Articles Tagged with tax liens

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:

 Jeffrey CoburnPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 11, 2016 indicate that former Illinois-based Arete Wealth Management broker Jeffrey Coburn 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. Coburn (CRD# 6192783).

Jeffrey Coburn has spent two years in the securities industry and was most recently registered with Arete Wealth Management in Chicago, Illinois (4/2016-7/2016). Previous registrations include William Blair in Chicago, Illinois (2014-2015) and TJM Investments in Chicago, Illinois (2013-2014). He is currently not registered with any state or firm. Continue Reading

Ricardo Sanchez Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 8, 2016 indicate that Florida-based PFS Investments broker Ricardo Sanchez has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sanchez (CRD# 2341541).

Ricardo Sanchez has spent 3 years in the securities industry and has been registered with PFS Investments in Miami, Florida since 2000. Previous registrations include WM Financial Services in Irvine, California; Nationsbanc Investments in Boston, Massachusetts; Nations Securities; First Union Brokerage Services in Charlotte, North Carolina; Great Western Financial Securities in Northridge, California; and GKN Securities in New York, New York. He is a registered broker in Florida, Illinois, and New York. Continue Reading

Mark WesleyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that former Ohio-based Ameriprise broker Mark Wesley 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. Wesley (CRD# 2511569).

Mark Wesley has spent 21 years in the securities industry and was most recently registered with Ameriprise Financial Services in Independence, Ohio (1994-2016). He was previously registered with IDS Life Insurance in Minneapolis, Minnesota (1994-2006). He is currently not registered with any state or firm. Continue Reading

John CullenPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that New York-based Spartan Capital Securities broker John Cullen has received resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cullen (CRD# 5062835).

John Cullen has spent 10 years in the securities industry and has been registered with Spartan Capital Securities in Garden City, New York since 2013. Previous registrations include Andrew Garrett in Floral Park, New Jersey; the Concord Equity Group in Iselin, New Jersey; New Castle Financial Services, which has since been expelled by FINRA, in Melville, New York; and Benson York Group, which has since been expelled by FINRA, in Melville, New York. He is a registered broker and investment adviser with 24 US states and territories. Continue Reading

Tuan PhanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that New York-based National Securities broker Tuan Phan, also known as Peter Phan, has received a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Phan (CRD# 4179988).

Tuan Phan has spent 15 years in the securities industry and has been registered with National Securities Corporation in New York, New York since 2001. Previous registrations include Roan-Meyers Associates in New York, New York (2001) and JW Barclay & Company in Woodbridge, New Jersey (2000-2001). He is a registered broker and investment adviser with 37 US states and territories. Continue Reading

William CarltonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 15, 2016 indicate that Virginia-based UBS broker/adviser William Carlton has been the subject of resolved and pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Carlton (CRD# 1132967).

William Carlton has spent 33 yelienars in the securities industry and has been registered with UBS Financial Services in Vienna, Virginia since 2007. Previous registrations include Citigroup Global Markets in McLean, Virginia (1993-2007); Lehman Brothers in New York, New York (1991-1993); Dean Witter Reynolds, New York (1989-1991); Wheat First Securities (1984-1987); and San Diego Securities (1983-1984). He is a registered broker and investment adviser with 20 US states and territories: California, Colorado, Delaware, the District of Columbia, Florida, Georgia, Kansas, Maryland, Massachusetts, Michigan, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Texas, Utah, and Virginia. Continue Reading

Douglas SolinskiPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that New York-based Newbridge Securities broker Douglas Solinski, also known as Douglas Blake, has been named in a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Solinski (CRD# 4715268).

Douglas Solinski has spent 12 years in the securities industry and has been registered with Newbridge Securities in New York, New York since 2008. Previous registrations include Investors Capital in Harrison, New York (2007-2008); JP Turner & Company in New York, New York (2003-2007); and E1 Asset Management in Jersey City, New Jersey (2004). He is a registered broker in 16 US states and territories: California, Connecticut, Florida, Louisiana, Maryland, Massachusetts, Minnesota, Nevada, New Jersey, New York, Oklahoma, Pennsylvania, South Carolina, Texas, Virginia, and Wisconsin. Continue Reading

Fernando PohinaPublic records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that Washington-based Hornor Townsend & Kent broker/adviser Fernando Pohina has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pohina (CRD# 5624328).

Fernando Pohina has spent six years in the securities industry and has been registered with Hornor Townsend & Kent in Bellevue, Washington since March 2015. Previous registrations include Pruco Securities in Bellevue, Washington (2013-2014) and AXA Advisors in Bellevue, Washington (2009-2013). He is a registered broker and investment adviser with four US states: California, Colorado, Texas, and Washington. Continue Reading

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