Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on November 28, 2016 indicate that Ohio-based investment adviser firm First American Securities has recently settled allegations of misconduct. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding First American Securities (CRD# 35841).
Formed in Minnesota in 2002, First American Securities is headquartered in Orrville, Ohio and is not currently registered with FINRA or any national securities exchange. Thomas Brenner is Chief Executive Officer; John Furkioti is Chief Compliance Officer; Jason Gettenberg is Financial Operations Principal; Joan Diane Foster Mathews is Compliance Officer.
According to the firm’s BrokerCheck report, First American Securities has received two regulatory sanctions.