Articles Tagged with Hornor Townsend & Kent

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Benjamin ChappellPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 11, 2018 indicate that former Utah-based Hornor Townsend & Kent broker/adviser Benjamin Chappell, who has received resolved or pending customer disputes, was 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 speaking to investors who have complaints regarding Mr. Chappell (CRD# 6121960).

Benjamin Chappell has spent five years in the securities industry and was registered with Hornor Townsend & Kent in Salt Lake City, Utah from 2012 until 2018. He has no previous registrations. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 6, 2017; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 3, 2012; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 27, 2012. He is currently not registered with any state or firm.

According to his BrokerCheck report, Benjamin Chappell has received one customer complaint and one pending customer complaint, and he was discharged from his former employer in connection to alleged rule violations.

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Anthony DiBernardoPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 1, 2017 indicate that former New York-based Hornor Townsend & Kent broker/adviser Anthony DiBernardo was discharged from a 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. DiBernardo (CRD# 723410).

Anthony DiBernardo has spent 36 years in the securities industry and was most recently registered with Hornor Townsend & Kent in Melville, New York (2014-2017). Previous registrations include Princor Financial Services in Melville, New York; MetLife Securities in Melville, New York; Metropolitan Life Insurance Company in Melville, New York; Signator Investors in Boston, Massachusetts; and John Hancock Mutual Life Insurance Company in Boston, Massachusetts. He has passed three securities industry examinations: Series 7 (General Securities Representative Examination); Series 22 (Direct Participation Programs Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is currently not affiliated with any broker-dealer firm.

According to his BrokerCheck report, he has received two customer complaints and was terminated from a former employer.

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Brad MyersPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 9, 2017 indicate that Utah-based National Planning Corporation broker/adviser Brad Myers has been the subject of a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Myers (CRD# 4171462).

Brad Myers has spent sixteen years in the securities industry and has been registered with National Planning Corporation in South Jordan, Utah since 2008. Previous registrations include Hornor Townsend & Kent in Salt Lake City, Utah (2003-2008) and Princor Financial Services in Des Moines, Iowa (2000-2003). He has passed five securities industry examinations: Series 24 (General Securities Principal Examination); Series 6 (Investment Company Products/Variable Contracts Representative Examination); Series 7 (General Securities Representative Examination); 65 (Uniform Investment Adviser Law Examination); and Series 63 (Uniform Securities Agent State Law Examination). He is a registered broker and investment adviser with eleven US states and territories: aAlaska, Arizona, California, Colorado, Idaho, Indiana, Montana, Nevada, New Mexico, Oregon and Utah.

According to his BrokerCheck report, Brad Myers has received one customer complaint and four denied customer complaints.

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Clay EricksonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on November 16, 2016 indicate that former Utah-based Hornor Townsend & Kent broker Clay Erickson, also known as Clay Elder, is currently not affiliated with any broker-dealer firm. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Erickson (CRD# 1583644).

Clay Erickson has spent 25 years in the securities industry and was most recently registered with Hornor Townsend & Kent in Salt Lake City, Utah (2011-2016). Previous registrations include Equity Services in Salt Lake City, Utah; 1717 Capital Management Company in Newark, Delaware; WS Griffith & Company in Hartford, Connecticut; Secura Investments in Appleton, Wisconsin; and Phoenix Equity Planning in Hartford, Connecticut. He is currently not registered with any state or firm.

According to his BrokerCheck report, Clay Erickson has received two customer complaints and one regulatory sanction, and was terminated from Hornor Townsend & Kent.

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Fernando PohinaPublic records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that Washington-based Hornor Townsend & Kent broker/adviser Fernando Pohina has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pohina (CRD# 5624328).

Fernando Pohina has spent six years in the securities industry and has been registered with Hornor Townsend & Kent in Bellevue, Washington since March 2015. Previous registrations include Pruco Securities in Bellevue, Washington (2013-2014) and AXA Advisors in Bellevue, Washington (2009-2013). He is a registered broker and investment adviser with four US states: California, Colorado, Texas, and Washington. Continue reading →