Articles Posted in Terminated Brokers

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Donald BergeronPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2017 indicate that former North Carolina-based Capital Guardian broker/adviser Donald Bergeron 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. Bergeron (CRD# 2653896).

Donald Bergeron has spent 20 years in the securities industry and was most recently registered with Capital Guardian LLC in Charlotte, North Carolina (2009-2016). Previous registrations include Merrill Lynch in Charlotte, North Carolina; JJB Hilliard WL Lyons in Louisville, Kentucky; American Frontier Financial Corporation in Denver, Colorado; Painewebber in Weehawken, New Jersey; and RAF Financial Corporation in Denver, Colorado. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has been sanctioned by FINRA and was discharged from two former employers.

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Christopher PollardPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2017 indicate that former Georgia-based Morgan Stanley broker/adviser Christopher Pollard 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. Pollard (CRD# 6143750).

Christopher Pollard has spent 3 years in the securities industry and was most recently recently registered with Morgan Stanley in Atlanta, Georgia (2013-2016). He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined 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, he has been sanctioned by FINRA and was discharged from his former employer.

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Frank TeggePublicly available records published by the Financial Industry Regulatoyr Authority (FINRA) and accessed on August 15, 2017 indicate that former Michigan-based Wells Fargo Advisors broker/adviser Frank Tegge 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. Tegge (CRD# 443782).

Frank Tegge has spent 45 years in the securities industry and was most recently registered with Wells Fargo Advisors in East Lansing, Michigan (2008-2015). Previous registrations include Ferris Baker Watts in East Lansing, Michigan; McDonald Investments in Cleveland, Ohio; Thomson McKinnon Securities in New York, New York; and Manley Bennett McDonald & Company. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has been sanctioned by FINRA and was terminated from his former employer.

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Frank Tegge

Publicly available records published by the Financial Industry Regulatoyr Authority (FINRA) and accessed on August 15, 2017 indicate that former Michigan-based Wells Fargo Advisors broker/adviser Frank Tegge 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. Tegge (CRD# 443782).

Frank Tegge has spent 45 years in the securities industry and was most recently registered with Wells Fargo Advisors in East Lansing, Michigan (2008-2015). Previous registrations include Ferris Baker Watts in East Lansing, Michigan; McDonald Investments in Cleveland, Ohio; Thomson McKinnon Securities in New York, New York; and Manley Bennett McDonald & Company. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has been sanctioned by FINRA and was terminated from his former employer.

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Michael Colletti

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2017 indicate that New York-based Investment Center broker/adviser Michael Colletti has been named respondent in a pending FINRA complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Colletti (CRD# 4577898).

Michael Colletti has spent 15 years in the securities industry and has been registered with The Investment Center in Glen Cove, New York since January 2017. Previous registrations include Cadaret Grant & Company in Melville, New York; Securities America in Jericho, New York; National Securities in Melville, New York; First Midwest Securities in Hauppage, New York; American Capital Partners in East Meadow, New York; and Commerce One Financial in Jericho, New York. He is a registered broker and investment adviser with ten US states and territories.

According to his BrokerCheck report, Michael Colletti has been named in a pending FINRA complaint and was terminated from a former employer in connection to alleged rule violations.

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Joel DavidmanPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 1, 2017 indicate that California-based Stifel Nicolaus broker/adviser Joel Davidman was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Davidman (CRD# 861180).

Joel Davidman has spent 36 years in the securities industry and has been registered with Stifel Nicolaus & Company in Los Angeles, California since 2015. Previous registrations include Morgan Stanley in Beverly Hills, California; Morgan Stanley & Company in Beverly Hills, California; and Morgan Stanley DW in Beverly Hills, California. He is a registered broker and investment adviser with six US states and territories: Arizona, California, the District of Columbia, Florida, Ohio and Wisconsin.

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

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Peter BuddPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 28, 2017 indicate that New Jersey-based Benjamin F. Edwards & Company broker/adviser Peter Budd, also known as Jay Budd, has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Budd (CRD# 1337006).

Peter Budd has spent 32 years in the securities industry and has been registered with Benjamin F. Edwards & Company in Morristown, New Jersey since 2013. Previous registrations include UBS Financial Services in New York, New York; Bear Stearns & Company in New York, New York; Laidlaw Equities in New York, New York; Mercer Securities; Edward C. Rorer & Company in Philadelphia, Pennsylvania; the Pennsylvania Group in Vero Beach, Florida; DWE Capital Markets; TJ Sullivan & Company; Phillips Appel & Walden; SD Cohn & Company; and Russell & Company. He is a registered broker and investment adviser with 32 US states and territories.

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

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 Lyle Boudreaux Publicly available records provided by the Financial Industry Regulatory Authority and accessed on July 27, 2017 indicate that Texas-based Independent Financial Group broker/adviser Lyle Boudreaux has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Boudreaux (CRD# 4303420).

Lyle Boudreaux has spent 12 years in the securities industry and has been registered with Independent Financial Group in Houston, Texas since 2012. Previous registrations include Sunbelt Securities in Houston, Texas; Merrill Lynch in Houston, Texas; Coastal Securities in Houston, Texas; Fixed Income Securities in Monument, Colorado; Sterne Agee & Leach in Birmingham, Alabama; PFS Investments in Duluth, Georgia; and Dean Witter Reynolds in Purchase, New York. He is a registered broker and investment adviser with 5 US states and territories: Alaska, Arkansas, California, Louisiana and Texas.

According to his BrokerCheck report, Lyle Boudreaux has received one customer complaint and one pending customer complaint, and was terminated from a former employer.

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Brion HarrisPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 26, 2017 indicate that Maryland-based Summit Brokerage Services broker/adviser Brion Harris was recently sanctioned by the California Department of Insurance and has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr Harris (CRD# 3199095).

Brion Harris has spent 18 years in the securities industry and has been registered with Summit Brokerage Services in Annapolis, Maryland since 2013. Previous registrations include Cambridge Investment Research in Annapolis, Maryland; Lincoln Financial Securities Corporation in Annapolis, Maryland; AXA Advisors in New York, New York; and the Equitable Life Assurance Society of the United States in New York, New York. He is a registered broker and investment adviser with 19 US states and territories.

According to his BrokerCheck report, he has received two regulatory sanctions and one customer complaint, and was discharged from a former employer.

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James LyonsPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 25, 2017 indicate that former Louisiana-based Raymond James & Associates broker/adviser James Lyons has received resolved or pending 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. Lyons (CRD# 1020397).Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 25, 2017 indicate that former Louisiana-based Raymond James & Associates broker/adviser James Lyons has received resolved or pending 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. Lyons (CRD# 1020397).

James Lyons has spent 34 years in the securities industry and was most recently registered with Raymond James & Associates in Shreveport, Louisiana (2013-2017). Previous registrations include Morgan Keegan & Company in Shreveport, Louisiana (1993-2013) and Capitol Securities Group (1983-1993). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 6 (Investment Company Products/Variable Contracts Representative Examination); and Series 52 (Municipal Securities Representative Examination).

According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint, and was discharged from his former employer.