Articles Posted in Terminated Brokers

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Jerome PoolePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 16, 2018 indicate that former Delaware-based Berthel Fisher & Company broker/adviser Jerome Poole was recently discharged from his former employer in connection to alleged rule violations and has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Poole (CRD# 847756).

Jerome Poole has spent 40 years in the securities industry and was most recently registered with Berthel Fisher & Company in Wilmington, Delaware (2017-2018). Previous registrations include Kovack Securities in Wilmington, Delaware (2008-2017); Invest Financial Corporation in Wilmington, Delaware (2007-2008); Wharton Equity Corporation in Wilmington, Delaware (2004-2007); Mony Securities Corporation in New York, New York (2002-2004); Wharton Equity Corporation in Wayne, Pennsylvania (1989-2002); Manequity in Boston, Massachusetts (1978-1989); and Capital Placement Service (1976-1981). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 3, 1987; Series 7 (General Securities Representative Examination), which he obtained on September 15, 1984; and Series 1 (Registered Representative Examination), which he obtained on January 9, 1978. He is currently not registered with any state or firm.

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

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Dana DavisPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 10, 2018 indicate that New York-based Newbridge Securities broker Dana Davis has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Davis (CRD# 1707708).

Dana Davis has spent 29 years in the securities industry and has been registered with Newbridge Securities Corporation in New York, New York since 2006. Previous registrations include First Montauk Securities in Hauppage, New York (2002-2006); Global Capital Securities Corporation in Englewood, Colorado (2000-2002); Gilford Securities in New York, New York (1995-2000); Josephtal Lyons & Ross in New York, New York (1993-1995); Robert Todd Financial Corporation in New York, New York (1990-1993); Global Capital Securities (1990); and the Stuart-James Company in Denver, Colorado (1989-1990). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 13, 1989; Series 7 (General Securities Representative Examination), which he obtained on March 18, 1989; Series 24 (General Securities Principal Examination), which he obtained on April 27, 2001; and Series 4 (Registered Options Principal Examination), which he obtained on February 16, 2000. He is a registered broker with 24 US states and territories.

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

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Barry WoldPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 26, 2018 indicate that former Minnesota-based Raymond James & Associates broker/adviser Barry Wold was recently 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. Wold (CRD# 2095296).

Barry Wold has spent 27 years in the securities industry and was most recently registered with Raymond James & Associates in Edina, Minnesota (2009-2018). Previous registrations include Robert W. Baird & Company in Edina, Minnesota (1998-2009) and Piper Jaffray in Minneapolis, Minnesota (1990-1998). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 2, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 25, 1990; and Series 7 (General Securities Representative Examination), which he obtained on October 16, 1990. He is currently not registered with any state, firm or self-regulatory organization.

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

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George MathisPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that Florida-based Raymond James & Associates broker/adviser George Mathis has been involved in several resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mathis (CRD# 4271854).

George Mathis has spent 17 years in the securities industry and has been registered with Raymond James & Associates in The Villages, Florida since 2011. Previous registrations include Wells Fargo Advisors in The Villages, Florida (2008-2011) and AG Edwards & Sons in The Villages, Florida (2000-2008). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 6, 2000, and Series 7 (General Securities Representative Examination), which he obtained on November 8, 2000. He is a registered broker and investment adviser with 26 US states and territories.

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

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Erven FrericksPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that former Missouri-based Royal Alliance Associates broker/adviser Erven Frericks Jr., who has received a pending customer dispute, 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. Frericks (CRD# 706056).

Erven Frericks has spent 38 years in the securities industry and was most recently registered with Royal Alliance Associates in Chesterfield, Missouri (1997-2019). Previous registrations include Walnut Street Securities in El Segundo, California (1990-1997); American Capital Equities (1987-1990); FFP Securities (1985-1987); First Affiliated Securities (1980-1986); and FSC Securities Corporation (1980). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 28, 1980; Series 7 (General Securities Representative Examination), which he obtained on March 15, 1980; and Series 24 (General Securities Principal Examination), which he obtained on February 20, 1986. 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 a former employer in connection to alleged rule violations.

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Earle TingleyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that former Florida-based Wells Fargo Advisors Financial Network broker/adviser Earle Tingley, who has received a customer dispute, was recently 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. Tingley (CRD# 4444579).

Earle Tingley has spent 16 years in the securities industry and was most recently registered with Wells Fargo Advisors in Winter Haven, Florida (2014-2018). Previous registrations include Wells Fargo Advisors in Lakeland, Florida (2008-2014); AG Edwards & Sons in Winter Haven, Florida (2002-2008); and Wachovia Securities Financial Network in St. Louis, Missouri (2001-2002). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 2, 2003; Series 3 (National Commodity Futures Examination), which he obtained on February 4, 2012; and Series 7 (General Securities Representative Examination), which he obtained on December 19, 2001. 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 recently discharged from his former employer in connection to alleged rule violations.

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Joel FlaninganPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 15, 2018 indicate that former Indiana-based NYLife Securities broker Joel Flaningan, who is involved in a pending customer dispute, was recently 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. Flaningan (CRD# 5664958).

Joel Flaningan has spent seven years in the securities industry and was most recently registered with NYLife Securities in Fort Wayne, Indiana (2010-2018). He has no previous registrations. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 17, 2010, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on December 20, 2010. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received a pending customer complaint and was recently discharged from his former employer.

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Mitchell YanowPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 15, 2018 indicate that former Florida-based Stifel Nicolaus & Company broker/adviser Mitchell Yanow, who has received a customer dispute, 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 speaking to investors who have complaints regarding Mr. Yanow (CRD# 2148171).

Mitchell Yanow has spent 26 years in the securities industry and was most recently registered with Stifel Nicolaus & Company in Boca Raton, Florida (2015-2018). Previous registrations include Oppenheimer & Company in Palm Beach Gardens, Florida (2008-2015); Wachovia Securities in Palm Beach Gardens, Florida (2005-2008); UBS Financial Services in Weehawken, New Jersey (2000-2005); JB Hanauer & Company in Parsippany, New Jersey (1992-2000); and Halpert & Company in Millburn, New Jersey (1991-1992). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 20, 1991, and Series 7 (General Securities Representative Examination), which he obtained on September 12, 1991. He is currently not registered with any state or firm.

According to his BrokerCheck report, Mitchell Yanow has received one customer complaint and was recently discharged from his former employer.

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Steve BaptistPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 13, 2018 indicate that former New York-based Joseph Gunnar & Company broker Steve Baptist 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 hearing from investors who have complaints regarding Mr. Baptist (CRD# 5885870).

Steve Baptist has spent seven years in the securities industry and was most recently registered with Joseph Gunnar & Company in New York, New York (2014-2018). Previous registrations include MetLife Securities in Roseland, New Jersey (2013-2014) and Investors Capital in Greenwich, Connecticut (2011-2013). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 18, 2011, and Series 7 (General Securities Representative Examination), which he obtained on February 18, 2011. He is currently not registered with any state or firm.

According to his BrokerCheck report, Steve Baptist has received one denied customer complaint and was recently discharged from his former employer.

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John EadsPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 8, 2018 indicate that Florida-based Lion Street Financial broker John Eads, who has received customer disputes, 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. Eads (CRD# 2764843).

John Eads has spent 20 years in the securities industry and was most recently registered with Lion Street Financial in Titusville, Florida (2017-2018). Previous registrations include AXA Advisors in Titusville, Florida (2009-2017) and Woodbury Financial Services in Titusville, Florida (1997-2009). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 12, 1998, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 21, 1997. He is currently not registered with any state or firm.

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