Articles Tagged with Securities America

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Joel Weber

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 17, 2018 indicate that former Minnesota-based Securities America broker Joel Weber has received customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Weber (CRD# 1717681).

Joel Weber has spent 30 years in the securities industry and has been registered with Securities America in Saint Cloud, Minnesota since October 2017. Previous registrations include SII Investments in Saint Cloud, Minnesota (2002-2017) and Franklin Financial Services Corporation in Houston, Texas (1987-2002). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 7, 1987; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 10, 1987; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on June 6, 2001. He is a registered broker with six US states: Arizona, Iowa, Minnesota, Oregon, Washington, and Wisconsin.

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

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Hector May

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 17, 2018 indicate that former New York-based Securities America broker/adviser Hector May, who has received a pending customer dispute, was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. May (CRD# 323779).

Hector May has spent 44 years in the securities industry and was most recently registered with Securities America in New City, New York (1998-2018). Previous registrations include Securities America (1994-1998); Prime Capital Services in Poughkeepsie, New York (1992-1994); Equico Securities in New York, New York (1980-1992); and the Equitable Life Assurance Society of the United States in New York, New York (1973-1992). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 15, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 14, 1994; Series 1 (Registered Representative Examination), which he obtained on June 7, 1973; and Series 24 (General Securities Principal Examination), which he obtained on March 23, 1995. He is currently not registered with any state or firm.

According to his BrokerCheck report, Hector May has received one pending customer complaint, was named in a regulatory investigation, and was discharged from his former employer in connection to alleged rule violations.

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Kevin PhillipsPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2018 indicate that Arizona-based Securities America broker/adviser Kevin Phillips is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Phillips (CRD# 1591468).

Kevin Phillips has spent 30 years in the securities industry and has been registered with Securities America in Phoenix, Arizona since February 2017. Previous registrations include JW Cole Financial in Phoenix, Arizona (2013-2017); Financial Advisors of America in Phoenix, Arizona (2010-2013); Woodbury Financial Services in Phoenix, Arizona (2007-2010); New England Securities in Phoenix, Arizona (2003-2007); New England Securities in New York, New York (2000-2003); 1717 Capital Management Company in Newark, Delaware (1997-2000); New England Securities in New York, New York (1991-1997); and MML investors Services in Springfield, Massachusetts (1988-1991). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 18, 2008; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 21, 1988; Series 7 (General Securities Representative Examination), which he obtained on November 24, 1999; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 15, 1988. He is a registered broker and investment adviser with 16 US states and territories: Arizona, California, Colorado, Florida, Georgia, Illinois, Iowa, Michigan, Minnesota, Montana, New Mexico, Oklahoma, Oregon, Pennsylvania, Texas, and Wisconsin.

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

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James KennedyPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 21, 2017 indicate that former Illinois-based Securities America broker/adviser James Kennedy has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kennedy (CRD# 858829).

James Kennedy has spent 36 years in the securities industry and was most recently registered with Securities America in Lemont, Illinois (2015-2017). Previous registrations include Saxony Securities in Chicago, Illinois (2003-2015); Associated Investment Services in Green Bay, Wisconsin (1995-2002); Associated Investment Services in Chicago, Illinois (1986-1994); Bear Stearns & Company (1982-1984); Lehman Brothers Kuhn Loeb (1979-1982); and Dean Witter Reynolds (1978-1979). He has passed six securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 28, 1979; Series 3 (National Commodity Futures Examination), which he obtained on January 31, 1983; Series 7 (General Securities Representative Examination), which he obtained on October 21, 1978; Series 27 (Financial and Operations Principal Examination), which he obtained on July 31, 1987; Series 4 (Registered Options Principal Examination), which he obtained on January 27, 1987; and Series 24 (General Securities Principal Examination), which he obtained on March 6, 1986. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and one FINRA sanction, and he was discharged from his former employer in connection to alleged rule violations.

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Frank DePaolaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 14, 2017 indicate that New Jersey-based Securities America and Lincoln Financial Securities Corporation broker/adviser Frank DePaola has been involved in a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. DePaola (CRD# 1253587).

Frank DePaola has spent 31 years in the securities industry and has been registered with Securities America in Iselin, New Jersey since December 2017, and with Lincoln Financial Securities Corporation in Pompton Plains, New Jersey since May 2017. Previous registrations include Hornor, Townsend & Kent in Edison, New Jersey (2002-2017); 1717 Capital Management in Newark, Delaware (1989-2002); Mony Securities Corporation (1986-1989); Calvert Securities Corporation (1985-1986); and Integrated Resources Equity Corporation (1985). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 26, 1994; Series 7 (General Securities Representative Examination), which he obtained on January 19, 1985; and Series 24 (General Securities Principal Examination), which he obtained on December 1, 1993. He is registered as a broker and an investment adviser in New Jersey.

According to his BrokerCheck report, he has received one customer complaint and one state regulatory sanction.

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Howard SlaterPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 20, 2017 indicate that Ohio-based Securities America broker/adviser Howard Slater has received several resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Slater (CRD# 2447823).

Howard Slater has spent 23 years in the securities industry and has been registered with Securities America in Mayfield Heights, Ohio since July 2013. Previous registrations include Lincoln Financial Advisors in Fort Wayne, Indiana and the Lincoln National Life Insurance Company (1994-2005). He is a registered broker and investment adviser with 20 US states and territories.

According to his BrokerCheck report, he has received 16 customer complaints, two regulatory sanctions, and one pending customer complaint.

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Stuart Horowitz
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 19, 2017 indicate that former Florida-based Securities America broker/adviser Stuart Horowitz has received several dozen resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Horowitz (CRD# 2795019).

Stuart Horowitz has spent nineteen years in the securities industry and was most recently registered with Securities America in Coral Gables, Florida (2009-2016). Previous registrations include NFP Securities in Coral Springs, Florida; Commonwealth Financial Network in Waltham, Massachusetts; Investacorp. in Miami, Florida; and Linsco/Private Ledger Corporation in Boston, Massachusetts. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received 33 customer complaints, five pending customer complaints, and one regulatory sanction.

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Andrew RosenbergPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 17, 2017 indicate that former Florida-based Securities America broker/adviser Andrew Rosenberg has been the subject of dozens of customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rosenberg (CRD# 2944124).

Andrew Rosenberg has spent fourteen years in the securities industry and was most recently registered with Securities America in Palm Beach, Gardens, Florida (2009-2012). Previous registrations include NFP Securities in Coral Springs, Florida; Commonwealth Financial Network in Waltham, Massachusetts; Investacorp in Miami, Florida; AXA Advisors in New York, New York; and the Equitable Life Assurance Society of the United States in New York, New York. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received 40 customer complaints.

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Bruce Barber

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 22, 2017 indicate that former Colorado-based Securities America broker/adviser Bruce Barber was recently terminated from a former employer. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Barber (CRD# 3095959).

Bruce Barber has spent eighteen years in the securities industry and was most recently registered with Securities America in Colorado Springs, Colorado (2000-2017). He was previously registered with Lincoln Investment Planning in Fort Washington, Pennsylvania (1998-2000). He is currently not registered with any state or firm.

According to his BrokerCheck report, he was recently terminated from a former employer in connection to alleged rule violations.

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Joseph StowellPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 30, 2016 indicate that Illinois-based Securities America broker Joseph Stowell has been the subject of resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Stowell (CRD# 852555).

Joseph Stowell has spent 38 years in the securities industry and has been registered with Securities America in Peoria Heights, Illinois since 2012. Previous registrations include Eagle One Investments in Peoria Heights, Illinois; Morgan Stanley DW in Peoria, Illinois; Wachovia Securities in St. Louis, Missouri; SII Investments in Appleton, Wisconsin; Investment Centers of America in Appleton, Wisconsin; Everen Securities in St. Louis, Missouri; Blunt Ellis & Loewi; Shearson Lehman Hutton; and Loeb Partners. He is a registered broker with twenty US states and territories.

According to his BrokerCheck report, Joseph Stowell has received one customer complaint and one pending customer complaint, and was terminated from one former employer.