Articles Tagged with FINRA investigation

Alex James (CRD#: 5630825), a former registered representative with Allstate Financial Services LLC (CRD#: 18272) in West Palm Beach, Florida, is currently being investigated by the Financial Industry Regulatory Authority (FINRA) for potentially undisclosed outside business activities, according to his BrokerCheck record accessed on March 16, 2020. 

Alex James
What happened to lead to this FINRA investigation? On March 6, 2020, FINRA recommended that disciplinary action be brought against Alex James for violating FINRA Rule 3270 and FINRA Rule 2010. FINRA Rule 3270 mandates that brokers receive written approval from their member firms before engaging in any outside business activities. FINRA alleges that Alex James did not do that, instead engaging in private securities activities totaling approximately $667,000. FINRA Rule 2010 mandates that brokers act in a professional manner, and FINRA alleges that Alex James violated Rule 2010 by allegedly providing false information to his firm on annual compliance questionnaires, stating that he reported all outside business activities when that was allegedly not true. 

The Detailed Report of Alex James’s BrokerCheck record lists four outside business activities:

Dennis Mehringer Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that California-based Western International Securities broker/adviser Dennis Mehringer is the subject of a pending FINRA investigation. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mehringer (CRD# 722569).

Dennis Mehringer has spent 34 years in the securities industry and has been registered with Western International Securities in Pasadena, California since 2009. Previous registrations include First Allied Securities in Pasadena, California; FSC Securities in Atlanta, Georgia; Walnut Street Securities in El Segundo, California; Equico Securities in New York, New York; the Equitable Life Assurance Society of the United States in New York, New York; United Pacific Securities in Carlsbad, California; New England Securities in New York, New York; US Securities Clearing Corporation, which has since been expelled by FINRA, in San Diego, California; Guardian Investor Services Corporation; PML Securities; and NEL Equity Services Corporation. He is a registered broker and investment adviser with six US states and territories: California, Florida, Michigan, Montana, North Carolina, and Washington. Continue Reading

Jordan MontgomeryPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Minnesota-based Northwestern Mutual Investment Services broker Jordan Montgomery has been named in a regulatory investigation. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Montgomery (CRD# 5788771).

Jordan Montgomery has spent five years in the securities industry and has been registered with Northwestern Mutual Investment Services in Mendota Heights, Minnesota since July 2015. He was previously registered with Northwestern Mutual Investment Services in Coralville, Iowa. He is a registered broker with five US states: Illinois, Iowa, Minnesota, North Dakota, and Texas. Continue Reading

Gary SpeicherPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 6, 2016 indicate that former Iowa-based Cambridge Investment Research broker Gary Speicher 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 hearing from investors who have complaints regarding Mr. Speicher (CRD# 818104).

Gary Speicher has spent 34 years in the securities industry and was most recently registered with Cambridge Investment Research in Cedar Rapids, Iowa (2009-2016). Previous registrations include Sagepoint Financial in Cedar Rapids, Iowa (2008-2009); American General Securities in Cedar Rapids, Iowa (1997-2008); and USLife Equity Sales in New York, New York (1982-1997). He is currently not registered with any state or firm. Continue Reading

Mark PfeifferPublic records published by the Financial Industry Regulatory Authority (FINRA) on July 5, 2016 indicate that New York-based FBN Securities broker Mark Pfeiffer is the subject of a FINRA investigation. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Pfeiffer (CRD# 4089566).

Mark Pfeiffer has spent 15 years in the securities industry and has been registered with FBN Securities in New York, New York since 2013. Previous registrations include Avian Securities in New York, New York (2002-2012) and Ladenburg Thalmann & Company in New York, New York (2000-2002). He is a registered broker with four US states: Colorado, Illinois, New York, and Pennsylvania. Continue Reading

David MillerPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 24, 2016 indicate that former Ohio-based Huntington Investment Company broker David Miller 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 customers who have complaints regarding Mr. Miller (CRD# 5461431).

David Miller has spent five years in the securities industry and was most recently registered with the Huntington Investment Company in Columbus, Ohio (2008-2013). He was previously registered with New England Securities in Columbus, Ohio (2008). He is currently not registered with any state or firm. Continue Reading

John CorsiPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 4, 2016 indicate that former Ohio-based Sterne Agee Financial Services broker John Corsi 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. Corsi (CRD# 1268728).

John Corsi has spent 22 years in the securities industry and was most recently registered with Sterne Agee Financial Services in Parma, Ohio (2014-2015). Previous registrations include WRP Investments in Parma, Ohio; WRP Investments in Youngstown, Ohio; Capital Analysts in Cincinnati, Ohio; H&R Block Financial Advisors in Detroit, Michigan; NEBS Financial Services in Cleveland, Ohio; Investacorp in Miami, Florida; WRP Investments in Youngstown, Ohio; and Intersecurities in St. Petersburg, Florida. He is currently not registered with any state or firm. Continue Reading

Kalomira ZangoulosMichigan-based Sagepoint Financial broker/adviser Kalomira Zangoulos is the subject of customer complaints and a FINRA investigation. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Zangoulos (CRD# 4451124).

Kalomira Zangoulos has spent fourteen years in the securities industry and has been registered with Sagepoint Financial in Sterling Heights, Michigan since January 2015. Previous registrations include JP Morgan Securities in Clinton Township, Michigan (2012-2014); Chase Investment Services in Clinton Township, Michigan (2005-2012); and Banc One Securities in Chicago, Illinois (2001-2005). She is a registered broker and investment adviser in California and Michigan. Continue Reading

Contact Information