Articles Posted in Terminated Brokers

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Brett ThieryPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that Texas-based MML Investors Services broker Brett Thiery has received several unsatisfied tax liens. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Thiery (CRD# 5179667).

Brett Thiery has spent ten years in the securities industry and has been registered with MML Investors Services in Houston, Texas since March 2017. Previous registrations include MSI Financial Services in Houston, Texas (2015-2017); LPL Financial in Houston, Texas (2013-2015); ProEquities in Houston, Texas (2010-2013); and Chase Investment Services in Houston, Texas (2006-2009). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 8, 2006, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 31, 2006. He is a registered broker with three US states: Oklahoma, Texas, and Virginia.

According to his BrokerCheck report, he has received four unsatisfied tax liens and was discharged from a former employer in connection to alleged rule violations.

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Keith SingerPublic records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that former Florida-based Investacorp broker/adviser Keith Singer, who has received a pending customer dispute, was 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 speaking to investors who have complaints regarding Mr. Singer (CRD# 2793302).

Keith Singer has spent 21 years in the securities industry and was most recently registered with Investacorp in Boca Raton, Florida (2015-2018). Previous registrations include Kovack Securities in Boca Raton, Florida (2014-2015); Argentus Securities in Boca Raton, Florida (2003-2014); Financial Counseling Corporation in Houston, Texas (2008); Jefferson Pilot Securities Corporation in Fort Wayne, Indiana (2002-2003); MetLife Securities in Springfield, Massachusetts (2001-2002); Metropolitan Life Insurance Company in New York, New York (2001-2002); Robert W. Baird & Company n Milwaukee, Wisconsin (1997-2001); and Northwestern Mutual Investment Services in Milwaukee, Wisconsin (1996-2001). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 31, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 8, 1997; Series 7 (General Securities Representative Examination), which he obtained on April 24, 2000; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 11, 1996; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on July 7, 2000. He is currently not registered with any state or firm.

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

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Ethan De NarayPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 1, 2018 indicate that former Minnesota-based Feltl & Company broker/adviser Ethan De Naray, who has received a customer dispute, was discharged from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. De Naray (CRD# 4571532).

Ethan De Naray has spent 15 years in the securities industry and has been registered with Feltl & Company in Wayzata, Minnesota since July 2017. Previous registrations include Merrill Lynch in Minneapolis, Minnesota (2008-2017) and Citigroup Global Markets in Minneapolis, Minnesota (2002-2008). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 9, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 8, 2002; Series 3 (National Commodity Futures Examination), which he obtained on June 1, 2012; Series 31 (Futures Managed Funds Examination), which he obtained on October 13, 2005; and Series 7 (General Securities Representative Examination), which he obtained on September 19, 2002. He is a registered broker and investment adviser with 11 US states and territories: California, Colorado, Florida, Illinois, Michigan, Minnesota, New Jersey, New York, Texas, Washington, and Wisconsin.

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

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Bill DowningPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 20, 2018 indicate that former Texas-based Coastal Equities broker/adviser William Downing, also known as Bill Downing, has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Downing (CRD# 1529382).

William Downing has spent 31 years in the securities industry and was most recently registered with Coastal Equities in Wimberley, Texas (2017-2018). Previous registrations include JW Cole Financial in Wimberley, Texas (2012-2017); Merrill Lynch in Austin, Texas (2010-2012); Wells Fargo Advisors in Austin, Texas (2008-2010); AG Edwards & Sons in Austin, Texas (2000-2008); Morgan Keegan & Company in Memphis, Tennessee (1995-2001); Painewebber in Weehawken, New Jersey (1991-1995); Rotan Mosle (1989-1991); and Shearson Lehman Hutton in New York, New York (1986-1989). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and two pending customer complaints, and he has been terminated from two former employers in connection to alleged rule violations.

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Mark KempPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 12, 2018 indicate that Texas-based McNally Financial Services Corporation broker Mark Kemp has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kemp (CRD# 2057200).

Mark Kemp has spent 27years in the securities industry and has been registered with McNally Financial Services in San Antonio, Texas since 2010. Previous registrations include Next Financial Group in Corpus Christi, Texas (2008-2009); Hornor Townsend & Kent in Corpus Christi, Texas (1999-2008); Mony Securities Corporation in New York, New York (1990-1998); and the Mutual Life Insurance Company of New York in New York, New York (1990). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 7, 1990; Series 7 (General Securities Representative Examination), which he obtained on August 8, 2005; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 8, 1990. He is a registered broker with eight US states: Arkansas, California, Louisiana, New Mexico, Oklahoma, Oregon, South Carolina, and Texas.

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

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Kenneth Delacruz

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that former Connecticut-based Foresters Financial Services broker Kenneth Delacruz was 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 speaking to investors who have complaints regarding Mr. Delacruz (CRD# 5339073).

Kenneth Delacruz has spent 10 years in the securities industry and was most recently registered with Foresters Financial Services in East Hartford, Connecticut (2007-2017). He has no previous registrations. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 28, 2007, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 13, 2007. He is currently not registered with any state or firm.

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

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Larry Lavoice

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 9, 2018 indicate that New York-based Revere Securities broker/adviser Larry Lavoice was discharged from his former employer in connection to alleged rule violations and has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lavoice (CRD# 2125013).

Larry Lavoice has spent 26 years in the securities industry and has been registered with Revere Securities in New York, New York since December 2017. Previous registrations include Morgan Stanley in New York, New York (2010-2018); UBS Financial Services in New York, New York (2002-2010); Salomon Smith Barney in New York, New York (1997-2002); and Merrill Lynch in New York, New York (1991-1997). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 17, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 26, 1991; and Series 7 (General Securities Representative Examination), which he obtained on April 8, 1991. He is a registered broker and investment adviser with eight US states: Arizona, California, Connecticut, Florida, Maryland, New Jersey, New York, and Pennsylvania.

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

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John Bergmann

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 9, 2018 indicate that former Michigan-based AXA Advisors broker/adviser John Bergmann was 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 speaking to investors who have complaints regarding Mr. Bergmann (CRD# 2699869).

John Bergmann has spent twenty-one years in the securities industry and was most recently registered with AXA Advisors in Washington Township, Michigan (1996-2017). He was previously registered with The Equitable Life Assurance Society of the United States in New York, New York (1996-2000). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 22, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 12, 1996; Series 7 (General Securities Representative Examination), which he obtained on September 20, 1999; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 10, 1996; Series 53 (Municipal Securities Principal Examination), which he obtained on September 21, 2002; and Series 24 (General Securities Principal Examination), which he obtained on November 5, 1999. He is currently not registered with any state, firm or self-regulatory organization.

According to his BrokerCheck report, John Bergmann was discharged from his former employer in connection to alleged rule violations and has received seven financial disclosures.

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Abdul RahmaniPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 4, 2018 indicate that New York-based Worden Capital Management broker Abdul Rahmani was 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 speaking to investors who have complaints regarding Mr. Rahmani (CRD# 4269583).

Abdul Rahmani has spent 16 years in the securities industry and has been registered with Worden Capital Management in Melville, New York since December 2017. Previous registrations include SW Financial in Melville, New York (2016-2017); Corinthian Partners in New York, New York (2013-2016); MML Investors Services in New York, New York (2008-2013); Ameritas Investment Corporation in New York, New York (2007-2008); Signator Investors in Boston, Massachusetts (2003-2006); MetLife Securities in Springfield, Massachusetts (2000-2003); and Metropolitan Life Insurance Company in New York, New York (2000-2003). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 20, 2000; Series 7 (General Securities Representative Examination), which he obtained on August 9, 2005; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on November 16, 2000. He is a registered broker with two US states: California and New York.

According to his BrokerCheck report, Abdul Rahmani has been discharged from two former employers in connection to alleged rule violations and has received four unsatisfied judgments or liens.

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Tyrone PangPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 28, 2018 indicate that former California-based MML Investors Services broker/adviser Tyrone Pang, who has received a customer dispute, was sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Pang (CRD# 5406519).

Tyrone Pang has spent seven years in the securities industry and was most recently registered with MML Investors Services in San Jose, California (2017). He was previously registered with NYLife Securities in San Francisco, California (2008-2015). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 25, 2009, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 31, 2008. He is currently not registered with any state or firm.

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