Articles Posted in tax lien

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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.