Articles Tagged with allstate financial services

Alex James (CRD#: 5630825), a former registered representative with Allstate Financial Services LLC (CRD#: 18272) in West Palm Beach, Florida, is currently being investigated by the Financial Industry Regulatory Authority (FINRA) for potentially undisclosed outside business activities, according to his BrokerCheck record accessed on March 16, 2020. 

Alex James
What happened to lead to this FINRA investigation? On March 6, 2020, FINRA recommended that disciplinary action be brought against Alex James for violating FINRA Rule 3270 and FINRA Rule 2010. FINRA Rule 3270 mandates that brokers receive written approval from their member firms before engaging in any outside business activities. FINRA alleges that Alex James did not do that, instead engaging in private securities activities totaling approximately $667,000. FINRA Rule 2010 mandates that brokers act in a professional manner, and FINRA alleges that Alex James violated Rule 2010 by allegedly providing false information to his firm on annual compliance questionnaires, stating that he reported all outside business activities when that was allegedly not true. 

The Detailed Report of Alex James’s BrokerCheck record lists four outside business activities:

Mark EismaPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 25, 2018 indicate that Ohio-based AllState Financial Services broker Mark Eisma has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Eisma (CRD# 2170922).

Mark Eisma has spent 18 years in the securities industry and has been registered with AllState Financial Services in Pickerington, Ohio since 2012. Previous registrations include Park Avenue Securities in Columbus, Ohio (2010-2012); Cambridge Investment Research in Columbus, Ohio (2006-2010); Securities Service Network in Knoxville, Tennessee (2003-2005); Princor Financial Services in Des Moines, Iowa (2001-2003); and Pruco Securities Corporation in Newark, New Jersey (1999-2000). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 7, 2006, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 5, 1999. He is a registered broker with two US states: Ohio and West Virginia.

According to his BrokerCheck report, he has received five customer complaints.

Alexis Intili Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that New York-based Allstate Financial Services broker Alexis Intili has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Intili (CRD# 2925224).

Alexis Intili has spent 14 years in the securities industry and has been registered with Allstate Financial Services in Staten Island, New York since February 2015. Previous registrations include M&T Securities in Havertown, Pennsylvania; Santander Securities in Union, New Jersey; LPL Financial in Union, New Jersey; Wamu investments in Staten Island, New York; BNY Investment Center in New York, New York; Quick & Reilly in New York, New York; Merrill Lynch in New York, New York; Fred Alger & Company in New York, New York; Chase Investment Services in Chicago, Illinois; Financial Network Investment Corporation in El Segundo, California; Essex National Securities in Napa, California; Fleet Enterprises in New York, New York; and Ryan Beck & Company in Florham Park, New Jersey. She is a registered broker in New Jersey and New York. Continue Reading

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