Articles Tagged with variable annuity

George FarleyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 5, 2016 indicate that Florida-based Wells Fargo Advisors broker/adviser George Farley, also known as Chip Farley, 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. Farley (CRD# 5681576).

George Farley has spent six years in the securities industry and has been registered with Wells Fargo Advisors in Melbourne, Florida since 2014. Previous registrations include BB&T Investment Services in Melbourne, Florida (2012-2014) and Edward Jones in Winter Springs, Florida (2009-2012). He is a registered broker and investment adviser with 12 US states: Florida, Indiana, Kentucky, Maine, Maryland, Missouri, New York, North Carolina, Pennsylvania, Tennessee, Texas, and Wisconsin. Continue Reading

Eric SparlingPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 5, 2016 indicate that Ohio-based Investment Professionals broker/adviser Eric Sparling 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. Sparling (CRD# 2575062).

Eric Sparling has spent 20 years in the securities industry and has been registered with Investment Professionals in Marion, Ohio since March 2016. Previous registrations include JP Morgan Securities in Marion, Ohio; Chase Investment Services in Marion, Ohio; Fidelity Brokerage Services; Lincoln Financial Advisors in Fort Wayne, Indiana; the Lincoln National Life Insurance Company in Fort Wayne, Indiana; New England Securities in New York, New York; State Farm VP Corporation in Bloomington, Illinois; and Pruco Securities in Newark, New Jersey. He is a registered broker and investment adviser in Ohio. Continue Reading

Samuel Herbert Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Louisiana-based NYLife Securities broker/adviser Samuel Herbert has been the subject of numerous customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Herbert (CRD# 2679181).

Samuel Herbert has spent 20 years in the securities industry and has been registered with NYLife Securities in Lake Charles, Louisiana since 1995. He has no previous registrations. He is a registered broker and investment adviser with fourteen US states and territories: Alabama, Arizona, Arkansas, Louisiana, Maryland, Mississippi, New Jersey, New Mexico, New York, Oklahoma, Pennsylvania, South Dakota, Tennessee, and Texas. Continue Reading

Simon KopelPublicly-available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Florida-based Wells Fargo broker/adviser Simon Kopel has been the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Kopel (CRD# 1497729).

Simon Kopel has spent 30 years in the securities industry and has been registered with Wells Fargo Advisors in Fort Lauderdale, Florida since 2011. Previous registrations include Merrill Lynch in Miami, Florida (1994-2011) and Dean Witter Reynolds in Purchase, New York (1986-1994). He is a registered broker and investment adviser with seven US states and territories: Colorado, Florida, Illinois, New York, Oregon, Puerto Rico, and Virginia. Continue Reading

Alexis Intili Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that New York-based Allstate Financial Services broker Alexis Intili 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 Ms. Intili (CRD# 2925224).

Alexis Intili has spent 14 years in the securities industry and has been registered with Allstate Financial Services in Staten Island, New York since February 2015. Previous registrations include M&T Securities in Havertown, Pennsylvania; Santander Securities in Union, New Jersey; LPL Financial in Union, New Jersey; Wamu investments in Staten Island, New York; BNY Investment Center in New York, New York; Quick & Reilly in New York, New York; Merrill Lynch in New York, New York; Fred Alger & Company in New York, New York; Chase Investment Services in Chicago, Illinois; Financial Network Investment Corporation in El Segundo, California; Essex National Securities in Napa, California; Fleet Enterprises in New York, New York; and Ryan Beck & Company in Florham Park, New Jersey. She is a registered broker in New Jersey and New York. Continue Reading

Karley CartoPublicly available records published by the Financial Industry Regulatory Authority on July 27, 2016 indicate that Rhode Island-based MML Investors Services broker Karley Carto has been named in a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Carto (CRD# 6055603).

Karley Carto has spent four years in the securities industry and has been registered with MML Investors Services in Warwick, Rhode Island since September 2015. She was previously registered with NYLife Securities in Johnston, Rhode Island (2012-2015). She is a registered broker and investment adviser with six US states: Arizona, Connecticut, Massachusetts, New Hampshire, Rhode Island, and South Dakota. Continue Reading

Paul BarrPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that Iowa-based FSC Securities Corporation broker/adviser Paul Barr has been the subject of resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Barr (CRD# 1748415).

Paul Barr has spent 22 years in the securities industry and has been registered with FSC Securities in Marshalltown, Iowa since 1999. Previous registrations include Brenton Investments in Plymouth, Minnesota (1994-1999) and VSR Financial Service in Overland Park, Kansas (1993-1994). He is a registered broker and investment adviser in 35 US states and territories. Continue Reading

Jerry WellsPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 5, 2016 indicate that New York-based Sagepoint Financial broker/adviser Jerry Wells has received two customer complaints and was discharged from his former position at Wells Fargo Advisors. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wells (CRD# 1015358).

Jerry Wells has spent 34 years in the securities industry and has been registered with Sagepoint Financial in Rochester, New York since May 2016. Previous registrations include MetLife Securities in Rochester, New York; Metropolitan Life Insurance Company in Rochester, New York; Pruco Securities in Newark, New Jersey; the Prudential Insurance Company of America in Newark, New Jersey; Brent Capital in Pittsford, New York; and Essex Capital Markets in Rochester, New York. He is a registered broker and investment adviser with four US states: Connecticut, New York, Pennsylvania, and Virginia. Continue Reading

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