Articles Tagged with resigned

Joe Henehan (CRD#: 1344245), a former broker with Hornor, Townsend & Kent, LLC (CRD#: 4031) in San Bernardino, California, has been permitted to resign from the firm after the company informed him he would be terminated, according to his BrokerCheck record accessed on March 10, 2020.

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What happened to lead to Joe Henehan’s resignation? His firm found that he failed to inform the firm of his tax liens, thereby violating firm policy and securities regulations. The firm told Joe Henehan that he would be terminated, so he resigned.

Indeed, Joe Henehan’s BrokerCheck record lists 11 tax liens, starting in 2009, when he became subject to a tax lien of $29,573. Here are his other listed liens:

John FurkiotiPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 14, 2016 indicate that former Michigan-based First American Securities broker John Furkioti has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Furkioti (CRD# 5005622).

John Furkioti has spent nine years in the securities industry and was most recently registered with First American Securities in Livonia, Michigan (2013-2016). Previous registrations include W.R. Rice Financial Services, which has since been expelled by FINRA, in Bay City, Michigan, and UBS Financial Services in Farmington Hills, Michigan. He is currently not registered with any state or firm. Continue Reading

James RudwallPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 28, 2016 indicate that former Illinois-based UBS and Morgan Stanley broker James Rudwall 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 speaking to investors who have complaints regarding Mr. Rudwall (CRD# 1070818).

James Rudwall has spent 33 years in the securities industry and was most recently registered with Morgan Stanley in Chicago, Illinois (2016). He was previously registered with UBS Financial Services in Chicago, Illinois (2008-2016) and Merrill Lynch in Chicago, Illinois (1982-2008). He is currently not registered with any state or firm. Continue Reading

Roger ProctorPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 22, 2016 indicate that Michigan-based Hantz Financial Services broker/adviser Roger Proctor is the subject of a denied customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Proctor (CRD# 1094858).

Roger Proctor has spent 32 years in the securities industry and has been registered with Hantz Financial Services in Tecumseh, Michigan since 1999. Previous registrations include Hantz Financial Services (1999); Vestax Securities Corporation in Hudson, Ohio (1997-1999); American Express Financial Advisors in Minneapolis, Minnesota (1983-1997); and IDS Financial Services (1983-1986). He is a registered broker and investment adviser in 13 US states and territories: Arizona, Colorado, Florida, Illinois, Indiana, Iowa, Michigan, Nevada, New Hampshire, North Carolina, Ohio, Tennessee, and Wisconsin. Continue Reading

Kazia BekinsPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 20, 2016 indicate that former Florida-based JP Morgan Securities broker Kazia Bekins is 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 Ms. Bekins (CRD# 4894814).

Kazia Bekins has spent eight years in the securities industry and was most recently registered with JP Morgan Securities in Boynton Beach, Florida (2012-2013). Previous registrations include Chase Investment Services Corporation in Boynton Beach, Florida (2010-2012); LPL Financial Corporation in Deerfield Beach, Florida (2009-2010); ING Financial Partners in Boca Raton, Florida (2006-2009); Ameriprise Financial Services in Boca Raton, Florida (2005-2006); and IDS Life Insurance Company in Minneapolis, Minnesota (2005-2006). She is currently not registered with any state or firm, nor licensed to act as a broker or an investment adviser. Continue Reading