Articles Posted in Selling Away

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Charles CobbPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 24, 2016 indicate that Virginia-based Financial West Group broker Charles Cobb has been suspended by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cobb (CRD# 1505020).

Charles Cobb has spent 29 years in the securities industry and has been registered with Financial West Group in Lynchburg, Virginia since 2013. Previous registrations include Allied Beacon Partners, which has since been expelled by FINRA, in Lynchburg, Virginia; Madison Avenue Securities in Lynchburg, Virginia; LM Kohn & Company in Cincinnati, Ohio; Park Avenue Securities in New York, New York; Guardian Investors Securities in New York, New York; and New England Securities in New York, New York. He is a registered broker with six US states: Florida, Illinois, New Jersey, New York, North Carolina, and Virginia. Continue reading →

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Kevin LarsonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 3, 2016 indicate that Minnesota-based Cetera Investment Services broker/adviser Kevin Larson has received a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Larson (CRD# 3067781).

Kevin Larson has spent 17 years in the securities industry and has been registered with Cetera Investment Services in Saint Cloud, Minnesota since 2014. Previous registrations include Fintegra in Minneapolis, Minnesota (2007-2014); Thrivent Investment Management in Minneapolis, Minnesota (2002-2007); and Lutheran Brotherhood Securities in Minneapolis, Minnesota (1998-2002). He is a registered broker and investment adviser in Minnesota. Continue reading →

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James RudwallPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 28, 2016 indicate that former Illinois-based UBS and Morgan Stanley broker James Rudwall is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rudwall (CRD# 1070818).

James Rudwall has spent 33 years in the securities industry and was most recently registered with Morgan Stanley in Chicago, Illinois (2016). He was previously registered with UBS Financial Services in Chicago, Illinois (2008-2016) and Merrill Lynch in Chicago, Illinois (1982-2008). He is currently not registered with any state or firm. Continue reading →

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John McGinnisFormer California-based RBC broker John McGinnis is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McGinnis (CRD# 1134105).

John McGinnis has spent 32 years in the securities industry and was most recently registered with RBC Capital Markets in Escondido, California (2008-2015). Previous registrations include Merrill Lynch in Escondido, California (1988-2008); EF Hutton & Company (1983-1988); and Merrill Lynch (1987-1988). He is currently not registered with any state or firm. Continue reading →

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Erryn BarkettAccording to records provided by the Financial Industry Regulatory Authority (FINRA), Virginia and Texas-based LPL Financial broker/adviser Erryn Barkett has been named respondent in a complaint by the Virginia State Corporation Commission. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Barkett (CRD# 4102279).

Erryn Barkett has spent 15 years in the securities industry and has been registered with LPL Financial in Fincastle, Virginia and The Woodlands, Texas since 2013. Previous registrations include Next Financial Group in Fincastle, Virginia (2008-2013); NFP Securities in Fincastle, Virginia (2007-2008); and AXA Advisors in Fincastle, Virginia (2000-2007). He is a registered broker and investment adviser in 14 US states. Continue reading →

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shutterstock_211701538The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Colorado-based Cetera broker/adviser Robert McCulley (CRD# 725980).

Robert McCulley has spent 31 years in the securities industry and has been registered with Cetera Advisors in Fort Collins, Colorado since 2014. Previous registrations include Next Financial Group in Fort Collins, Colorado (2008-2014); Synergy Investment Group in Fort Collins, Colorado (2004-2008); Main Street Securities in Hays, Kansas (2002-2004); Excalibur Financial Group in Fort Collins, Colorado (2001-2002); Royal Alliance Associates in New York, New York (1989-1998); Integrated Resources Equity Corporation (1988-1989); and EF Hutton & Company (1981-1988). He is a registered broker and investment adviser in nineteen US states. Continue reading →

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shutterstock_140770462According to the Financial Industry Regulatory Authority (FINRA), former New York-based Securities America broker Christopher Orlando is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Orlando (CRD# 2927859).

Christopher Orlando has spent 13 years in the securities industry and was most recently registered with Securities America in New York, New York (2012-2013). Previous registrations include Innovation Partners in Needham, Massachusetts (2012); Grant Williams in Austin, Texas (2010-2012); Longview Financial Group in Costa Mesa, California (2009-2010); Ascher/Decision Services in San Marino, California (2008-2009); Planmember Securities Corporation in Marina Del Rey, California (2006-2008); Partnervest Securities in Santa Monica, California (2002-2006); Jackson National Life Insurance Distributors in Denver, Colorado (2002); Directed Services in Windsor, California (1999-2001); ING Funds Distributor in Wilmington, Delaware (2000); and PLANCO Financial Services in Simsbury, Connecticut (1997-1998). He is currently not registered with any firm or state. Continue reading →

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shutterstock_216917509According to records provided by the Financial Industry Regulatory Authority (FINRA), Colorado-based brokerage and advisory firm Geneos Wealth Management has been sanctioned for its alleged failure to supervise its representatives disclosed outside business activities. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Geneos Wealth Management (CRD# 120894).

Formed in 2002, Geneos Wealth Management is headquartered in Denver, Colorado and registered in 52 US states and territories. Russell Diachok is Chief Executive Officer; Ryan Diachok is President; Raymond Olson is Chief Financial Officer; Jodee May Brubaker-Rager is Chief Compliance Officer; and Dean Rager is Senior Vice President and Chief Advisory Compliance Officer.  Continue reading →

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According to records provided by the Financial Industry Regulatory Authority (FINRA), former North Carolina-based Calton & Associates broker Randy Burke has been permanently barred from the securities industry following allegations of selling away. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Burke (CRD# 2702441).

Randy Burke has spent nineteen years in the securities industry and was most recently registered with Calton & Associates in Hickory, North Carolina (2013-2015). Previous registrations include Capital Investment Group in Hickory (2011-2013); Synergy Investment Group in Ferguson, North Carolina (2002-2011); and Pruco Securities in Newark, New Jersey (1996-2001).

According to his BrokerCheck report, Randy Burke is the subject of one regulatory sanction, one customer complaint, and one pending customer complaint.

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