Articles Tagged with International Assets Advisory

Jeb BashawPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that Texas-based International Assets Advisory broker/adviser Jeb Bashaw was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bashaw (CRD# 1251491).

Jeb Bashaw has spent 33 years in the securities industry and has been registered with International Assets Advisory in Houston, Texas since 2014. Previous registrations include Wunderlich Securities in Houston, Texas (2014); LPL Financial in Houston, Texas (2001-2014); UBS Painewebber in Weehawken, New Jersey (2000-2001); JC Bradford & Company in New York, New York (1998-2000); SunTrust Equitable Securities in Atlanta, Georgia (1994-1998); Augusta Securities Corporation in Houston, Texas (1991-1994); First America Equities Corporation (1990-1991); Thomas F. White & Company in San Francisco, California (1991); Kidder Peabody & Company (1986-1988); and Merrill Lynch (1984-1986). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 12, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 26, 1984; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on February 7, 2001; Series 7 (General Securities Representative Examination), which he obtained on June 16, 1984; Series 53 (Municipal Securities Principal Examination), which he obtained on March 13, 2006; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on May 30, 1997. He is a registered broker and investment adviser with four US states: Georgia, Maryland, Pennsylvania, and Texas.

According to his BrokerCheck report, he has received three customer complaints and one regulatory sanction.

Joan NortonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 18, 2018 indicate that Florida-based International Assets Advisory broker/adviser Joan Norton has received resolved or pending customer disputes and a regulatory sanction. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Norton (CRD# 1777913).

Joan Norton has spent 30 years in the securities industry and has been registered with International Assets Advisory in Orlando, Florida since 2016. Previous registrations include Ausdal Financial Partners in Woburn, Massachusetts (2009-2016); Waterstone Financial Group in Woburn, Massachusetts (2003-2009); FSC Securities Corporation in Atlanta, Georgia (2001-2003); and Waddell & Reed in Overland Park, Kansas (1987-2001). She has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on March 11, 1997; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on December 15, 1987; Series 7 (General Securities Representative Examination), which she obtained on June 3, 1997; Series 22 (Direct Participation Programs Representative Examination), which she obtained on August 2, 1988; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on December 10, 1987. She is a registered broker and investment adviser with ten US states: Connecticut, Florida, Massachusetts, Michigan, New Hampshire, New Jersey, New York, North Carolina, Rhode Island, and Virginia.

According to her BrokerCheck report, she has received one customer complaint, one pending regulatory complaint and one regulatory sanction.

John RoachPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 22, 2017 indicate that Florida-based International Assets Advisory broker/adviser John Roach was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Roach (CRD# 4226769).

John Roach has spent 16 years in the securities industry and has been registered with International Assets Advisory in Orlando, Florida since 2014. Previous registrations include CCO Investment Services in Beachwood, Ohio; Fifth Third Securities in Twinsburg, Ohio; and Charles Schwab & Company in San Francisco, California. He is a registered broker and investment adviser with six US states and territories: California, Florida, Georgia, North Carolina, Ohio and Texas.

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

Jason Likens

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2017 indicate that former Florida-based International Assets Advisory broker/adviser Jason Likens has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Likens (CRD# 4716661).

Jason Likens has spent 11 years in the securities industry and was most recently registered with International Assets Advisory in Orlando, Florida (2016-2017). Previous registrations include Oppenheimer & Company in Asheville, North Carolina; Stanford Group Company in Asheville, North Carolina; UBS Financial Services in Asheville, North Carolina; and Wachovia Securities in St. Louis, Missouri. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one FINRA sanction and one customer complaint, and was terminated from two former employers.

Michael SpolarPublic records published by the Financial Industry Regulatory Authority (FINRA) on July 18, 2018 indicate that Florida-based International Assets Advisory broker/adviser Michael Spolar has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Spolar (CRD# 2192992).

Michael Spolar has spent 25 years in the securities industry and has been registered with International Assets Advisory in Orlando, Florida since April 2015. Previous registrations include LPL Financial in Beachwood, Ohio; Morgan Stanley in Pepper Pike, Ohio; Morgan Stanley & Company in Beachwood, Ohio; Merrill Lynch in Pepper Pike, Ohio; Citigroup Global Markets in New York, New York; and Lehman Brothers in New York, New York. He is a registered broker and investment adviser with ten US states: Florida, Idaho, Indiana, Massachusetts, Missouri, North Carolina, Ohio, Pennsylvania, Texas, and Wisconsin.

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

Randyl TaberPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 29, 2017 indicate that former Florida-based International Assets Advisory broker/adviser Randyl Taber was terminated from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Taber (CRD# 1399854).

Randyl Taber has spent 31 years in the securities industry and has been registred with International Assets Advisory in Orlando, Florida since June 2017. Previous registrations include Ameriprise Financial Services in West Des Moines, Iowa; Wells Fargo Advisors in West Des Moines, Iowa; AG Edwards & Sons in West Des Moines, Iowa; Anchor National Financial Services; and Edward D. Jones & Company. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with seven US states and territories: California, Colorado, Florida, Iowa, Minnesota, Wisconsin and Wyoming.

According to his BrokerCheck report, Randyl Taber was terminated from his former employer and has received two closed or denied customer complaints.

Edward McFarlanePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 28, 2017 indicate that Florida-based International Assets Advisory broker/adviser Edward McFarlane has been sanctioned by FINRA. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. McFarlane (CRD# 2492335).

Edward McFarlane has spent 18 years in the securities industry and has been registered with International Assets Advisory in Orlando, Florida since February 2017. Previous registrations include Oppenheimer & Company in Jenkintown, Pennsylvania; Wachovia Securities in Horsham, Pennsylvania; AG Edwards & Sons in Horsham, Pennsylvania; Edward Jones in Abington, Pennsylvania; Deutsche Bank Securities in New York, New York; ICC Distributors in Portland, Maine; PBHG Fund Distributors in Boston, Massachusetts; and SEI Investments in Oaks, Pennsylvania. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is a registered broker and investment adviser with four US states: Maryland, New Jersey, New York, and Pennsylvania.

According to his BrokerCheck report, Edward McFarlane has been sanctioned by FINRA and was discharged from his former employer.

John BodnarPublic records published by the Financial Industry Regulatory Authority (FINRA) on March 23, 2017 indicate that Florida-based International Assets Advisory broker/adviser John Bodnar has received several customer complaints and was recently discharged from a former employer. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bodnar (CRD# 714669).

John Bodnar has spent 36 years in the securities industry and has been registered with International Assets Advisory in Orlando, Florida since February, 2017. Previous registrations include Merrill Lynch in Burlington, Vermont; UBS Financial Services in South Burlington, Vermont; Dean Witter Reynolds in Purchase, New York; Merrill Lynch; and Mosely Hallgarten Estabrook & Weeden. He is a registered broker and investment adviser with the state of Pennsylvania.

According to his BrokerCheck report, John Bodnar has received two customer complaints and was discharged from his former employer.

Greg LongPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 21, 2017 indicate that Florida-based International Assets Advisory broker Greg Long has been named in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Long (CRD# 2049933).

Greg Long has spent eight years in the securities industry and has been registered with International Assets Advisory in Melbourne Beach, Florida since 2011. Previous registrations include Anderson & Strudwick in Orlando, Florida; JP Turner & Company in Orlando, Florida; Gunnallen Financial in Orlando, Florida; First Montauk Securities in Red Bank, New Jersey; Chelsea Street Securities, which has been expelled by FINRA; Biltmore Securities, which has been expelled by FINRA, in Fort LAuderdale, Florida; and the Stuart-James Company in Denver, Colorado. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 29 US states and territories.

According to his BrokerCheck report, Greg Long has received one pending customer complaint and one close customer complaint.

Bruce PlyerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 13, 2017 indicate that New Jersey-based International Assets Advisory broker Bruce Plyer has been the subject of customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Plyer (CRD# 1666324).

Bruce Plyer has spent 29 years in the securities industry and has been registered with International Assets Advisory in Morristown, Pennsylvania since December 2016. Previous registrations include Morgan Stanley in Florham Park, New Jersey (2009-2016); Citigroup Global Markets in Florham Park, New Jersey (1993-2000); and Lehman Brothers in New York, New York (1987-1993). He is a registered broker with the District of Columbia and Pennsylvania.

According to his BrokerCheck report, Bruce Plyer has received three customer complaints and was recently discharged from Morgan Stanley.