Articles Tagged with Discharged

Stephen BrownPublic records provided by the Financial Industry Regulatory Authority (FINRA) on August 5, 2016 indicate that New York-based Stifel Nicolaus & Company broker/adviser Stephen Brown is the subject of a pending FINRA complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Brown (CRD# 1799847).

Stephen Brown has spent 28 years in the securities industry and has been registered with Stifel Nicolaus & Company in Fairport, New York since 2014. Previous registrations include Merrill Lynch in Pittsford, New York and PaineWebber in Weehawken, New Jersey. He is a registered broker with 23 US states and territories. Continue Reading

Eric SparlingPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 5, 2016 indicate that Ohio-based Investment Professionals broker/adviser Eric Sparling 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 Mr. Sparling (CRD# 2575062).

Eric Sparling has spent 20 years in the securities industry and has been registered with Investment Professionals in Marion, Ohio since March 2016. Previous registrations include JP Morgan Securities in Marion, Ohio; Chase Investment Services in Marion, Ohio; Fidelity Brokerage Services; Lincoln Financial Advisors in Fort Wayne, Indiana; the Lincoln National Life Insurance Company in Fort Wayne, Indiana; New England Securities in New York, New York; State Farm VP Corporation in Bloomington, Illinois; and Pruco Securities in Newark, New Jersey. He is a registered broker and investment adviser in Ohio. Continue Reading

Debra BertrandPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that New York-based Raymond James broker/adviser Debra Bertrand is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Ms. Bertrand (CRD# 1187249).

Debra Bertrand has spent 27 years in the securities industry and has been registered with Raymond James Financial Services in Elvira, New York since 2013. She was previously registered with Wells Fargo Advisors in Elmira, New York (2000-2012) and First Albany Corporation in New York, New York (1988-2000). She is a registered broker and investment adviser with 27 US states and territories. 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

Jim SeolPublic records published by the Financial Industry Regulatory Authority (FINRA) on June 28, 2016 indicate that former California-based Ameriprise broker Jim Seol has been named in a pending FINRA complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Seol (CRD# 2876279).

Jim Seol has spent 16 years in the securities industry and was most recently registered with Ameriprise Financial Services in Irvine, California (1997-2014). He was previously registered with IDS Life Insurance in Minneapolis, Minnesota (1997-2006). He is currently not registered with any state or firm. Continue Reading

John StevensPublic records published by the Financial Industry Regulatory Authority (FINRA) on June 16, 2016 indicate that former Colorado-based Wilbanks Securities broker John Stevens is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Stevens (CRD# 2743760).

John Stevens has spent 17 years in the securities industry and was most recently registered with Wilbanks Securities in Grand Junction, Colorado (2006-2014). Previous registrations include Walnut Street Securities in El Segundo, California (1999-2006); Fortis Investors in Oakdale, Minnesota (1997-1999); and W.S. Griffith & Company in Hartford, Connecticut (1996-1997). He is currently not registered with any state or firm. Continue Reading

James GoetzPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 2016 indicate that New York-based Stifel Nicolaus broker/adviser James Goetz, Jr. is the subject of a pending FINRA complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Goetz (CRD# 2826111).

 James Goetz has spent 18 years in the securities industry and has been registered with Stifel Nicolaus & Company in Fairport, New York since 2014. He was previously registered with Merrill Lynch in Pittsford, New York (1998-2014). He is a registered broker and investment adviser with 24 US states and territories. 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