Articles Posted in tax lien

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Jerald AloofPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 27, 2018 indicate that New Jersey-based Royal Alliance Associates broker/adviser Jerald Aloof has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Aloof (CRD# 1567086).

Jerald Aloof has spent 31 years in the securities industry and has been registered with Royal Alliance Associates in Clark, New Jersey since 2003. Previous registrations include UBS Painewebber in Weehawken, New Jersey (1993-2003); Dean Witter Reynolds in Purchase, New York (1989-1993); Shearson Lehman Hutton in New York, New York (1988-1989); and EF Hutton & Company (1986-1988). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 20, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 9, 1986; Series 3 (National Commodity Futures Examination), which he obtained on October 22, 1986; Series 7 (General Securities Representative Examination), which he obtained on September 22, 1986; Series 53 (Municipal Securities Principal Examination), which he obtained on June 15, 2010; and Series 24 (General Securities Principal Examination), which he obtained on December 28, 2009. He is a registered broker and investment adviser with 13 US states and territories: California, Colorado, Connecticut, Delaware, Florida, Massachusetts, Minnesota, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, and Rhode Island.

According to his BrokerCheck report, he has received one customer complaint and two unsatisfied tax liens.

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Lloyd JohnstonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 6, 2018 indicate that former Washington-based Capital Financial Services broker/adviser Lloyd Johnston, who has received a pending customer dispute, was recently 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 speaking to investors who have complaints regarding Mr. Johnston (CRD# 1626695).

Lloyd Johnston has spent 27 years in the securities industry and was most recently registered with Capital Financial Services in Spokane, Washington (2006-2018). Previous registrations include Legacy Financial Services in Clinton, Maryland (2004-2006); Investors Capital Corporation in Lynnfield, Massachusetts (1996-2004); Intersecurities in St. Petersburg, Florida (1992-1993); and Pruco Securities Corporation in Newark, New Jersey (1987-1992). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 29, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 19, 1996; Series 7 (General Securities Representative Examination), which he obtained on July 25, 1997; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 23, 1987; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on April 30, 1996. He is currently not registered with any state or firm.

According to his BrokerCheck report, Lloyd Johnston has received one pending customer complaint and one regulatory sanction, has been named in a FINRA investigation and was recently discharged from his former employer in connection to alleged rule violations. He has also received 15 unsatisfied judgments or liens.

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Napoleon AndrewsPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 30, 2018 indicate that former Maryland-based Nationwide Securities broker Napoleon Andrews was recently sanctioned by FINRA in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Andrews (CRD# 853585).

Napoleon Andrews has spent 35 years in the securities industry and was most recently registered with Nationwide Securities in Columbia, Maryland (2008-2016). Previous registrations include 1717 Capital Management Company in Columbia, Maryland (2007-2008); Nationwide Securities in Columbia, Maryland (1999-2008); Nationwide Advisory Services in Grandview Heights, Ohio (1995-1998); Pebsco Securities Corporation in Columbus, Ohio (1984-1994); and Cigna Securities (1978-1984). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 14, 1993; Series 1 (Registered Representative Examination), which he obtained on June 12, 1978; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on March 26, 1987. He is currently not registered with any state or firm.

According to his BrokerCheck report, Napoleon Andrews has received one regulatory sanction and seven unsatisfied judgments or liens, and he was recently discharged from his former employer in connection to alleged rule violations.

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Jerry WestlingPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 28, 2018 indicate that former Georgia-based Cape Securities broker Jerry Westling has received resolved or pending customer complaints. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Westling (CRD# 464074).

Jerry Westling has spent 42 years in the securities industry and was most recently registered with Cape Securities in McDonough, Georgia (2018). Previous registrations include Cape Securities in McDonough, Georgia (2015-2016); Dempsey Lord Smith in Savannah, Georgia (2012-2015); Sammons Securities Company in Tybee Island, Georgia (2002-2012); Walnut Street Securities in El Segundo, California (1997-2002); Washington Square Securities in Des Moines, Iowa (1992-1997); Pruco Securities Corporation in Newark, New Jersey (1991-1992); the Prudential Insurance Company of America in Newark, New Jersey (1991-1992);1991-1992); Summit Investment Corporation in Minneapolis, Minnesota (1989-1991); Merrill Lynch in New York, New York (1978-1990); Miller & Schroeder Financial in Minneapolis, Minnesota (1988-1989); Summit Investment Corporation in Minneapolis, Minnesota (1987-1988); Craig-Hallum (1984-1987); Dain Bosworth (1982-1984); Dean Witter Reynolds (1979-1982); Merrill Lynch (1974-1978); and Shearson Hammill & Company (1973-1974). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 1, 1980; Series 5 (Interest Rate Options Examination), which he obtained on December 12, 1981; and Series 1 (Registered Representative Examination), which he obtained on November 8, 1973. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and two unsatisfied tax liens.

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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 Klug

Publicly 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.