Articles Posted in Terminated Brokers

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Terrence Diehl

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that former Boston-based LPL Financial broker Terrence Diehl has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Diehl (CRD# 2335297).

Terrence Diehl has spent 10 years in the securities industry and was most recently registered with LPL Financial in Boston, Massachusetts (2015-2016). Previous registrations include Joseph Gunnar & Company in New York, New York; Morgan Stanley in Purchase, New York; and Prudential Securities in New York, New York. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 65 (Uniform Investment Adviser Law Examination); and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Terrence Diehl has received one FINRA sanction and was terminated from a former employer.

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Milton BeilePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that New Jersey-based Wells Fargo Clearing Services broker/adviser Milton Beile has been sanctioned by FINRA. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Beile (CRD# 4265262).

Milton Beile has spent 16 years in the securities industry and has been registered with Vestech Securities in St. Louis since 2016. Previous registrations include IBN Financial Services in Liverpool, New York (2016-2017); Oakbridge Financial Services in Kirkwood, Missouri (2013-2016); and Merrill Lynch in Clayton, Missouri (2009-2013); and Citigroup Global Markets in Clayton, Missouri (2000-2009). He is a registered broker and investment adviser in Missouri.

According to his BrokerCheck report, Milton Beile has received one FINRA sanction and was terminated from a former employer.

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Hanh WilliamsPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that former Louisiana-based Morgan Stanley broker/adviser Hanh Williams was terminated from her 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 Ms. Williams (CRD# 2236266).

Hanh Williams has spent 23 years in the securities industry and was most recently registered with Morgan Stanley in Shreveport, Louisiana (2014-2017). Previous registrations include JP Morgan Securities in Shreveport, Louisiana (2012-2014); Chase Investment Services in Shreveport, Louisiana (2010-2012); the Leaders Group in Littleton, Colorado (2010); Lincoln Financial Securities Corporation in Shreveport, Louisiana (1998-2008); EQ Financial Consultants in New York, New York; and the Equitable Life Assurance Society in New York, New York (1992-1998). She has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). She is currently not registered with any state or firm.

According to her BrokerCheck report, she was terminated from a former employer and has received one customer complaint.

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Andrew ArnoPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that Pennsylvania-based Cetera Advisors broker/adviser Andrew Arno was terminated from his former employer, LPL Financial, in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Arno (CRD# 2834759).

Andrew Arno has spent 20 years in the securities industry and has been registered with Cetera Advisors in Yardley, Pennsylvania since August 2017. Previous registrations include LPL Financial in Philadelphia, Pennsylvania (2004-2017) and WS Griffith Securities in Hartford, Connecticut (1997-2004). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is a registered broker and investment adviser with nine US states: Delaware, Florida, Maryland, New Jersey, New York, North Carolina, Ohio, Pennsylvania and South Carolina.

According to his BrokerCheck report, he was recently discharged from a former employer.

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John RoachPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 22, 2017 indicate that Florida-based International Assets Advisory broker/adviser John Roach was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Roach (CRD# 4226769).

John Roach has spent 16 years in the securities industry and has been registered with International Assets Advisory in Orlando, Florida since 2014. Previous registrations include CCO Investment Services in Beachwood, Ohio; Fifth Third Securities in Twinsburg, Ohio; and Charles Schwab & Company in San Francisco, California. He is a registered broker and investment adviser with six US states and territories: California, Florida, Georgia, North Carolina, Ohio and Texas.

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

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Callum MacLeanPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 22, 2017 indicate that Massachusetts-based Moors & Cabot broker/adviser Callum MacLean, also known as Colin MacLean, was recently sanctioned by state authorities in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. MacLean (CRD# 2576933).

Callum MacLean has spent 22 years in the securities industry and has been registered with Moors & Cabot in Boston, Massachusetts since April 2017. Previous registrations include Janney Montgomery Scott in Boston, Massachusetts (2004-2017) and Legg Mason Wood Walker in Baltimore, Maryland (1995-2004). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 16 US states and territories: Arizona, California, Connecticut, Florida, Idaho, Maine, Maryland, Massachusetts, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Rhode Island, Virginia and West Virginia.

According to his BrokerCheck report, Callum MacLean was recently terminated from a former employer and sanctioned by the Massachusetts Securities Division.

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Vincent MelecoPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 22, 2017 indicate that former New York-based Wells Fargo Clearing Services broker/adviser Vincent Meleco was terminated 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. Meleco (CRD# 815306).

Vincent Meleco has spent 41 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in Albany, New York (2008-2017). Previous registrations include Merrill Lynch in New York, New York (1978-2008) and Merrill Lynch (1975-1978). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); PC (AMEX Put and Call Exam); and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

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

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Steven YodowitzPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 22, 2017 indicate that former California-based Sierra Pacific Securities broker Steven Yodowitz was terminated 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. Yodowitz (CRD# 4606895).

Steven Yodowitz has spent 13 years in the securities industry and was most recently registered with Sierra Pacific Securities in Los Angeles, California (2013-2017). Previous registrations include T3 Trading Group in New York, New York (2012-2013); Crowell Weedon & Company in Los Angeles, California (2011-2012); Banc of Manhattan Capital in Calabasas, California (2009-2010); MDB Capital Group in Dallas, Texas (2009-2010); Further Lane Securities in New York, New York (2009); Banc of America Securities in Calabasas, California (2008-2009); Countrywide Securities Corporation in Calabasas, California (2003-2008); Nomura Securities International in New York, New York (2003); and Worldco LLC in New York, New York (2003). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 24 (General Securities Principal Examination). He is currently not affiliated with any broker-dealer firm.

According to his BrokerCheck report, Steven Yodowitz was terminated from his former employer in connection to alleged rule violations.

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Michael HebnerPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 19, 2017 indicate that Michigan-based IFS Securities broker Michael Hebner has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hebner (CRD# 1406979).

Michael Hebner has spent 31 years in the securities industry and is currently based in Flint, Michigan. His past registrations include Wunderlich Securities in Flint, Michigan; RBC Capital Markets in Flint, Michigan; Ferris Baker Watts in Flint, Michigan; Raymond James & Associates in Flint, Michigan; Roney & Company in Detroit, Michigan; Roney & Company LLC in Detroit, Michigan; First of Michigan Corporation in Detroit, Michigan; and Thomson McKinnon Securities. 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: Arizona, California, Florida, Kansas, Massachusetts, Michigan, Ohio, Oregon, Texas and Washington.

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