Articles Posted in Terminated Brokers

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Kirk BertschPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that former South Dakota-based Farmers Financial Services broker Kirk Bertsch has been named in an investigation by the South Dakota Division of Insurance and was recently discharged from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bertsch (CRD# 4132889).

Kirk Bertsch has spent 18 years in the securities industry and was most recently registered with Farmers Financial Solutions in Spearfish, South Dakota (2000-2018). He was previously registered with Investors Brokerage Services in Elgin, Illinois (2000). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 7, 2000, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 6, 2000. He is currently not registered with any state or firm.

According to his BrokerCheck report, Kirk Bertsch was discharged from his former employer in connection to alleged rule violations and has been named in an investigation by the South Dakota Division of Insurance.

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Dean DiMaggioPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 14, 2018 indicate that New York-based Lincoln Investment broker/adviser Dean DiMaggio has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. DiMaggio (CRD# 1361857).

Dean DiMaggio has spent 32 years in the securities industry and has been registered with Lincoln Investment in Port Washington, New York since 2009. Previous registrations include HRC Investment Services in Glen Head, New York (1993-2009); USLife Equity Sales Corporation in New York, New York (1986-1993); and Kurz-Liebow & Company (1986). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 4, 2003; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 27, 1986; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on March 10, 1986. He is a registered broker and investment adviser with eleven US states and territories: California, Connecticut, Florida, Georgia, Indiana, Maryland, New Jersey, New York, Pennsylvania, Puerto Rico, and Wisconsin.

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

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Scott Williams

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 22, 2018 indicate that former Tennessee-based LPL Financial Services broker/adviser Scott Williams was recently discharged 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. Williams (CRD# 2330693).

Scott Williams has spent 25 years in the securities industry and was most recently registered with LPL Financial in Franklin, Tennessee (2017-2018). Previous registrations include Raymond James Financial Services in Franklin, Tennessee (2011-2017) and JJB Hilliard WL Lyons in Memphis, Tennessee, He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 13, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 29, 1993; Series 7 (General Securities Representative Examination), which he obtained on April 14, 1993; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on April 30, 2011; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on April 4, 2011. He is currently not registered with any state or firm.

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

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Jason Brienen

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 21, 2018 indicate that former Florida-based Raymond James Financial Services broker/adviser Jason Brienen was recently discharged 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. Brienen (CRD# 2249998).

Jason Brienen has spent 24 years in the securities industry and was most recently registered with Raymond James Financial Services in Tallahassee, Florida (1994-2018). He has no previous registrations. He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 9, 2018; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 21, 1998; Series 7 (General Securities Representative Examination), which he obtained on June 3, 1994; Series 4 (Registered Options Principal Examination), which he obtained on October 7, 2014; and Series 24 (General Securities Principal Examination), which he obtained on March 8, 1999. He is currently not registered with any state or firm.

According to his BrokerCheck report, Jason Brienen has received one customer complaint and was discharged from his former in connection to alleged rule violations.

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Justin ZhouPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 17, 2018 indicate that former Colorado-based Leaders Group broker Jun Zhou, also known as Justin Zhou, was recently discharged 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 hearing from investors who have complaints regarding Ms. Zhou (CRD# 2825595).

Jun Zhou has spent 13 years in the securities industry and was most recently registered with The Leaders Group in Littleton, Colorado (2015-2018). She was previously registered with Farmers Financial Solutions in Chicago, Illinois (2004-2015). She has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on September 13, 2004, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on September 7, 2004. She is currently not registered as a broker with any state, firm or self-regulatory organization.

According to her BrokerCheck report, she was recently terminated from her former employer in connection to alleged rule violations.

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Jeffrey Sigman

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Publicly records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate that former Colorado-based First Financial Equity Corporation broker/adviser Jeffrey Sigman, who has been named in a pending FINRA investigation, was recently discharged 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. Sigman (CRD# 1418621).

Jeffrey Sigman has spent 31 years in the securities industry and was most recently registered with First Financial Equity Corporation in Greenwood Village, Colorado (2017-2018). Previous registrations include Neidiger Tucker Bruner in Englewood, Colorado (2001-2016); Owen-Joseph Securities in San Diego, California (1996-2001); Painewebber in Weehawken, New Jersey (1991-1996); Prudential Securities in New York, New York (1988-1991); and EF Hutton & Company (1985-1988). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 13, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 4, 1985; Series 15 (Foreign Currency Options Examination), which he obtained on February 22, 1990; Series 3 (National Commodity Futures Examination), which he obtained on July 2, 1986; Series 7 (General Securities Representative Examination), which he obtained on October 19, 1985; Series 4 (Registered Options Principal Examination), which he obtained on February 16, 2010; and Series 24 (General Securities Principal Examination), which he obtained on April 28, 1998. He is currently not registered with any state or firm.

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Cheryl GeorgePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate that former New York-based RBC Capital Markets broker/adviser Cheryl George has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. George (CRD# 4151720).

Cheryl George has spent 17 years in the securities industry and was most recently registered with RBC Capital Markets in Williamsville, New York (2009-2018). Previous registrations include Morgan Stanley Smith Barney in Williamsville, New York (2009); Citigroup Global Markets in Williamsville, New York (2001-2009); and M&T Securities in Buffalo, New York (2000-2001). She has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on December 4, 2007; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on June 19, 2000; Series 7 (General Securities Representative Examination), which she obtained on July 18, 2002; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on May 12, 2000 . She is currently not registered with any state or firm.

According to her BrokerCheck report, Cheryl George has received one FINRA sanction and was recently discharged from her former employer.

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Mitchell KurtzPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate that former New York-based Henley & Company broker/adviser Mitchell Kurtz, who has received customer complaints, was recently discharged 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. Kurtz (CRD# 1418621).

Mitchell Kurtz has spent 24 years in the securities industry and was most recently registered with Henley & Company in Roslyn Heights, New York (2010-2018). Previous registrations include Raymond James Financial Services in Roslyn Heights, New York (2006-2009) and AdVest in Hartford, Connecticut (1994-2006). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 16, 2003; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 31, 1994; Series 7 (General Securities Representative Examination), which he obtained on October 14, 2012; Series 24 (General Securities Principal Examination), which he obtained on March 15, 2006; and Series 4 (Registered Options Principal Examination), which he obtained on May 9, 1997. He is currently not registered with any state or firm.

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

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Derek SunderlandPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate that former North Dakota-based Questar Capital Corporation broker Derek Sunderland was recently discharged 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. Sunderland (CRD# 2996941).

Derek Sunderland has spent 19 years in the securities industry and was most recently registered with Questar Capital Corporation in Fargo, North Dakota (2006-2018). He was previously registered with USAllianz Securities in Fargo, North Dakota (1999-2006). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 12, 1999; Series 7 (General Securities Representative Examination), which he obtained on February 8, 2002; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 5, 1999; Series 24 (General Securities Principal Examination), which he obtained on January 31, 2002; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on March 1, 2000. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was discharged from his former employer in connection to alleged rule violations.

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Clifton Roberts

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2018 indicate that former Texas-based LPL Financial broker/adviser Clifton Roberts, who has received a customer dispute, 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. Roberts (CRD# 3201516).

Clifton Roberts has spent 14 years in the securities industry and was most recently registered with LPL Financial in Houston, Texas (2014-2018). Previous registrations include Wells Fargo Advisors in League City, Texas (2012-2014); Chase Investment Services Corporation in Houston, Texas (2006-2012); Walnut Street Securities in El Segundo, California (2004-2005); OppenheimerFunds Distributor in New York, New York (2001-2002); National Planning Corporation in Los Angeles, California (2002); Multi-Financial Securities Corporation in Denver, Colorado (2001); Morgan Stanley DW in Purchase, New York (2000-2001); and Charles Schwab & Company in San Francisco, California (2000). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 8, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 11, 2000; and Series 7 (General Securities Representative Examination), which he obtained on March 25, 2000. He is currently not registered with any state or firm.

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