Articles Tagged with Financial West Group

Gene ValentinePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 12, 2017 indicate that West Virginia-based Financial West Group broker/adviser Gene Valentine was recently sanctioned by FINRA and has been named in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Valentine (CRD# 1079871).

Gene Valentine has spent 34 years in the securities industry and has been registered with Financial West Group in Wellsburg, West Virginia and Reno, Nevada since 1986. Previous registrations include Venture Funding and Christopher Weil & Company. He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 22 (Direct Participation Programs Representative Examination); Series 24 (General Securities Principal Examination); and Series 39 (Direct Participation Programs Principal Examination). He is a registered broker and investment adviser with 25 US states and territories.

According to his BrokerCheck report, Gene Valentine has received one FINRA sanction and one pending customer complaint.

Financial West GroupPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 6, 2017 indicate that California-based brokerage and advisory firm Financial West Group was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Financial West Group (CRD# 16668).

Established in California in 1985, Financial West Group is headquartered in Westlake Village, California and registered with 52 US states and territories. Ellen Shearin is Chief Operations Officer; Gene Valentine is Chairman, Chief Executive Officer and President; Corey White is Chief Compliance Officer; Debasish Banerjee is Financial and Operations Principal. The firm is registered with the Securities and Exchange Commission, FINRA and 1 other self-regulatory organizations.

According to the firm’s BrokerCheck report, Financial West Group has 28 regulatory and other disclosures.

Scott OlsonPublic records provided by the Financial Industry Regulatory Authority (FINRA) on June 21, 2017 indicate that Florida-based Financial West Group broker/adviser Scott Olson has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Olson (CRD# 711256).

Scott Olson has spent 36 years in the securities industry and has been registered with Financial West Group in Melbourne, Florida since 2014. Previous registrations include Merrimac Corporate Securities in Melbourne, Florida World Equity Group in Melbourne, Florida; Mutual Service Corporation in Melbourne, Florida; Eisner Securities in St. Louis, Missouri; SunAmerica Securities in Phoenix, Arizona; Cambridge Investment Research in Fairfield, Iowa; and Securities Service Network in Knoxville, Tennessee. He is a registered broker and investment adviser with 15 US states and territories.

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

Stuart GodinPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 22, 2016 indicate that California-based Financial West Group broker/adviser Stuart Godin has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Godin (CRD# 223476).

Stuart Godin has spent 55 years in the securities industry and has been registered with Financial West Group in Los Angeles, California since March 2016. Previous registrations include RBC Capital Markets in Century City, California; Citigroup Global Markets in Los Angeles, California; Morgan Stanley DW in Purchase, New York; Bear Stearns & Company in New York, New York; Oppenheimer & Company; and Merrill Lynch. He is a registered broker and investment adviser with nine US states and territories: Arizona, California, Florida, Louisiana, Nevada, Texas, Virginia, Washington and Wyoming.

According to his BrokerCheck report, Stuart Godin has received six customer complaints.

Stuart Valentine Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 30, 2016 indicate that Iowa-based Financial West Group broker/adviser Stuart Valentine has been the subject of a customer complaint and a regulatory sanction. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Valentine (CRD# 1646981).

Stuart Valentine has spent sixteen years in the securities industry and has been registered with Financial West Group in Fairfield, Iowa since 2000. He has no previous registrations. He is a registered broker and investment adviser with 24 US states and territories.

According to his BrokerCheck report, Stuart Valentine has received one customer complaint and one regulatory sanction.

Jeffrey GiesekePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 20, 2016 indicate that former California-based Financial West Group broker Jeffrey Gieseke is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gieseke (CRD# 2331700), especially if these complaints related to investments in Vertical Fund private placements.

Jeffrey Gieseke has spent 17 years in the securities industry and was most recently registered with Financial West Group in Tarzana, California (1999-2012). Previous registrations include WM Financial Services in Irvine, California (1999); Gerwin Stinziano Securities in Thousand Oaks, California (1994-1997); and Travco Financial Group in Westlake Village, California (1993-1994). He is currently not registered with any state or firm. Continue Reading

Charles CobbPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 24, 2016 indicate that Virginia-based Financial West Group broker Charles Cobb has been suspended by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cobb (CRD# 1505020).

Charles Cobb has spent 29 years in the securities industry and has been registered with Financial West Group in Lynchburg, Virginia since 2013. Previous registrations include Allied Beacon Partners, which has since been expelled by FINRA, in Lynchburg, Virginia; Madison Avenue Securities in Lynchburg, Virginia; LM Kohn & Company in Cincinnati, Ohio; Park Avenue Securities in New York, New York; Guardian Investors Securities in New York, New York; and New England Securities in New York, New York. He is a registered broker with six US states: Florida, Illinois, New Jersey, New York, North Carolina, and Virginia. Continue Reading