Articles Posted in Terminated Brokers

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Peter Doyle

Public records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2017 indicate that former Maryland-based H. Beck broker/adviser Peter Doyle has received several customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Doyle (CRD# 2370593).

Peter Doyle has spent 21 years in the securities industry and was most recently registered with H. Beck in Bethesda, Maryland (2016-2017). Previous registrations include Morgan Stanley in Washington, DC; Morgan Stanley & Company in Washington, DC (2008-2009); Wachovia Securities in Washington, DC (2003-2008); and Prudential Securities in New York, New York (1995-2003). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received three customer complaints and was discharged from a former employer.

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Brian Murphy

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 2, 2017 indicate that former Pennsylvania-based Signator Investors broker Brian Murphy has been 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. Murphy (CRD# 2953503).

Brian Murphy has spent eight years in the securities industry and was most recently registered with Signator Investors in Yeardley, Pennsylvania (2015-2016). Previous registrations include MetLife Securities in Moorestown, Pennsylvania; AXA Advisors in Marlton, New Jersey; and Metropolitan Life Insurance Company in Mount Laurel, New Jersey. Series 66 (Uniform Combined State Law Examination), Series 7 (General Securities Representative Examination), and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint, two pending customer complaints, and one FINRA sanction. He was additionally discharged from his former employer in connection to alleged rule violations.

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Leslie Markus

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 25, 2017 indicate that Pennsylvania-based Lincoln Investment broker/adviser Leslie Markus, also known as George Markus, has been named in a FINRA investigation. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Markus (CRD# 2688964).

Leslie Markus has spent 21 years in the securities industry and has been registered with Lincoln Investment in Bethlehem, Pennsylvania since 2015. Previous registrations include Ameriprise Financial Services in Center Valley, Pennsylvania; Cadaret Grant & Company in Syracuse, New York; Multi-Financial Securities Corporation in North East, Maryland; American Capital Corporation in Valley Forge, Pennsylvania; Tower Square Securities in El Segundo, California; and Guardian Investor Services in New York, New York. He is a registered broker and investment adviser with seven US states: California, Delaware, Maryland, New Jersey, Pennsylvania, Texas and Virginia.

According to his BrokerCheck report, Leslie Markus was discharged from a former employer and has been named in a pending FINRA investigation.

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John WheelerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 20, 2017 indicate that former Florida-based Raymond James Financial Services broker/adviser John Wheeler has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wheeler (CRD# 1068503).

John Wheeler has spent 32 years in the securities industry and was most recently registered with Raymond James Financial Services in Clearwater, Florida (1988-2015). Previous registrations include American Express Financial Advisors and IDS Financial Services. He is currently not registered with any state or firm.

According to his BrokerCheck report, John Wheeler has been sanctioned by FINRA and was discharged from his former employer.

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Andreas Saucedo

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 17, 2017 indicate that former California-based Five 9 Securities broker/adviser Andreas Saucedo has been discharged from his former employer and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Saucedo (CRD# 2677473).

Andreas Saucedo has spent fifteen years in the securities industry and was most recently registered with Five 9 Securities in Santa Monica, California (2016). Previous registrations include Equinox Securities in Irvine, California; Dinosaur Securities in Newport Beach, California; Morgan Stanley in Brea, California; Man Investments in New York, New York; UBS Financial Services in Weehawken, New Jersey; Merrill Lynch in Los Angeles, California; Fam Distributors in New York, New York; Morgan Stanley DW in Purchase, New York; Lehman Brothers in New York, New York; Great Western Financial Securities in Northridge, California; Wells Fargo Securities in San Francisco, California; and Dean Witter Reynolds in Purchase, New York. He is currently not registered with any state or firm.

According to his BrokerCheck report, Andreas Saucedo has received one customer complaint and was terminated from his former employer in connection to alleged rule violations.

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Sanders Spangler

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 6, 2017 indicate that former Texas-based LPL Financial broker Sanders Spangler was recently terminated from LPL and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Spangler (CRD# 4188542).

Sanders Spangler has spent sixteen years in the securities industry and was most recently registered with LPL Financial in San Antonio, Texas (2005-2017). He was previously registered with Edward Jones in St. Louis, Missouri (2000-2005). 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, Sanders Spangler was terminated from his former employer in connection to alleged policy violations.

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Adam FritzschePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 6, 2017 indicate that former Connecticut-based Citizens Securities broker/adviser Adam Fritzsche has been suspended from acting as a broker or an investment adviser. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Fritzsche (CRD# 2821218).

Adam Fritzche has spent nineteen years in the securities industry and is currently not affiliated with any broker-dealer firm. Previous registrations include Citizens Securities in New London, Connecticut; LPL Financial in Canterbury, Connecticut; and Dean Witter Reynolds in Purchase, New York.

According to his BrokerCheck report, Adam Fritzsche has been sanctioned by FINRA and was terminated from Citizens Securities.

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Mark Flanagan

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 5, 2017 indicate that former Illinois-based Citigroup Global Markets broker/adviser Mark Flanagan was recently terminated from his former employer and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Flanagan (CRD# 1949836).

Mark Flanagan has spent thirteen years in the securities industry and was most recently registered with Citigroup Global Markets in Highland Park, Illinois (2014-2017). Previous registrations include Wells Fargo Advisors in Lake Forest, Illinois; Fifth Third Securities in Lake Forest, Illinois; UVest Financial Services Group in Chicago, Illinois; TCF Securities in Minneapolis, Minnesota; and Oppenheimer & Company. He is currently not registered with any state or firm.

According to his BrokerCheck report, Mark Flanagan has received two customer complaints and one pending customer complaint, and was recently terminated from a former employer.

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Alina Brindusescu

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 27, 2017 indicate that former California-based US Bancorp Investments broker/adviser Alina Brindusescu has been permanently 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 Ms. Brindusescu (CRD# 4355448).

Alina Brindusescu has spent thirteen years in the securities industry and was most recently registered with US Bancorp Investments in Los Angeles, California (2013-2015). Previous registrations include HSBC Securities in Beverly Hills, California; Merrill Lynch in Los Angeles, California; and Citigroup Global Markets in New York, New York. She is currently not registered with any state or firm.

According to her BrokerCheck report, Alina Brindusescu has received two regulatory sanctions and was discharged from her former employer.

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John BodnarPublic records published by the Financial Industry Regulatory Authority (FINRA) on March 23, 2017 indicate that Florida-based International Assets Advisory broker/adviser John Bodnar has received several customer complaints and was recently discharged from a former employer. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bodnar (CRD# 714669).

John Bodnar has spent 36 years in the securities industry and has been registered with International Assets Advisory in Orlando, Florida since February, 2017. Previous registrations include Merrill Lynch in Burlington, Vermont; UBS Financial Services in South Burlington, Vermont; Dean Witter Reynolds in Purchase, New York; Merrill Lynch; and Mosely Hallgarten Estabrook & Weeden. He is a registered broker and investment adviser with the state of Pennsylvania.

According to his BrokerCheck report, John Bodnar has received two customer complaints and was discharged from his former employer.