Articles Tagged with Selling Away

Dennis Mehringer Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that California-based Western International Securities broker/adviser Dennis Mehringer is the subject of a pending FINRA investigation. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mehringer (CRD# 722569).

Dennis Mehringer has spent 34 years in the securities industry and has been registered with Western International Securities in Pasadena, California since 2009. Previous registrations include First Allied Securities in Pasadena, California; FSC Securities in Atlanta, Georgia; Walnut Street Securities in El Segundo, California; Equico Securities in New York, New York; the Equitable Life Assurance Society of the United States in New York, New York; United Pacific Securities in Carlsbad, California; New England Securities in New York, New York; US Securities Clearing Corporation, which has since been expelled by FINRA, in San Diego, California; Guardian Investor Services Corporation; PML Securities; and NEL Equity Services Corporation. He is a registered broker and investment adviser with six US states and territories: California, Florida, Michigan, Montana, North Carolina, and Washington. Continue Reading

Charles CobbPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 24, 2016 indicate that Virginia-based Financial West Group broker Charles Cobb has been suspended by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cobb (CRD# 1505020).

Charles Cobb has spent 29 years in the securities industry and has been registered with Financial West Group in Lynchburg, Virginia since 2013. Previous registrations include Allied Beacon Partners, which has since been expelled by FINRA, in Lynchburg, Virginia; Madison Avenue Securities in Lynchburg, Virginia; LM Kohn & Company in Cincinnati, Ohio; Park Avenue Securities in New York, New York; Guardian Investors Securities in New York, New York; and New England Securities in New York, New York. He is a registered broker with six US states: Florida, Illinois, New Jersey, New York, North Carolina, and Virginia. Continue Reading

Dale CerbertPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2016 indicate that Florida-based FSC Securities broker/adviser Dale Cerbert has been the subject of customer complaints and regulatory sanctions. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Cerbert (CRD# 2986573).

Dale Cerbert has spent 18 years in the securities industry and has been registered with FSC Securities in The Villages, Florida since 2014. Previous registrations include Morgan Stanley in The Villages, Florida; National Planning in The Villages, Florida; Securities America in The Villages, Florida; National Planning in El Segundo, California; Securities America in La Vista, California; Conseco Securities in Carmel, Indiana; and Conseco Financial Services in Carmel, Indiana. He is a registered broker and investment adviser with 32 US states and territories. Continue Reading

Kevin LarsonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 3, 2016 indicate that Minnesota-based Cetera Investment Services broker/adviser Kevin Larson has received a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Larson (CRD# 3067781).

Kevin Larson has spent 17 years in the securities industry and has been registered with Cetera Investment Services in Saint Cloud, Minnesota since 2014. Previous registrations include Fintegra in Minneapolis, Minnesota (2007-2014); Thrivent Investment Management in Minneapolis, Minnesota (2002-2007); and Lutheran Brotherhood Securities in Minneapolis, Minnesota (1998-2002). He is a registered broker and investment adviser in Minnesota. Continue Reading

John McGinnisFormer California-based RBC broker John McGinnis 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. McGinnis (CRD# 1134105).

John McGinnis has spent 32 years in the securities industry and was most recently registered with RBC Capital Markets in Escondido, California (2008-2015). Previous registrations include Merrill Lynch in Escondido, California (1988-2008); EF Hutton & Company (1983-1988); and Merrill Lynch (1987-1988). He is currently not registered with any state or firm. Continue Reading

Erryn BarkettAccording to records provided by the Financial Industry Regulatory Authority (FINRA), Virginia and Texas-based LPL Financial broker/adviser Erryn Barkett has been named respondent in a complaint by the Virginia State Corporation Commission. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Barkett (CRD# 4102279).

Erryn Barkett has spent 15 years in the securities industry and has been registered with LPL Financial in Fincastle, Virginia and The Woodlands, Texas since 2013. Previous registrations include Next Financial Group in Fincastle, Virginia (2008-2013); NFP Securities in Fincastle, Virginia (2007-2008); and AXA Advisors in Fincastle, Virginia (2000-2007). He is a registered broker and investment adviser in 14 US states. Continue Reading

shutterstock_211701538The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Colorado-based Cetera broker/adviser Robert McCulley (CRD# 725980).

Robert McCulley has spent 31 years in the securities industry and has been registered with Cetera Advisors in Fort Collins, Colorado since 2014. Previous registrations include Next Financial Group in Fort Collins, Colorado (2008-2014); Synergy Investment Group in Fort Collins, Colorado (2004-2008); Main Street Securities in Hays, Kansas (2002-2004); Excalibur Financial Group in Fort Collins, Colorado (2001-2002); Royal Alliance Associates in New York, New York (1989-1998); Integrated Resources Equity Corporation (1988-1989); and EF Hutton & Company (1981-1988). He is a registered broker and investment adviser in nineteen US states. Continue Reading

juridical concept with hammer and lawbook, selective focus on metal part,toned f/x

According to records provided by the Financial Industry Regulatory Authority (FINRA), former North Carolina-based Calton & Associates broker Randy Burke has been permanently barred from the securities industry following allegations of selling away. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Burke (CRD# 2702441).

Randy Burke has spent nineteen years in the securities industry and was most recently registered with Calton & Associates in Hickory, North Carolina (2013-2015). Previous registrations include Capital Investment Group in Hickory (2011-2013); Synergy Investment Group in Ferguson, North Carolina (2002-2011); and Pruco Securities in Newark, New Jersey (1996-2001).

According to his BrokerCheck report, Randy Burke is the subject of one regulatory sanction, one customer complaint, and one pending customer complaint.

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