Articles Posted in tax lien

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Brett ThieryPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that Texas-based MML Investors Services broker Brett Thiery has received several unsatisfied tax liens. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Thiery (CRD# 5179667).

Brett Thiery has spent ten years in the securities industry and has been registered with MML Investors Services in Houston, Texas since March 2017. Previous registrations include MSI Financial Services in Houston, Texas (2015-2017); LPL Financial in Houston, Texas (2013-2015); ProEquities in Houston, Texas (2010-2013); and Chase Investment Services in Houston, Texas (2006-2009). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 8, 2006, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 31, 2006. He is a registered broker with three US states: Oklahoma, Texas, and Virginia.

According to his BrokerCheck report, he has received four unsatisfied tax liens and was discharged from a former employer in connection to alleged rule violations.

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Ronald SmithPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 9, 2018 indicate that New Jersey-based PTS Brokerage broker/adviser Ronald Smith has received a regulatory sanction, a pending customer dispute and several unsatisfied tax liens. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Smith (CRD# 2483733).

Ronald Smith has spent 23 years in the securities industry and has been registered with PTS Brokerage in Mt. Laurel, New Jersey since 2004. Previous registrations include USAllianz Securities in Minneapolis, Minnesota (2000-2004); Locust Street Securities in Des Moines, Iowa (2000); Nationwide Advisory Services in Grandview Heights, Ohio (2000); Locust Street Securities in Des Moines, Iowa (1999-2000); Signator Investors in Boston, Massachusetts (1994-1999); and John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1994-1997). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on June 22, 2004; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 18, 1994; Series 7 (General Securities Representative Examination), which he obtained on March 10, 1999; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 18, 1994. He is a registered broker and investment adviser with seven US states: Delaware, Florida, New Jersey, New York, Pennsylvania, Virginia, and West Virginia.

According to his BrokerCheck report, Ronald Smith has received one FINRA sanction, one pending customer complaint, and two unsatisfied tax liens.

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David CranePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 9, 2018 indicate that Georgia-based Questar Capital broker/adviser David Crane has received a customer dispute and several unsatisfied tax liens. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Crane (CRD# 1334510).

David Crane has spent 33 years in the securities industry and has been registered with Questar Capital Corporation in Dacula, Georgia since 2006. Previous registrations include USAllianz Securities in Duluth, Georgia (2004-2006); Dempsey Financial Network in Atlanta, Georgia (2002-2003); Signator Investors in Boston, Massachusetts (1993-2002); John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1993-1997); Guardian Investor Services in New York, New York (1989-1993); Integrated Resources Equity Corporation (1989); Ogilvie & Taylor Securities Corporation (1987-1989); WS Griffith & Company (1986-1987); and Ogilvie & Taylor Securities Corporation (1985-1986). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 21, 2009; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 24, 1985; Series 7 (General Securities Representative Examination), which he obtained on February 16, 1985; and Series 24 (General Securities Principal Examination), which he obtained on June 25, 1999. He is a registered broker and investment adviser with eleven US states and territories: Alabama, California, Connecticut, Florida, Georgia, Iowa, Maryland, New York, North Carolina, South Carolina, and Tennessee.

According to his BrokerCheck report, David Crane has received one customer complaint and five unsatisfied tax liens.

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Edward KlugPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 9, 2018 indicate that former Florida-based Newbridge Securities broker/adviser Edward Klug, who is currently not affiliated with any broker-dealer firm, has received a customer dispute and several unsatisfied tax liens. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Klug (CRD# 1412221).

Edward Klug has spent 32 years in the securities industry and was most recently registered with Newbridge Securities Corporation in Boca Raton, Florida (2016-2018). Previous registrations include Investacorp in Appleton, Wisconsin (2014-2016); SII Investments in Appleton, Wisconsin (2010-2014); Stifel Nicolaus & Company in Kimberly, Wisconsin (1998-2010); Robert W. Baird & Company in Milwaukee, Wisconsin (1991-1998); Edward D. Jones & Company in St. Louis, Missouri (1990-1991); AG Edwards & Sons in St. Louis, Missouri (1989-1990); and Edward D. Jones & Company in St. Louis, Missouri (1985-1989). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 17, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 25, 1985; Series 7 (General Securities Representative Examination), which he obtained on September 21, 1985; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on March 16, 1999. He is currently not registered with any state or firm.

According to his BrokerCheck report, Edward Klug has received one customer complaint and five unsatisfied tax liens.

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Daniel Rozzi

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 25, 2018 indicate that former New York-based Ashton & Stewart broker/adviser Daniel Rozzi has received a 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. Rozzi (CRD# 5319858).

Daniel Rozzi has spent nine years in the securities industry and was most recently registered with Ashton Stewart & Company in New York, New York (2016-2018). Previous registrations include MetLife Investors Distribution Company in Charlotte, North Carolina (2015); Oppenheimer & Company in New York, New York (2014-2015); Morgan Stanley in New York, New York (2009-2014); and Morgan Stanley & Company in New York, New York (2007-2009). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 13, 2007; Series 31 (Futures Managed Funds Examination), which he obtained on August 3, 2007; and Series 7 (General Securities Representative Examination), which he obtained on June 8, 2007. He is currently not registered with any state, firm or self-regulatory organization.

According to his BrokerCheck report, he has received two customer complaints, was discharged from a former employer in connection to alleged rule violations, and has received four unsatisfied judgments or liens.

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Mark SachsePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 20, 2018 indicate that former Kansas-based Ameriprise Financial Services broker/adviser Mark Sachse, who has received a pending customer dispute, was discharged 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 hearing from investors who have complaints regarding Mr. Sachse (CRD# 5155260).

Mark Sachse has spent eleven years in the securities industry and was most recently registered with Ameriprise Financial Services in Overland Park, Kansas (2010-2018). He was previously registered with Robert W. Baird & Company in Kansas City, Missouri (2006-2010). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on August 25, 2008, and Series 7 (General Securities Representative Examination), which he obtained on July 28, 2006. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one pending customer complaint and one unsatisfied tax lien, and he was discharged from his former employer in connection to alleged rule violations.

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Trevor CarneyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2017 indicate that Texas-based Ascendant Alternative Strategies broker Trevor Carney has received a regulatory sanction. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Carney (CRD# 5657735).

Trevor Carney has spent five years in the securities industry and has been registered with Ascendant Alternative Strategies in Austin, Texas since March 2017. Previous registrations include Axiom Capital Management in Austin, Texas; KBR Capital Markets in Newport Beach, California; and Direct Capital Securities in Austin, Texas. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker with ten US states and territories: Arkansas, Iowa, Kansas, Louisiana, Nebraska, New York, North Dakota, South Dakota, Texas and Wyoming.

According to his BrokerCheck report, he has received one regulatory sanction and two judgments or liens.

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Fred NewsomePublicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 17, 2017 indicate that New York-based Windsor Street Capital broker Fred Newsome, also known as Tyre Fred Newsome, resigned from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested ins peaking to investors who have complaints regarding Mr. Newsome (CRD# 4812894).

Fred Newsome has spent nine years in the securities industry and has been registered with Windsor Street Capital in New York, New York since May 2017. Previous registrations include Cape Securities in New York, New York; Spartan Capital Securities in New York, New York; Garden State Securities in New York, New York; Meyers Associates in New York, New York; Maxim Group in New York, New York; Caldwell International Securities in Nassau; Maximum Financial Investment Group in New York, New York; Avalon Partners in New York, New York; and Great Eastern Securities in New York, New York. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker with two US states: California and New York.

According to his BrokerCheck report, Fred Newsome recently resigned from a former employer and is the subject of an unsatisfied tax lien.