Articles Posted in Terminated Brokers

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.

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.

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.

Frederick OlsonPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 23, 2018 indicate that former Minnesota-based Oak Ridge Financial Services Group broker/adviser Frederick Olson 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. Olson (CRD# 1425609).

Frederick Olson has spent 32 years in the securities industry and was most recently registered with The Oak Ridge Financial Services Group in Golden Valley, Minnesota (2015-2018). Previous registrations include Maxwell Simon in Minneapolis, Minnesota (2012-2015); Robert W. Baird & Company in Edina, Minnesota (1994–2012); John G. Kinnard & Company in Minneapolis, Minnesota (1989-1994); Piper Jaffray & Hopwood in Minneapolis, Minnesota (1987-1989); and Painewebber (1985-1987). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 8, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 21, 1985; Series 3 (National Commodity Futures Examination), which he obtained on January 17, 1986; and Series 7 (General Securities Representative Examination), which he obtained on November 16, 1985. 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.

Larry TemplinPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 17, 2018 indicate that former Texas-based Centaurus Financial broker/adviser Larry Templin 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. Templin (CRD# 2440316).

Larry Templin has spent 20 years in the securities industry and was most recently registered with Centaurus Financial in Temple, Texas (2006-2018). Previous registrations include USAllianz Securities in Temple, Texas (2001-2006) and 1st Global Capital in Dallas, Texas (1997-2001). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 23, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 13, 1997; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 12, 1997. 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.

Xavier PatinoPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 16, 2018 indicate that Illinois-based Newbridge Securities Corporation broker/adviser Xavier Patino, also known as Javier Patino, has been sanctioned by FINRA in connection to alleged rule violations and received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Patino (CRD# 5528139).

Xavier Patino has spent ten years in the securities industry and has been registered with Newbridge Securities in Oakbrook Terrace, Illinois since June 2017. Previous registrations include JP Morgan Securities in Elmhurst, Illinois (2012-2017) and Chase Investment Services Corporation in North Riverside, Illinois (2008-2012). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 22, 2012; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 8, 2008; Series 7 (General Securities Representative Examination), which he obtained on January 18, 2012; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 29, 2008. He is a registered broker and investment adviser with five US states: California, Illinois, Indiana, South Carolina, and Wisconsin.

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

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.

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.

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.

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.