Articles Posted in Terminated Brokers

Published on:

Justin Mitchell

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 6, 2017 indicate that Louisiana-based Capital Financial Services broker/adviser Justin Mitchell was discharged from a former employer in connection to alleged rule violations and has been named in a pending FINRA investigation. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mitchell (CRD# 5177794).

Justin Mitchell has spent ten years in the securities industry and has been registered with Capital Financial Services in Baton Rouge, Louisiana since July 2017. Previous registrations include LPL Financial in Baton Rouge, Louisiana (2009-2017); Mutual Services Corporation in Baton Rouge, Louisiana (2008-2009); AIG Financial Advisors in Baton Rouge, Louisiana (2008); and American General Securities Incorporated in Baton Rouge, Louisiana (2007-2008). He has passed one securities industry examination: Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 30, 2007. He is registered as a broker and investment adviser in Louisiana.

According to his BrokerCheck report, he was discharged from a former employer in connection to alleged rule violations and has been named in a pending regulatory investigation.

Published on:

Timothy Scherwa

Public available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 4, 2017 indicate that former New Jersey-based Wells Fargo Clearing Services broker/adviser Timothy Scherwa was discharged from a former employer in connection to allegations of rule violations and is currently not affiliated with any FINRA broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Scherwa (CRD# 2743773).

Timothy Scherwa has spent 21 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in Morris Plains, New Jersey (2014-2017). Previous registrations include Morgan Stanley in Morristown, New Jersey (2009-2014); Morgan Stanley & Company in Morristown, New Jersey (2007-2009); Morgan Stanley DW in Morristown, New Jersey (1997-2007); and DH Blair & Company in New York, New York (1996-1997). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 17, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 31, 1996; Series 31 (Futures Managed Funds Examination), which he obtained on December 7, 1988; and Series 7 (General Securities Representative Examination), which he obtained on May 23, 1996. He is currently not registered with any state or firm.

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

Published on:

Mark PylePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 4, 2017 indicate that former Virginia-based First Allied Securities broker/adviser Mark Pyle was 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. Pyle (CRD# 829253).

Mark Pyle has spent 32 years in the securities industry and was most recently registered with First Allied Securities in Alexandria, Virginia (2005-2017). Previous registrations include Round Hill Securities in Alamo, California (2001-2005); UBS Painewebber in Weehawken, New Jersey (1993-2001); Kidder Peabody & Company in New York, New York (1988-1993); Shearson Lehman Hutton (1988); EF Hutton & Company (1986-1988); and Kidder Peabody & Company (1976-1977). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 27, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 5, 1987; Series 3 (National Commodity Futures Examination), which he obtained on January 16, 1987; Series 7 (General Securities Representative Examination), which he obtained on December 20, 1986; Series 4 (Registered Options Principal Examination), which he obtained on February 8, 2002; and Series 24 (General Securities Principal Examination), which he obtained on January 24, 2002. He is currently not registered with any state or firm.

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

Published on:

Steven CooperPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 28, 2017 indicate that former California-based UBS Financial Services broker/adviser Steven Cooper 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. Cooper (CRD# 4879645).

Steven Cooper has spent six years in the securities industry and was most recently registered with UBS Financial Services in Century City, California (2014-2017). He was previously registered with Edward Jones in Beverly Hills, California (2012-2014). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 3, 2010, and Series 7 (General Securities Representative Examination), which he obtained on November 18, 2010. Mr. Cooper is currently not registered with any state or firm, nor with any self-regulatory organization (SRO).

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

Published on:

Jonathan BeldenPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 28, 2017 indicate that former California-based Merrill Lynch broker/adviser Jonathan Belden was 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. Belden (CRD# 5955909).

Jonathan Belden has spent three years in the securities industry and was most recently registered with Merrill Lynch in Oakland, California (2014-2017). He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on June 20, 2014, and Series 7 (General Securities Representative Examination), which he obtained on May 22, 2014. 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.

Published on:

Tami AloisaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 9, 2017 indicate that Virginia-based Spire Securities broker/adviser Tami Aloisa was discharged from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Aloisa (CRD# 2596467).

Tami Aloisa has spent 21 years in the securities industry and has been registered with Spire Securities in Reston, Virginia since October 2017. Previous registrations include UBS Financial Services in Norfolk, Virginia (2015-2017) and Merrill Lynch in Virginia Beach, Virginia (1996-2015). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on December 27, 1996; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on June 17, 1996; Series 31 (Futures Managed Funds Examination), which she obtained on June 7, 2005; Series 7 (General Securities Representative Examination), which she obtained on April 22, 1996; Series 9 (General Securities Sales Supervisor – Options Module Examination), which she obtained on September 30, 2013; and Series 10 (General Securities Sales Supervisor – General Module Examination), which she obtained on June 25, 2013. She is a registered broker and investment adviser with three US states and territories: Connecticut, Indiana and the District of Columbia.

According to her BrokerCheck report, she was discharged from a former employer and resigned from another former employer in connection to alleged rule violations.

Published on:

David KrumreyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 6, 2017 indicate that former Texas-based Oppenheimer & Company broker/adviser David Krumrey has received pending customer disputes and was discharged from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Krumrey (CRD# 4121845).

David Krumrey has spent 17 years in the securities industry and was most recently registered with Oppenheimer & Company in The Woodlands, Texas (2009-2017). Previous registrations include Stanford Group Company in Houston, Texas (2009) and Merrill Lynch in Kingwood, Texas (2000-2009). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on April 14, 2000; Series 31 (Futures Managed Funds Examination), which he obtained on June 9, 2004; and Series 7 (General Securities Representative Examination), which he obtained on March 21, 2000. He is currently not registered with any state or firm.

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

Published on:

Rita DulyaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 31, 2017 indicate that former Florida-based Kovack Securities broker/adviser Rita Dulya was recently terminated 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 speaking to investors who have complaints regarding Ms. Dulya (CRD# 2050796).

Rita Dulya has spent 27 years in the securities industry and was most recently registered with Kovack Securities in Port St. Lucie, Florida (2002-2017). Previous registrations include Pro-Integrity Securities in Longview, Texas (1999-2002); SunPoint Securities in Longview, Texas (1996-1999); Great Western Financial Securities Corporation in Northridge, California (1990-1996); and FundTrust Investment Company (1990-1992). She has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on May 21, 1991; Series 7 (General Securities Representative Examination), which she obtained on May 19, 1990; and Series 24 (General Securities Principal Examination), which she obtained on November 11, 1999. She is currently not registered with any state or firm.

According to her BrokerCheck report, she has received one pending customer complaint and one denied customer complaint, and was recently discharged from her former employer.

Published on:

Daniel MacrinoPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 31, 2017 indicate that former New Jersey-based Merrill Lynch broker/adviser Daniel Macrino was recently discharged from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Macrino (CRD# 5167670).

Daniel Macrino has spent nine years in the securities industry and was most recently registered with Merrill Lynch in Florham Park, New Jersey (2008-2017). He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he passed on August 27, 2008, and Series 7 (General Securities Representative Examination), which he passed on May 2, 2008. He is currently not registered with any state or firm.

According to his BrokerCheck report, Daniel Macrino was recently terminated from his former employer.

Published on:

Terrence Diehl

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that former Boston-based LPL Financial broker Terrence Diehl 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. Diehl (CRD# 2335297).

Terrence Diehl has spent 10 years in the securities industry and was most recently registered with LPL Financial in Boston, Massachusetts (2015-2016). Previous registrations include Joseph Gunnar & Company in New York, New York; Morgan Stanley in Purchase, New York; and Prudential Securities in New York, New York. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 65 (Uniform Investment Adviser Law Examination); and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Terrence Diehl has received one FINRA sanction and was terminated from a former employer.