Articles Tagged with Mutual funds

Jim SeolPublic records published by the Financial Industry Regulatory Authority (FINRA) on June 28, 2016 indicate that former California-based Ameriprise broker Jim Seol has been named in a pending FINRA complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Seol (CRD# 2876279).

Jim Seol has spent 16 years in the securities industry and was most recently registered with Ameriprise Financial Services in Irvine, California (1997-2014). He was previously registered with IDS Life Insurance in Minneapolis, Minnesota (1997-2006). He is currently not registered with any state or firm. Continue Reading

Curtis PilsonThe securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Virginia-based Cetera Advisors broker/adviser Curtis Pilson (CRD# 1853722).

Curtis Pilson has spent 27 years in the securities industry and has been registered with Cetera Advisors in Collinsville, Virginia since 1999. Previous registrations include American Express Financial Advisors in Minneapolis, Minnesota (1988-1999) and IDS Life Insurance Company in Minneapolis, Minnesota (1988-1999). He is a registered broker and investment adviser in eighteen US states and territories. Continue Reading

Drew Johnson

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Minnesota-based Sagepoint Financial broker Drew Johnson (CRD# 2449525).

Drew Johnson has spent 21 years in the securities industry and has been registered with Sagepoint Financial in Coon Rapids, Minnesota since 2012. Previous registrations include Girard Securities in Coon Rapids, Minnesota (2010-2012); Sammons Securities Company in Coon Rapids, Minnesota (2002-2010); Walnut Stret Securities in El Segundo, California (1997-2002); and Franklin Financial Services Corporation in Houston, Texas (1994-1997). He is a registered broker and investment adviser with eleven US states and territories: Arizona, California, Colorado, Florida, Iowa, Minnesota, North Dakota, South Dakota, Utah, Washington, and Wisconsin. Continue Reading

Vincent CamardaThe securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding New York and Connecticut-based American Portfolios Financial Services broker Vincent Camarda (CRD# 2463703).

Vincent Camarda has spent 21 years in the securities industry and has been registered with American Portfolios in Massapequa, New York and Southington, Connecticut since 2014. Previous registrations include LPL Financial in Massapequa, New York (2009-2014); Sagepoint Financial in Massapequa, New York (2005-2009); SunAmerica Securities in Phoenix, Arizona (2005); American Express Financial Advisors in Minneapolis, Minnesota (1994-2005); and IDS Life Insurance Company in Minneapolis, Minnesota (1994-2005). He is a registered broker with 25 US states and territories. Continue Reading

Richard AlterThe securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Florida-based Securities America broker/adviser Richard Alter (CRD# 2027054).

Richard Alter has spent 25 years in the securities industry and has been registered with Securities America in Boca Raton, Florida since 2000. Previous registrations include Lincoln National Financial Advisors in Fort Wayne, Indiana (1990-2000) and the Lincoln National Life Insurance Company in Fort Wayne, Indiana (1990-2000). He is a registered broker and investment adviser in 26 US states and territories. Continue Reading

iStock_000008431693Medium-300x200According to records provided by the Financial Industry Regulatory Authority (FINRA), New York-based brokerage firm American Portfolios Investment Services has been sanctioned for alleged unsuitable mutual fund switching. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against American Portfolios Investment Services (CRD# 18487).

According to FINRA, two of American Portfolios Investment Services’ registered representatives recommended 78 unsuitable mutual fund switches in 15 customer accounts, causing their clients to received approximately $91,000 in “unnecessary sales charges,” violating NASD Conduct Rule 2310 and FINRA Rules 2111 and 2010.  Continue Reading

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Michigan-based Sagepoint broker/adviser Kevin Fifield (CRD# 1627832).

Kevin Fifield has spent 25 years in the securities industry and has been registered with Sagepoint Financial in Byron Center, Michigan since 2012. Previous registrations include Securities America in Byron Center (2007-2012); Brookstreet Securities in Byron Center (2003-2007); Linsco/Private Ledger Corporation in Boston, Massachusetts (2001-2003); MML Investors Services in Springfield, Massachusetts (1998-2001); and Foresters Equity Services in San Diego, California (1990-1998). He is a registered broker and investment adviser in Arizona, California, Michigan, and Oklahoma. Continue Reading

Evelio Valdez The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Florida-based VSR broker Evelio Valdez Jr. (CRD# 702239).

Evelio Valdez has spent 31 years in the securities industry and has been registered with VSR Financial Services in Tampa, Florida since 2002. Previous registrations include Empire Financial Group in Longwood, Florida (2001-2002); Centennial Capital Management in Atlanta, Georgia (1996-2001); Buckhead Financial Corporation (1989-1996); Berachah Securities Corporation (1987-1988); Protective Equity Services (1985-1987); and Suncan Equity Services Company (1979-1981). Two of his former employers, Empire Financial Group and Berachah Securities Corporation, have since been expelled by the Financial Industry Regulatory Authority (FINRA). Mr. Valdez is a registered broker in nine US states: Alabama, Arizona, California, Florida, Georgia, Illinois, New Jersey, North Carolina, and South Carolina. Continue Reading

Steven BecherThe securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Washington-based Wells Fargo broker/adviser Steven Becher (CRD# 2797889).

Steven Becher has spent eighteen years in the securities industry and has been registered with Wells Fargo Advisors in Kirkland and Bellevue, Washinton since 2011. Previous registrations include Chase Investment Services in Bellevue, Washington (2009-2011); Wamu Investments in Redmond, Washington (2009); Merrill Lynch in Bellevue, Washington (2001-2009); Edward Jones in St. Louis, Missouri (1998-2001); John Hancock Distributors in Boston, Massachusetts (1996-1997); and John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1996-1997). He is a registered broker and investment adviser in nine US states: Arizona, California, Colorado, Idaho, Louisiana, Oregon, Pennsylvania, Washington, and Wyoming. Continue Reading