Articles Posted in Regulatory Sanction

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Dennis TravisPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 30, 2017 indicate that Pennsylvania-based ON Equity Sales Company broker/adviser Dennis Travis has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Travis (CRD# 2166809).

Dennis Travis has spent 25 years in the securities industry and has been registered with The ON Equity Sales Company in Pittsburgh, Pennsylvania since 2011. Previous registrations include MetLife Securities in Pittsburgh, Pennsylvania (1991-2010) and the Metropolitan Life Insurance Company in Pittsburgh, Pennsylvania (1991-2007). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 28, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 24, 1992; Series 7 (General Securities Representative Examination), which he obtained on May 3, 2000; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on November 29, 1991. He is a registered broker and investment adviser with 18 US states and territories: California, Colorado, Connecticut, Delaware, the District of Columbia, Florida, Illinois, Maryland, Massachusetts, Michigan, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Texas, Virginia and West Virginia.

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

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Jared RoskelleyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on November 8, 2017 indicate that former Arizona-based Raymond James Financial Services broker/adviser Jared Roskelley has been involved in customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Roskelley (CRD# 3139812).

Jared Roskelley has spent 17 years in the securities industry and has been registered with Raymond James Financial Services in Scottsdale, Arizona since 2016. Previous registrations include Cambridge Investment Research in Scottsdale, Arizona (2006-2016); Cambridge Investment Research in Fairfield, Iowa (2005); and SunAmerica Securities in Phoenix, Arizona (1998-2004). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on January 12, 2001; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 14, 1999; Series 7 (General Securities Representative Examination), which he obtained on October 28, 1998; and Series 24 (General Securities Principal Examination), which he obtained on December 3, 2009. He is a registered broker and investment adviser with 29 US states and territories.

According to his BrokerCheck report, he has received two customer complaints, one denied customer complaint, one regulatory sanction, and was discharged from a former employer in connection to alleged rule violations.

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John SchneiderPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 6, 2017 indicate that former Pennsylvania-based PWA Securities broker/adviser John Schneider, also known as Mike Schneider, has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Schneider (CRD# 2360548).

John Schneider has spent 24 years in the securities industry and was most recently registered with PWA Securities in Pittsburgh, Pennsylvania (2008-2017). Previous registrations include Bill Few Securities in Pittsburgh, Pennsylvania (1997-2008) and Walnut Street Securities in El Segundo, California (1993-1997). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 1, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 27, 1993; Series 7 (General Securities Representative Examination), which he obtained on August 24, 1993; and Series 24 (General Securities Principal Examination), which he obtained on October 26, 2001. He is currently not registered with any state or firm.

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

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Scott SibleyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 2, 2017 indicate that former Florida-based Moors & Cabot broker Scott Sibley 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. Sibley (CRD# 1523981).

Scott Sibley has spent 22 years in the securities industry and was most recently registered with Moors & Cabot in Boca Raton, Florida (2015-2017). Previous registrations include Raymond James & Associates in Fort Lauderdale, Florida; Janney Montgomery Scott in Fort Lauderdale, Florida; Salomon Smith Barney in New York, New York; and Prudential Securities in New York, New York. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 25, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 11, 1994; and Series 7 (General Securities Representative Examination), which he obtained on November 1, 1994. He is currently not registered with any state or firm.

According to his BrokerCheck report, Scott Sibley has received fifteen customer complaints, two pending customer complaints and three regulatory sanctions.

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Gary GygiPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 26, 2017 indicate that Utah-based WBB Securities broker/adviser Gary Gygi has been involved in customer disputes and received a regulatory sanction. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gygi (CRD# 1577760).

Gary Gygi has spent 30 years in the securities industry and has been registered with WBB Securities in Cedar Hills, Utah since 2006. Previous registrations include Eagle Gate Securities in Salt Lake City, Utah (2003-2005); Morgan Stanley DW in Purchase, New York (1989-2003); and the Stuart-James Company in Denver, Colorado (1987-1990). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 31, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 15, 1989; Series 3 (National Commodity Futures Examination), which he obtained on November 6, 1998; Series 7 (General Securities Representative Examination), which he obtained on February 21, 1987; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on June 30, 1998.. He is a registered broker and investment adviser with 13 US states and territories: Arizona, California, Colorado, Florida, Idaho, Louisiana, Maryland, Minnesota, Nevada, New York, Texas, Utah and Wisconsin.

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

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William MarshallPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 26, 2017 indicate that Texas-based Ameriprise broker/adviser William Marshall has been sanctioned by FINRA and received several pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Marshall (CRD# 3267723).

William Marshall has spent 18 years in the securities industry and has been registered with Ameriprise Financial Services in Dallas, Texas since 2011. Previous registrations include Southwest Securities in Dallas, Texas (2002-2011) and May Financial Corporation in Dallas, Texas (1999-2001). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is registered as a broker and investment adviser with eight US states: Connecticut, Florida, Louisiana, Missouri, New York, Pennsylvania, Texas, and Virginia.

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

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Eric ZebrauskasPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 25, 2017 indicate that Indiana-based Summit Brokerage Services broker/adviser Eric Zebrauskas has been sanctioned by FINRA and received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Zebrauskas (CRD# 4391319).

Eric Zebrauskas has spent 16 years in the securities industry and has been registered with Summit Brokerage Services in Carmel, Indiana since 2013. Previous registrations include Securities Service Network in Carmel, Indiana (2012-2013); ProEquities in Carmel, Indiana (2006-2012); CFD Investments in Noblesville, Indiana (2003-2006); Questar Capital Corporation in Minneapolis, Minnesota (2002-2003); and Park Avenue Securities in New York, New York (2001-2002). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 23, 2004; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 29, 2002; Series 7 (General Securities Representative Examination), which he obtained on January 10, 2011; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 21, 2001. He is a registered broker and investment adviser with 21 US states and territories: Arizona, California, Florida, Illinois, Indiana, Kansas, Kentucky, Louisiana, Michigan, Mississippi, Missouri, New Jersey, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, South Carolina, Virginia, Washington and West Virginia.

According to his BrokerCheck report, Eric Zebrauskas 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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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.