Articles Tagged with Spencer Edwards

Richard Seefried

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 9, 2018 indicate that former Colorado-based Spencer Edwards broker Richard Seefried has been sanctioned by FINRA in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Seefried (CRD# 1062447).

Richard Seefried has spent 35 years in the securities industry and was most recently registered with Spencer Edwards in Centennial, Colorado (2013-2017). Previous registrations include GVC Capital in Spokane, Washington (2007-2013); Paulson Investment Company in Spokane, Washington (2002-2006); JP Turner & Company in Atlanta, Georgia (2002); Schneider Securities in Denver, Colorado (2001-2002); Global Capital Securities Corporation in Englewood, Colorado (1991-2001); RCL Northwest (1984-1991); Dean Witter Reynolds (1982-1984); and Dillon Securities (1982-1983). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 8, 1983; Series 7 (General Securities Representative Examination), which he obtained on May 15, 1982; and Series 24 (General Securities Principal Examination), which he obtained on April 7, 1990. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received regulatory sanctions and a customer complaint.

Joseph Lavigne

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 2, 2018 indicate that former Colorado-based Spencer Edwards broker Joseph Lavigne has been sanctioned by FINRA 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. Lavigne (CRD# 1914655).

Joseph Lavigne has spent 28 years in the securities industry and was most recently registered with Spencer Edwards in Centennial, Colorado (2013-2018). Previous registrations include GVC Capital in Greenwood Village, Colorado (2002-2013); Schneider Securities in Denver, Colorado (2000-2002); Global Capital Securities Corporation in Englewood, Colorado (1991-2000); and RCL Northwest (1989-1991). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 21, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 6, 1989; Series 55 (Limited Representative-Equity Trader Exam), which he obtained on June 29, 1999; Series 7 (General Securities Representative Examination), which he obtained on April 15, 1989; and Series 24 (General Securities Principal Examination), which he obtained on June 24, 1993. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was recently sanctioned by FINRA.

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