Articles Tagged with Janney Montgomery Scott

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William Harvey

Public records published by the Financial Industry Regulatory Authority (FINRA) on April 23, 2018 indicate that Pennsylvania-based Janney Montgomery Scott broker/adviser William Harvey has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Harvey (CRD# 2398782).

William Harvey has spent 24 years in the securities industry and has been registered with Janney Montgomery Scott in Doylestown, Pennsylvania since 2002. Previous registrations include Legg Mason Wood Walker in Baltimore, Maryland (1994-2002) and LC Wegard & Company in New York, New York (1994). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 12, 1994, and Series 7 (General Securities Representative Examination), which he obtained on December 18, 1993. He is a registered broker and investment adviser with 32 US states and territories: Arizona, Arkansas, California, Colorado, Connecticut, Delaware, the District of Columbia, Florida, Georgia, Indiana, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.

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

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Jodie LaMarrePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 8, 2018 indicate that former Florida-based Janney Montgomery Scott broker/adviser Jodie LaMarre has been named in a FINRA investigation into 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 Ms. LaMarre (CRD# 2127928).

Jodie LaMarre has spent 25 years in the securities industry and was most recently registered with Janney Montgomery Scott in Sarasota, Florida (2015-2017). Previous registrations include Robert W. Baird & Company in Sarasota, Florida (2008-2015); Wachovia Securities in Sarasota, Florida (2003-2008); Prudential Securities in New York, New York (1997-2003); AG Edwards & Sons in St. Louis, Missouri (1992-1997); and Merrill Lynch in New York, New York (1991-1992). She has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on August 19, 1997; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on April 27, 1992; and Series 7 (General Securities Representative Examination), which she obtained on December 9, 1991. She is currently not registered with any state or firm.

According to her BrokerCheck report, she has received two customer complaints and was recently named in a FINRA investigation into alleged rule violations.

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Jack Griffith

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 8, 2018 indicate that South Carolina-based Janney Montgomery Scott broker/adviser Jack Griffith has received several resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Griffith (CRD# 1446978).

Jack Griffith has spent 31 years in the securities industry and has been registered with Janney Montgomery Scott in Columbia, South Carolina since 2014. Previous registrations include Ameriprise Financial Services in Columbia, South Carolina (2007-2014); AG Edwards & Sons in Sumter, South Carolina (2004-2007); Legg Mason Wood Walker in Baltimore, Maryland (1998-2004); Prudential Securities in New York, New York (1995-1998); and Merrill Lynch in New York, New York (1986-1995). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 4, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 1, 1986; Series 3 (National Commodity Futures Examination), which he obtained on October 17, 1997; Series 7 (General Securities Representative Examination), which he obtained on January 18, 1986; Series 24 (General Securities Principal Examination), which he obtained on November 18, 2009; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on April 17, 1996. He is a registered broker and investment adviser with 15 US states and territories: Arizona, California, the District of Columbia, Florida, Georgia, Mississippi, Nevada, New York, North Carolina, Ohio, Oregon, Rhode Island, South Carolina, Texas, and Washington.

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

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John Carl

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 7, 2017 indicate that New York-based Janney Montgomery Scott broker/adviser John Carl has been named respondent in a FINRA investigation into alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Carl (CRD# 2905059).

John Carl has spent twenty years in the securities industry and has been registered with Janney Montgomery Scott in Saratoga Springs, New York since 2015. Previous registrations include Morgan Stanley in Saratoga Springs, New York (2009-2015); Morgan Stanley & Company in Saratoga Springs, New York (2009); Wachovia Securities in Latham, New York (2003-2009); Prudential Securities in New York, New York (2000-2003); and Salomon Smith Barney in New York, New York (1997-2000). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 8, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 25, 1997; Series 31 (Futures Managed Funds Examination), which he obtained on January 12, 2010; and Series 7 (General Securities Representative Examination), which he obtained on August 11, 1997. He is a registered broker and investment adviser with 18 US states and territories: California, Colorado, Connecticut, Florida, Georgia, Illinois, Maryland, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, South Carolina, Texas and Vermont. He is registered with three self-regulatory organizations (SROs): FINRA, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, John Carl has been named in a FINRA investigation into alleged rule violations.

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Christopher Sinkula

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 22, 2017 indicate that Florida-based Janney Montgomery Scott broker/adviser Christopher Sinkula has been involved in several resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sinkula (CRD# 2001512).

Christopher Sinkula has spent 28 years in the securities industry and has been registered with Janney Montgomery Scott in Stuart, Florida since 2008. Previous registrations include Citigroup Global Markets in Stuart, Florida (1999-2008); AG Edwards & Sons in St. Louis, Missouri (1990-1999); and Blinder Robinson & Company (1989-1990. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 20, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 26, 1989; Series 31 (Futures Managed Funds Examination), which he obtained on December 16, 2001; and Series 7 (General Securities Representative Examination), which he obtained on November 18, 1989. He is a registered broker and investment adviser with 23 US states and territories and three self-regulatory organizations (SROs): FINRA, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received two customer complaints, two pending customer complaints and four customer complaints that were closed or denied.

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Christopher SinkulaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 18, 2017 indicate that Florida-based Janney Montgomery Scott broker/adviser Christopher Sinkula has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sinkula (CRD# 2001512).

Christopher Sinkula has spent 27 years in the securities industry and has been registered with Janney Montgomery Scott in Stuart, Florida since 2008. Previous registrations include Citigroup Global Markets in Stuart, Florida; AG Edwards & Sons in St. Louis, Missouri; and Blinder Robinson & Company. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 31 (Futures Managed Funds Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 23 US states and territories: California, Colorado, Connecticut, Florida, Georgia, Illinois, Indiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Virginia and West Virginia.

According to his BrokerCheck report, he has received two customer complaints.

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Nadav BaumPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 25, 2017 indicate that Pennsylvania-based Janney Montgomery Scott broker/adviser Nadav Baum has been the subject of customer disputes and regulatory sanctions. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Baum (CRD# 1484811).

Nadav Baum has spent 31 years in the securities industry and has been registered with Janney Montgomery Scott in Pittsburgh, Pennsylvania since May 2016. Previous registrations include BPU Investment Management in Pittsburgh, Pennsylvania; Citigroup Global Markets in Pittsburgh, Pennsylvania; Lehman Brothers in New York, New York; and EF Hutton & Company. He is a registered broker and investment adviser with 22 US states and territories.

According to his BrokerCheck report, he has received two regulatory sanctions and ten customer complaints.

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David SeigermanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 7, 2016 indicate that former New Jersey-based Janney Montgomery Scott broker David Seigerman has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Seigerman (CRD# 2200011).

David Seigerman has spent twenty years in the securities industry and was most recently registered with Janney Montgomery Scott in Bedminster, New Jersey (2013-2016). Previous registrations include Morgan Stanley in Florham Park, New Jersey; Citigroup Global Markets in Florham Park, New Jersey; Morgan Stanley DW in Miami, Florida; and Jefferson-Pilot Securities in Fort Wayne, Indiana. He is currently not registered with any state or firm.

According to his BrokerCheck report, David Seigerman has received two FINRA sanctions, one customer complaint, and one pending customer complaint.

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Barbara KenersonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that Rhode Island-based Janney Montgomery Scott broker/adviser Barbara Kenerson has been named in a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Kenerson (CRD# 1060984).

Barbara Kenerson has spent 33 years in the securities industry and has been registered with Janney Montgomery Scott in Providence, Rhode Island since 1999. Previous registrations include PaineWebber in Weehawken, New Jersey (1990-1999) and Tucker Anthony in Boston, Massachusetts (1982-1990). She is a registered broker and investment adviser with 18 US states and territories: Alabama, Arkansas, California, Connecticut, Florida, Georgia, Indiana, Kentucky, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, Rhode Island, South Carolina, Texas, and West Virginia. Continue reading →

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Charles JenkinsPublic records published by the Financial Industry Regulatory Authority (FINRA) on July 6, 2016 indicate that Maryland-based Lombard Securities broker/adviser Charles Jenkins was discharged from his previous employer. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Jenkins (CRD# 3182100).

Charles Jenkins has spent 17 years in the securities industry and has been registered with Lombard Securities in Baltimore, Maryland since February, 2016. Previous registrations include Janney Montgomery Scott in Pittsburgh, Pennsylvania (2013-2016); PNC Investments in Pittsburgh, Pennsylvania (2004-2013); and Merrill Lynch in New York, New York (1999-2004). He is a registered broker and investment adviser with three US states: Maryland, Pennsylvania, and Virginia. Continue reading →