Articles Tagged with Sigma Financial Corporation

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Joel LagorePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 17, 2018 indicate that Michigan-based Sigma Financial Corporation broker/adviser Joel Lagore has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lagore (CRD# 4133514).

Joel Lagore has spent 17 years in the securities industry and has been registered with Sigma Financial Corporation in Flint and Livonia, Michigan since 2009. Previous registrations include Citigroup Global Markets in Flint, Michigan (2005-2009) and the Huntington Investment Company in Columbus, Ohio (2001-2005). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 15, 2003; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 17, 2001; Series 7 (General Securities Representative Examination), which he obtained on September 24, 2002; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 1, 2001. He is a registered broker and investment adviser with 30 US states and territories.

According to his BrokerCheck report, Joel Lagore has received one pending customer complaint.

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David White

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 7, 2018 indicate that Michigan-based Sigma Financial Corporation broker/adviser David White has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. White (CRD# 2316760).

David White has spent twenty-five years in the securities industry and has been registered with Sigma Financial Corporation in Allen Park, Michigan since 2004. Previous registrations include Intersecurities in St. Petersburg, Florida (1993-2004) and Sigma Financial Corporation in Ann Arbor, Michigan (2004). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on August 25, 2009; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 1, 1993; Series 7 (General Securities Representative Examination), which he obtained on June 1, 2001; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 1, 1993. He is a registered broker and investment adviser with eleven states and territories: Arizona, Florida, Georgia, Michigan, Missouri, Nebraska, Ohio, South Carolina, Utah, Virginia, and Wisconsin. He is registered with two self-regulatory organizations (SROs): FINRA and the Nasdaq Stock Market.

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

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Harvey Kaluzna

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 8, 2018 indicate that Illinois-based Sigma Financial Corporation broker/adviser Harvey Kaluzna has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kaluzna (CRD# 2073577).

Harvey Kaluzna has spent 27 in the securities industry and has been registered with Sigma Financial Corporation in Northbrook, Illinois since 2006. Previous registrations include FSC Securities Corporation in Northbrook, Illinois (2004-2006) and Securian Financial Services in St. Paul, Minnesota (1990-2004). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 12, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 18, 1990; Series 7 (General Securities Representative Examination), which he obtained on May 2, 2000; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 8, 1990. He is a registered broker and investment adviser with ten US states and territories: California, Florida, Illinois, Indiana, Nebraska, New York, Oklahoma, Texas, Virginia and Wisconsin. He is registered with two self-regulatory organizations (SROs): FINRA and the Nasdaq Stock Exchange.

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

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Sigma Financial Corp.Fitapelli Kurta has recently filed multiple complaints on behalf of investors against Sigma Financial and we are currently interested in hearing from other investors who have lost money investing through  Sigma Financial or one of its brokers.

Sigma Financial Corp. is classified as a corporation and was formed in Michigan in 1983. Sigma Financial’s current main office is located in Ann Arbor, Michigan. Sigma Financial Corp. is registered with both the SEC and FINRA and has offices and registered brokers in all fifty states.

Sigma Financial Corp. has a history of customer complaints and FINRA violations.