Articles Tagged with permitted to resign

Jordan MontgomeryPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Minnesota-based Northwestern Mutual Investment Services broker Jordan Montgomery has been named in a regulatory investigation. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Montgomery (CRD# 5788771).

Jordan Montgomery has spent five years in the securities industry and has been registered with Northwestern Mutual Investment Services in Mendota Heights, Minnesota since July 2015. He was previously registered with Northwestern Mutual Investment Services in Coralville, Iowa. He is a registered broker with five US states: Illinois, Iowa, Minnesota, North Dakota, and Texas. Continue Reading

Mark WesleyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that former Ohio-based Ameriprise broker Mark Wesley is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wesley (CRD# 2511569).

Mark Wesley has spent 21 years in the securities industry and was most recently registered with Ameriprise Financial Services in Independence, Ohio (1994-2016). He was previously registered with IDS Life Insurance in Minneapolis, Minnesota (1994-2006). He is currently not registered with any state or firm. Continue Reading

William FrascoPublic records provided by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that New York-based First Standard Financial Company broker William Frasco has been the subject of a criminal charge. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Frasco (CRD# 2111432).

William Frasco has spent 19 years in the securities industry and has been registered with First Standard Financial Company in Staten Island, New York since March 2016. Previous registrations include Legend Securities in New York, New York; GP Nurmenkari in New York, New York; JP Turner & Company in Brooklyn, New York; Wilmington Capital Securities in Garden City, New York; National Securities in Old Bridge, New Jersey, Joseph Stevens & Company in New York, New York; Benson York Group, which has since been expelled by FINRA, in Melville, New York; MH Meyerson & Company in Jersey City, New Jersey; Drake & Company in New York, New York; Ladenburg Thalmann & Company in New York, New York; AS Goldmen & Company in Red Bank, New Jersey; and First Hanover Securities in Staten Island, New York. He is a registered broker with New Jersey and New York. Continue Reading

Gary SpeicherPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 6, 2016 indicate that former Iowa-based Cambridge Investment Research broker Gary Speicher is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Speicher (CRD# 818104).

Gary Speicher has spent 34 years in the securities industry and was most recently registered with Cambridge Investment Research in Cedar Rapids, Iowa (2009-2016). Previous registrations include Sagepoint Financial in Cedar Rapids, Iowa (2008-2009); American General Securities in Cedar Rapids, Iowa (1997-2008); and USLife Equity Sales in New York, New York (1982-1997). He is currently not registered with any state or firm. Continue Reading

Austin DuttonPublic records published by the Financial Industry Regulatory Authority (FINRA) on July 6, 2016 indicate that Pennsylvania-based Newbridge Securities Corporation broker/adviser Austin Dutton Jr. has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Dutton (CRD# 2739167).

Austin Dutton has spent 19 years in the securities industry and has been registered with Newbridge Securities Corporation in Doylestown, Pennsylvania since 2007. Previous registrations include Boenning & Scattergood in Langhorne, Pennsylvania; Ferris Baker Watts in Baltimore, Maryland; AG Edward & Sons in St. Louis, Missouri; and Prudential Securities in New York, New York. He is a registered broker and investment adviser with ten US states and territories: California, Delaware, Florida, Maryland, New Jersey, New York, North Carolina, Pennsylvania, Texas and Utah. Continue Reading

Brandon GioffrePublic records provided by the Financial Industry Regulatory Authority (FINRA) on June 29, 2016 indicate that former New York-based Constellation broker Brandon Gioffre has been permanently barred from acting as a broker. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from customers who have complaints regarding Mr. Gioffre (CRD# 2854741).

Brandon Gioffre has spent 16 years in the securities industry and was most recently registered with Constellation Wealth Advisors in New York, New York (2014-2015). Previous registrations include Morgan Stanley in New York, New York (2009-2014); Morgan Stanley & Company in New York, New York (2008-2009); UBS Financial Services in New York, New York (2004-2008); and Citigroup Global Markets in New York, New York (1998-2004). He is currently not registered with any state or firm. Continue Reading

Douglas MillerPublic records published by the Financial Industry Regulatory Authority (FINRA) on May 30, 2016 indicate that former Ohio-based Triad Advisors broker/adviser Douglas Miller 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. Miller (CRD# 1946240).

Douglas Miller has spent 25 years in the securities industry and was most recently registered with Triad Advisors in Toledo, Ohio (2005-2014). Previous registrations include Walnut Street Securities in El Segundo, California; Royal Alliance Associates in New York, New York; and Integrated Resources Equity Corporation. He is currently not registered with any state or firm. Continue Reading