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.
According to his BrokerCheck report, he has received one customer complaint, was recently named in a FINRA investigation, resigned from a former employer in connection to alleged rule violations, and was recently terminated from a former employer in connection to alleged rule violations.
In July 2018 he was terminated from his position at First Financial Equity Corporation in connection to allegation he failed to “fully disclose details” regarding his departure from a previous firm in connection to outside business activities that were discovered in the course of a FINRA probe.
In June 2018 he was named in a FINRA investigation into allegations he failed to disclose an outside business activity and violated FINRA Rule 2010. The investigation remains pending.
In 2016 he was “permitted to resign” from Neidiger Tucker Bruner in connection to allegations that “there were inaccuracies and inconsistencies” in his disclosure of an outside business activity to the firm.
In 1994 a customer alleged Jeffrey Sigman, while employed at Painewebber, executed an unauthorized transaction and failed to comply with a corporate charter. The complaint settled for $50,000 with the cancellation of the trade.
If you have complaints regarding Jeffrey Sigman, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window by law to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.