Articles Tagged with barred

Douglas Simanski Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 28, 2016 indicate that former Pennsylvania-based Next Financial Group broker Douglas Simanski has been permanently barred from acting as a broker. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Simanski (2606998).

Douglas Simanski has spent 21 years in the securities industry and was most recently registered with Next Financial Group in Altoona, Pennsylvania (1999-2016). He was previously registered with Advantage Capital Corporation in Atlanta, Georgia (1995-1999). He is currently not registered with any state or firm. Continue Reading

Bruce PivarPublic records provided by the Financial Industry Regulatory Authority (FINRA) on July 6, 2016 indicate that Florida-based LPL Financial broker/adviser Bruce Pivar has been barred by FINRA from engaging in certain activities. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pivar (CRD# 1231443).

Bruce Pivar has spent 32 years in the securities industry and has been registered with LPL Financial in Naples, Florida since 2009. Previous registrations include Waterstone Financial Group in Naples, Florida; Securities America in La Vista, Nevada; Royal Alliance Associates in New York, New York; MB Vick & Company in Chicago, Illinois; Royal Alliance Associates in New York, New York; Integrated Resources Equity Corporation; and Southmark Financial Services. He is a registered broker and investment adviser with fifteen US states and territories: Alabama, Arizona, California, Florida, Georgia, Idaho, Illinois, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Tennessee, Virginia, Washington, and Wisconsin. Continue Reading

Myriad GeneticsPublic records provided by the Financial Industry Regulatory Authority (FINRA) on July 5, 2016 indicate that former California-based Ameriprise broker Li-Lin Hsu has been permanently barred from acting as a broker. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Hsu (CRD# 4706509).

Li-Lin Hsu has spent nine years in the securities industry and was most recently registered with Ameriprise Financial Services in Los Angeles, California (2006-2015). She was previously registered with Ameriprise Financial Services in Minneapolis, Minnesota (2005). She is currently not registered with any state or firm. Continue Reading

Jonathan WilliamsPublic records published by the Financial Industry Regulatory Authority (FINRA) on July 5, 2016 indicate that former Maryland-based NYLife broker Jonathan Williams has been permanently barred from acting as a broker. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Williams (CRD# 4069029).

Jonathan Williams has spent 15 years in the securities industry and was most recently registered with NYLife Securities in Timonium, Maryland (2006-2015). Previous registrations include Ameriprise Financial Services in Minneapolis, Minnesota (2000-2006) and IDS Life Insurance Company in Minneapolis, Maryland (2000-2006). Mr. Williams is currently not registered with any state or firm. Continue Reading

Arthur EspinozaPublic records published by the Financial Industry Regulatory Authority (FINRA) on June 28, 2016 indicate that former Florida-based Freedom Investors Corporation broker Arthur Espinoza has been permanently barred from acting as a broker. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Espinoza (CRD# 1344849).

Arthur Espinoza has spent 29 years in the securities industry and was most recently registered with Vero Beach, Florida (2005-2014). Previous registrations include Ameritas Investment Corporation in Lincoln, Nebraska; the Advisors Group in Bethesda, Maryland; Nutmeg Securities in Greenwich, Connecticut; FFP Securities in Chesterfield, Missouri; Jonathan Alan & Company; Graystone Nash; and First Jersey Securities. He is currently not registered with any state or firm. Continue Reading

Michael DeboerPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on June 16, 2016 indicate that former Florida-based Fidelity Brokerage Services broker Michael Deboer has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Deboer (CRD# 2114067).

Michael Deboer has spent 23 years in the securities industry and was most recently registered with Fidelity Brokerage Services in Clearwater, Florida (2014-2015). Previous registrations include Signator Financial Services in Spring Hill, Florida; Dalton Strategic Investment Services in Spring Hill, Florida; Planmember Securities in Spring Hill, Florida; Mutual Service Corporation in Spring Hill, Florida; Legacy Financial Services in Petaluma, California; Banc of America Investment Services in Boston, Massachusetts; Fidelity Brokerage Services in Smithfield, Rhode Island; Essex National Securities in Napa, California; Aegon USA Securities in Cedar Rapids, Iowa; Intersecurities in St. Petersburg, Florida; Fidelity Brokerage Services in Smithfield, Rhode Island; MetLife Securities in New York, New York; and Metropolitan Life Insurance Company in New York, New York. He is currently not registered with any state or firm. Continue Reading

Thomas CanifordPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 10, 2016 indicate that former LPL broker Thomas Caniford has been permanently barred from associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Caniford (CRD# 1049021).

Thomas Caniford has spent 32 years in the securities industry and was most recently registered with LPL Financial in North Canton, Ohio (2008-2015). Previous registrations include M Holdings Securities in North Canton (2004-2008); Multi-Financial Securities in Denver, Colorado (2004); Vestax Securities in Hudson, Ohio (1997-2004); Multi-Financial Securities in Denver, Colorado (1991-1997); Mutual Service Corporation in Boston, Massachusetts (1989-1991); Lowry Financial Services Corporation in North Palm Beach, Florida (1984-1989); Anchor National Financial Services (1983-1984); and Integrated Resources Equity Corporation (1982-1983). Continue Reading

Miguel HernandezPublic records published by the Financial Industry Regulatory Authority (FINRA) on May 30, 2016 indicate that former Texas-based Thrivent Investment Management broker Miguel Hernandez has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hernandez (CRD# 4733002).

Miguel Hernandez has spent 11 years in the securities industry and was most recently registered with Thrivent Investment Management in El Paso, Texas. He has no previous registrations and is currently not registered with any state or firm. Continue Reading

Douglas MillerPublic records published by the Financial Industry Regulatory Authority (FINRA) on May 30, 2016 indicate that former Ohio-based Triad Advisors broker/adviser Douglas Miller has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Miller (CRD# 1946240).

Douglas Miller has spent 25 years in the securities industry and was most recently registered with Triad Advisors in Toledo, Ohio (2005-2014). Previous registrations include Walnut Street Securities in El Segundo, California; Royal Alliance Associates in New York, New York; and Integrated Resources Equity Corporation. He is currently not registered with any state or firm. Continue Reading

John TowersPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 25, 2016 indicate that former Texas-based VSR Financial Services broker John Towers has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Towers (CRD# 700221).

John Towers has spent 43 years in the securities industry and was most recently registered with VSR Financial Services in Plano, Texas (2002-2013). Previous registrations include Rushmore Securities Corporation in Dallas, Texas (2001-2002); Northstar Securities in Dallas, Texas (1998-2001); and Dominion Capital Corporation in Dallas, Texas (1991-1998). Mr. Towers is currently not registered with any state or firm. Continue Reading