Articles Tagged with CFD Investments

CFD InvestmentsPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 11, 2017 indicate that Indiana-based broker-dealer CFD Investments was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding CFD Investments (CRD# 25427).

Established in Indiana in 1986, CFD Investments is headquartered in Kokomo, Indiana and registered with 52 US states and territories. Brent Owens is President; Matthew Bahrenburg is Chief Compliance Officer; Terry May is Treasurer; Brooke Rockey is Secretary. The firm is registered with FINRA and the Securities and Exchange Commission.

According to the firm’s BrokerCheck report and other FINRA records, CFD Investments has received several regulatory sanctions, including one in September 2017.

Richard D’Ambola Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 3, 2017 indicate that New Jersey-based CFD Investments broker/adviser Richard D’Ambola has been the subject of resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. D’Ambola (CRD# 2816480).

Richard D’Ambola has spent twelve years in the securities industry and has been registered with CFD Investments in Succasunna, New Jersey since 2014. Previous registrations include Questar Capital Corporation in Succasunna, New Jersey; Workman Securities Corporation in Succasunna, New Jersey; Princor Financial Services in Des Moines, Iowa; and 1717 Capital Management in Newark, Delaware. He is a registered broke and investment adviser with ten US states and territories: Arizona, California, Delaware, Florida, New Jersey, New York, North Carolina, and Pennsylvania.

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

Lynn SimonAccording to records provided by the Financial Industry Regulatory Authority (FINRA), former Indiana-based CFD broker Lynn Simon 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 Ms. Simon (CRD# 729413).

Lynn Simon has spent 31 years in the securities industry and was most recently registered with CFD Investments in Evansville, Indiana (2008-2013). Previous registrations include Capital Select Investments in Evansville, Indiana (2006-2008); American General Securities in Houston, Texas (2004-2005); American General Securities in Phoenix, Arizona (1999-2003); Securities America in La Vista, Nebraska (1989-1999); American General Securities (1986-1989); Equico Securities (1985); and the Equitable Life Assurance Society of the United States (1981-1985). She is currently not registered with any state or firm. Continue Reading

Contact Information