New York; Morgan Stanley in Purchase, New York; and Prudential Securities in New York, New York. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 65 (Uniform Investment Adviser Law Examination); and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Terrence Diehl has received one FINRA sanction and was terminated from a former employer.

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Gene ValentinePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 12, 2017 indicate that West Virginia-based Financial West Group broker/adviser Gene Valentine was recently sanctioned by FINRA and has been named in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Valentine (CRD# 1079871).

Gene Valentine has spent 34 years in the securities industry and has been registered with Financial West Group in Wellsburg, West Virginia and Reno, Nevada since 1986. Previous registrations include Venture Funding and Christopher Weil & Company. He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 22 (Direct Participation Programs Representative Examination); Series 24 (General Securities Principal Examination); and Series 39 (Direct Participation Programs Principal Examination). He is a registered broker and investment adviser with 25 US states and territories.

According to his BrokerCheck report, Gene Valentine has received one FINRA sanction and one pending customer complaint.

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Jason ColesPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that California-based Centaurus Financial broker/adviser Jason Coles has received a FINRA sanction and several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Coles (CRD# 2632270).

Jason Coles has spent 21 years in the securities industry and has been registered with Centaurus Financial in Irvine, California since August 2017. Previous registrations include Financial West Group in Irvine, California; Torrey Pines Securities in San Diego, California; Securities America in Irvine, California; Wells Fargo Investments in Costa Mesa, California; and Fidelity Brokerage Services in Smithfield, Rhode Island. He is a registered broker and investment adviser with nine US states and territories: Arizona, California, Colorado, Florida, Louisiana, Nevada, Oregon, Texas, and Washington.

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

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Milton BeilePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that New Jersey-based Wells Fargo Clearing Services broker/adviser Milton Beile has been sanctioned by FINRA. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Beile (CRD# 4265262).

Milton Beile has spent 16 years in the securities industry and has been registered with Vestech Securities in St. Louis since 2016. Previous registrations include IBN Financial Services in Liverpool, New York (2016-2017); Oakbridge Financial Services in Kirkwood, Missouri (2013-2016); and Merrill Lynch in Clayton, Missouri (2009-2013); and Citigroup Global Markets in Clayton, Missouri (2000-2009). He is a registered broker and investment adviser in Missouri.

According to his BrokerCheck report, Milton Beile has received one FINRA sanction and was terminated from a former employer.

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Sharon Kwan

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 22, 2017 indicate that California-based Royal Alliance Associates broker/adviser Sharon Kwan has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Kwan (CRD# 2578627).

Sharon Kwan has spent 22 years in the securities industry and has been registered with Royal Alliance Associates in Arcadia, California since 2013. Previous registrations include National Planning Corporation in Arcadia, California and Royal Alliance Associates in Orange, California. She is a registered broker and investment adviser with three US states: California, Texas and Utah.

According to her BrokerCheck report, Sharon Kwan was recently sanctioned by FINRA in connection to alleged rule violations.

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Mehran TazhibiPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 22, 2017 indicate that former California-based Fidelity Brokerage Services broker/adviser Mehran Tazhibi, also known as Ron Tazhibi, 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. Tazhibi (CRD# 5416037).

Mehran Tazhibi has spent nine years in the securities industry and was most recently registered with Fidelity Brokerage Services in Monterey, California (2014-2017). Previous registrations include Merrill Lynch in Berkeley, California; Citigroup Global Markets in Berkeley, California; and Edward Jones in Livermore, California. He is currently not registered with any state or firm.

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

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Kristopher Smith

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 19, 2017 indicate that North Dakota-based First Financial Equity Corporation broker/adviser Kristopher Smith has been sanctioned by FINRA and named in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Smith (CRD# 4199159).

Kristopher Smith has spent 15 years in the securities industry and has been registered with First Financial Equity Corporation in Fargo, North Dakota since 2016. Previous registrations include UBS Financial Services in Fargo, North Dakota and Piper Jaffray & Company in Fargo, North Dakota. 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 11 US states and territories: Arizona, California, Georgia, Minnesota, Montana, Nebraska, New Mexico, North Dakota, South Dakota, Washington and Wisconsin.

According to his BrokerCheck report, he has received one FINRA sanction and one pending customer complaint, and was terminated from a former employer in connection to alleged rule violations.

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Keith Michelfelder

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 15, 2017 indicate that Georgia-based National Securities Corporation broker Keith Michelfelder has been sanctioned by FINRA and temporarily suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Michelfelder (CRD# 3084331).

Keith Michelfelder has spent 19 years in the securities industry and has been registered with National Securities Corporation in Atlanta, Georgia since 2016. Previous registrations include Joseph Gunnar & Company in New York, New York. 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 24 (General Securities Principal Examination). He is a registered broker and investment adviser with nine US states: California, Georgia, Indiana, Minnesota, New Jersey, New York, North Carolina, Pennsylvania, and Texas.

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