Articles Tagged with capital financial services

Lloyd JohnstonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 6, 2018 indicate that former Washington-based Capital Financial Services broker/adviser Lloyd Johnston, who has received a pending customer dispute, 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 speaking to investors who have complaints regarding Mr. Johnston (CRD# 1626695).

Lloyd Johnston has spent 27 years in the securities industry and was most recently registered with Capital Financial Services in Spokane, Washington (2006-2018). Previous registrations include Legacy Financial Services in Clinton, Maryland (2004-2006); Investors Capital Corporation in Lynnfield, Massachusetts (1996-2004); Intersecurities in St. Petersburg, Florida (1992-1993); and Pruco Securities Corporation in Newark, New Jersey (1987-1992). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 29, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 19, 1996; Series 7 (General Securities Representative Examination), which he obtained on July 25, 1997; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 23, 1987; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on April 30, 1996. He is currently not registered with any state or firm.

According to his BrokerCheck report, Lloyd Johnston has received one pending customer complaint and one regulatory sanction, has been named in a FINRA investigation and was recently discharged from his former employer in connection to alleged rule violations. He has also received 15 unsatisfied judgments or liens.

Michael OlindePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 6, 2017 indicate that Louisiana-based Capital Financial Services broker/adviser Michael Olinde was terminated from a former employer in connection to alleged rule violations and is involved in a pending FINRA investigation. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Olinde (CRD# 3063204).

Michael Olinde has spent 19 years in the securities industry and has been registered with Capital Financial Services in Baton Rouge, Louisiana since July 2017. Previous registrations include LPL Financial in Baton Rouge, Louisiana (2009-2017); Mutual Services Corporation in Baton Rouge, Louisiana (2008-2009); AIG Financial Advisors in Baton Rouge, Louisiana (2008); American General Securities Incorporated in Baton Rouge, Louisiana (2002-2008); and Franklin Financial Services Corporation in Houston, Texas (1998-2002). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 16, 2007; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 25, 1998; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on May 7, 2001. He is a registered broker and investment adviser with eleven US states and territories: Alabama, California, Florida, Kansas, Kentucky, Louisiana, Mississippi, North Carolina, Oklahoma, Texas and Virginia.

According to his BrokerCheck report, he has been named in an ongoing FINRA investigation and was recently discharged from a former employer in connection to alleged rule violations.

Justin Mitchell

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 6, 2017 indicate that Louisiana-based Capital Financial Services broker/adviser Justin Mitchell was discharged from a former employer in connection to alleged rule violations and has been named in a pending FINRA investigation. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mitchell (CRD# 5177794).

Justin Mitchell has spent ten years in the securities industry and has been registered with Capital Financial Services in Baton Rouge, Louisiana since July 2017. Previous registrations include LPL Financial in Baton Rouge, Louisiana (2009-2017); Mutual Services Corporation in Baton Rouge, Louisiana (2008-2009); AIG Financial Advisors in Baton Rouge, Louisiana (2008); and American General Securities Incorporated in Baton Rouge, Louisiana (2007-2008). He has passed one securities industry examination: Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 30, 2007. He is registered as a broker and investment adviser in Louisiana.

According to his BrokerCheck report, he was discharged from a former employer in connection to alleged rule violations and has been named in a pending regulatory investigation.

William Byrd

Public records published by the Financial Industry Regulatory Authority (FINRA) on April 18, 2017 indicate that Florida-based Capital Financial Services broker/adviser William Byrd has been the subject of resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Byrd (CRD# 1334634).

William Byrd has spent 31 years in the securities industry and has been registered with Capital Financial Services in Tampa, Florida since September 2016. Previous registrations include Invest Financial Corporation in Tampa, Florida; TransAmerica Financial Advisors in Tampa, Florida; Pruco Securities Corporation in Newark, New Jersey; Merrill Lynch Pierce Fenner & Smith in New York, New York; American Express Financial Advisors in Minneapolis, Minnesota; IDS Life Insurance Company in Minneapolis, Minnesota; Cigna Securities; and Security First Financial. He is a registered broker and investment adviser with the state of Florida.

According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint.

James Kraatz

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on January 16, 2017 indicate that Michigan-based Next Financial Group broker/adviser James Kraatz has been the subject of resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kraatz (CRD# 2102044).

James Kraatz has spent 26 years in the securities industry and has been registered with Next Financial Group in Shelby Township, Michigan since 2008. Previous registrations include Capital Financial Services in Shelby Township, Michigan (2005-2008); Empire Financial Group, which has been expelled by FINRA, in Longwood, Florida (2003-2005); Freedom Financial in Omaha, Nebraska (2002-2003); and Thrivent Investment Management in Minneapolis, Minnesota (1990-2002). He is a registered broker and investment adviser with six US states: Colorado, Florida, Georgia, Michigan, New York, North Carolina, and South Carolina.

According to his BrokerCheck report, James Kraatz has received one customer complaint and one pending customer complaint.

Laurie BraulickPublic records published by the Financial Industry Regulatory Authority (FINRA) on June 10, 2016 indicate that Minnesota-based Capital Financial Services broker/adviser Laurie Braulick has settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Braulick (CRD# 1568481).

Laurie Braulick has spent 28 years in the securities industry and has been registered with Capital Financial Services in New Ulm, Minnesota since 2003. She was previously registered with Arm Securities Corporation in Minot, North Dakota (1988-2003). She is a registered broker and investment adviser with 17 US states and territories: Arizona, California, Colorado, Florida, Iowa, Michigan, Minnesota, Missouri, New York, North Dakota, Ohio, Pennsylvania, South Dakota, Texas, Utah, Washington, and Wisconsin. Continue Reading