Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 30, 2018 indicate that former Maryland-based Nationwide Securities broker Napoleon Andrews was recently sanctioned by FINRA 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. Andrews (CRD# 853585).
Napoleon Andrews has spent 35 years in the securities industry and was most recently registered with Nationwide Securities in Columbia, Maryland (2008-2016). Previous registrations include 1717 Capital Management Company in Columbia, Maryland (2007-2008); Nationwide Securities in Columbia, Maryland (1999-2008); Nationwide Advisory Services in Grandview Heights, Ohio (1995-1998); Pebsco Securities Corporation in Columbus, Ohio (1984-1994); and Cigna Securities (1978-1984). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 14, 1993; Series 1 (Registered Representative Examination), which he obtained on June 12, 1978; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on March 26, 1987. He is currently not registered with any state or firm.
According to his BrokerCheck report, Napoleon Andrews has received one regulatory sanction and seven unsatisfied judgments or liens, and he was recently discharged from his former employer in connection to alleged rule violations.
In March 2018 FINRA sanctioned him in connection to allegations he willfully failed to timely amend his Form U4 so as to disclose the filing of a federal tax lien against him. He was issued a two-month suspension and a fine of $5,000.
In 2016 he was discharged from his position at Nationwide Securities in connection to allegations he failed to timely disclose tax liens filed against him.
In 2015 the Internal Revenue Service filed a tax lien totaling $80,997 against him. The lien remains outstanding.
In 2014 the Internal Revenue Service filed a tax lien totaling $103,695 against him. The lien remains outstanding.
In 2010 the Internal Revenue Service filed a tax lien totaling $137,600 against him. The lien remains outstanding.
In 2008 the Internal Revenue Service filed a tax lien totaling $336,325 against him. The lien remains outstanding.
In 1996 the State of Virginia filed a civil judgment or lien totaling $49,553 against him. The lien remains outstanding.
If you or someone you know has complaints regarding Napoleon Andrews, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.