Articles Posted in Terminated Brokers

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Phi PhanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 6, 2017 indicate that former California-based JP Morgan Securities broker Phi Phan has been sanctioned by FINRA and 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. Phan (CRD# 6191955).

Phi Phan has spent two years in the securities industry and was most recently registered with JP Morgan Securities in San Jose, California (2013-2015). She has no previous registrations. She has passed two securities industry examinations: Series 6 (Investment Company Products/Variable Contracts Representative Examination) and Series 63 (Uniform Securities Agent State Law Examination). She is currently not affiliated with any state or firm.

According to her BrokerCheck report, Phi Phan has been sanctioned by FINRA and was terminated from a former employer.

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Edward McFarlanePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 28, 2017 indicate that Florida-based International Assets Advisory broker/adviser Edward McFarlane has been sanctioned by FINRA. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. McFarlane (CRD# 2492335).

Edward McFarlane has spent 18 years in the securities industry and has been registered with International Assets Advisory in Orlando, Florida since February 2017. Previous registrations include Oppenheimer & Company in Jenkintown, Pennsylvania; Wachovia Securities in Horsham, Pennsylvania; AG Edwards & Sons in Horsham, Pennsylvania; Edward Jones in Abington, Pennsylvania; Deutsche Bank Securities in New York, New York; ICC Distributors in Portland, Maine; PBHG Fund Distributors in Boston, Massachusetts; and SEI Investments in Oaks, Pennsylvania. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); 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 four US states: Maryland, New Jersey, New York, and Pennsylvania.

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

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Robert StewartPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 28, 2017 indicate that former Arizona-based JP Morgan Securities broker/adviser Robert Stewart 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. Stewart (CRD# 5746657).

Robert Stewart has spent four years in the securities industry and was most recently registered with JP Morgan Securities in Chino Valley, Arizona (2012-2015). Previous registrations include Chase Investment Services in Fountain, Colorado and Edward Jones in Peoria, Arizona. He is currently not registered with any state or firm.

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

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David WeltyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 27, 2017 indicate that former Pennsylvania-based Wells Fargo Clearing Services broker David Welty has been sanctioned by FINRA and 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 Mr. Welty (CRD# 6020910).

David Welty has spent four years in the securities industry and was most recently registered with Wells Fargo Clearing Services in Norristown, Pennsylvania (2012-2016). He has no previous registrations. 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 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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Kenneth Miller

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 25, 2017 indicate that former Tennessee-based FTB Advisors broker Kenneth Miller has been sanctioned by FINRA and 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 Mr. Miller (CRD# 5659109).

Kenneth Miller has spent six years in the securities industry and was most recently registered with FTB Advisors in Greeneville, Tennessee (2009-2016). He has no previous registrations. He has passed two securities industry examinations: Series 6 (Investment Company Products/Variable Contracts Representative Examination) and Series 63 (Uniform Securities Agent State Law Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Kenneth Miller has been sanctioned by FINRA and was discharged from his former employer in connection to alleged rule violations.

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Keith SmithPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 25, 2017 indicate that former Pennsylvania-based Signator Investors broker Keith Smith was 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. Smith (CRD# 4621927).

Keith Smith has spent eleven years in the securities industry and was most recently registered with Signator Investors in Mountain Top, Pennsylvania (2006-2017). He has no previous registrations. 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, he has received one pending customer complaint and two denied customer complaints, and was terminated from his former employer.

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Grant JaaxPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 25, 2017 indicate that former Georgia-based Raymond James & Associates broker/adviser Grant Jaax has received a customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Jaax (CRD# 5163580).

Grant Jaax has spent nine years in the securities industry and was most recently registered with Raymond James & Associates in Atlanta, Georgia (2016-2017). Previous registrations include Morgan Stanley in Atlanta, Georgia and Morgan Stanley & Company in Atlanta, Georgia. He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 31 (Futures Managed Funds Examination); and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Grant Jaax has received one customer complaint and was terminated from a former employer.

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James Rose

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 23, 2017 indicate that former New York-based UBS Financial Services broker/adviser James Rose 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. Rose (CRD #4842996).

James Rose has spent nine years in the securities industry and was most recently registered with UBS Financial Services in New York, New York (2005-2015). 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, James Rose has been sanctioned by FINRA and was discharged from a former employer.

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Kris LewisPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 23, 2017 indicate that Kansas-based St. Bernard Financial Services broker/adviser Kris Lewis has been named in a pending FINRA complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Lewis (CRD# 4505097).

Kris Lewis has spent fourteen years in the securities industry and has been registered with St. Bernard Financial Services in Wichita, Kansas since June 2016. Previous registrations include Voya Financial Advisors in Wichita, Kansas; Investment Professionals in Wichita, Kansas; and AXA Advisors in Wichita, Kansas. She has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). She is a registered broker and investment adviser with two US states: Kansas and Oklahoma.

According to her BrokerCheck report, Kris Lewis has received one pending FINRA complaint and was discharged from a former employer in connection to alleged rule violations.

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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.