Articles Tagged with Investment Professionals

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Investment Professionals, IncPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 12, 2017 indicate that Texas-based broker-dealer Investment Professionals, Inc. has been fined by the State of Massachusetts in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Investment Professionals (CRD# 30184).

Established in Texas in 1992, Investment Professionals is headquartered in San Antonio, Texas and registered as a brokerage and investment adviser firm with 53 US states and territories. Scott Barnes is Chairman of the Board; Richard Dullnig is Registered Options Principal; Jay McAnelly is President and Chief Executive Officer; Christine Walters is Financial Operations Principal and Chief Financial Officer; Brian Surovik is Chief Compliance Officer.

According to the firm’s BrokerCheck report, Investment Professionals was recently sanctioned by the State of Massachusetts.

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Brad Ashley

Public records provided by the Financial Industry Regulatory Authority (FINRA) on April 11, 2017 indicate that Texas-based BOK Financial Securities broker/adviser Brad Ashley has been the subject of a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ashley (CRD# 4356018).

Brad Ashley has spent sixteen years in the securities industry and has been registered with BOK Financial Securities in San Antonio, Texas since 2014. Previous registrations include Investment Professionals in Boerne, Texas (2006-2014) and Alliance Bernstein Investments in San Antonio, Texas (2001-2006). He has passed fur securities industry examinations: Series 7 (General Securities Representative Examination), Series 63 (Uniform Securities Agent State Law Examination), Series 6 (Investment Company Products/Variable Contracts Representative Examination), and Series 66 (Uniform Combined State Law Examination). He is a registered broker and investment adviser with seven US states and territories: Connecticut, Illinois, Kentucky, New Jersey, Texas, Utah and Virginia.

According to his BrokerCheck report, he has received one customer complaint and one denied customer complaint.