Articles Tagged with Windsor Street Capital

Laurence Pettit

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 25, 2017 indicate that Virginia-based Windsor Street Capital broker Laurence Pettit has received a regulatory sanction and several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pettit (CRD# 2215495).

Laurence Pettit has spent 25 years in the securities industry and has been registered with Windsor Street Capital in Midlothian, Virginia since 2011. Previous registrations include Anderson & Strudwick in Richmond, Virginia (2000-2011) and Scott & Stringfellow in Richmond, Virginia (1992-2000). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 13, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 26, 1992; and Series 7 (General Securities Representative Examination), which he obtained on May 12, 1992. He is a registered broker with twelve US states: Alabama, California, Florida, Minnesota, Nevada, New York, North Carolina, Pennsylvania, South Dakota, Tennessee, Texas and Virginia.

According to his BrokerCheck report, he has received one regulatory sanction and eight customer complaints.

Gregory Anastos

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 31, 2017 indicate that New York-based Windsor Street Capital broker/adviser Gregory Anastos has been named in a pending customer complaint and a pending FINRA investigation. Fitapelli Kurta is interested in speaking to investors who ave complaints regarding Mr. Anastos (CRD# 5800831).

Gregory Anastos has spent six years in the securities industry and has been registered with Windsor Street Capital in New York, New York since 2013. Previous registrations include Obsidian Financial Group in New York, New York and John Thomas Financial in New York, New York. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 46 US states and territories.

According to his BrokerCheck report, he has received one pending customer complaint and has been named in a pending FINRA investigation.

Roger SpannPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 30, 2016 indicate that New York-based Windsor Street Capital broker Roger Spann has been the subject of customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Spann (CRD# 2211632).

Roger Spann has spent 23 years in the securities industry and has been registered with Windsor Street Capital in New York, New York since 2008. Previous registrations include Bishop Rosen & Company in New York, New York; Saxony Securities in New York, New York; First Republic Group, which has been expelled by FINRA, in New York, New York; JWGenesis Securities in Boca Raton, Florida; National Securities in Seattle, Washington; the Boston Group in Los Angeles, California; and First Metropolitan Securities in New York, New York. He is a registered broker with 29 US states and territories.

According to his BrokerCheck report, Roger Spann has received four customer complaints and was terminated from one former employer.

Martin Barth

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 30, 2016 indicate that New York-based Windsor Street Capital broker Martin Barth has been the subject of a customer dispute. The experienced attorneys at Fitapelli Kurta are interested in hearing from investors who have complaints regarding Mr. Barth (CRD# 1030462).

Martin Barth has spent eighteen years in the securities industry and has been registered with Windsor Street Capital in New York, New York since November 2016. Previous registrations include Trident Partners in Hauppage, New York; Meyers Associates in New York, New York; AXA Advisors in Cold Spring, New York; Capitol Securities Management in Florham Park, New Jersey; Wells Fargo Advisors in Newburgh, New York; and Merrill Lynch in New York, New York. He is a registered broker with six US states and territories: California, Connecticut, Maine, Massachusetts, New Jersey, and New York. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination).

According to his BrokerCheck report, Martin Barth has received one customer complaint.