Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 17, 2018 indicate that former New York-based Securities America broker/adviser Hector May, who has received a pending customer dispute, was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. May (CRD# 323779).
Hector May has spent 44 years in the securities industry and was most recently registered with Securities America in New City, New York (1998-2018). Previous registrations include Securities America (1994-1998); Prime Capital Services in Poughkeepsie, New York (1992-1994); Equico Securities in New York, New York (1980-1992); and the Equitable Life Assurance Society of the United States in New York, New York (1973-1992). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 15, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 14, 1994; Series 1 (Registered Representative Examination), which he obtained on June 7, 1973; and Series 24 (General Securities Principal Examination), which he obtained on March 23, 1995. He is currently not registered with any state or firm.
According to his BrokerCheck report, Hector May has received one pending customer complaint, was named in a regulatory investigation, and was discharged from his former employer in connection to alleged rule violations.