Articles Posted in permitted to resign

Lawrence MurphyPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 13, 2018 indicate that former Florida-based International Assets Advisory broker/adviser Lawrence Murphy was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Murphy (CRD# 1270120).

Lawrence Murphy has spent 33 years in the securities industry and has been registered with International Assets Advisory in Orlando, Florida since 2016. Previous registrations include Equity Services in Edison, New Jersey (2016); MSI Financial Services in Moorestown, New Jersey (2004-2016); AXA Advisors in Marlton, New Jersey (2008); Metropolitan Life Insurance Company in Mount Laurel, New Jersey (2004-2007); WS Griffith Securities in Hartford, Connecticut (1993-2004); Phoenix Equity Planning Corporation in Hartford, Connecticut (1991-1993); and Nathan & Lewis Securities in New York, New York (1984-1991). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 7, 1987; Series 7 (General Securities Representative Examination), which he obtained on July 18, 1987; Series 22 (Direct Participation Programs Representative Examination), which he obtained on July 12, 1984; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 26, 1984; and Series 24 (General Securities Principal Examination), which he obtained on May 21, 1993. He is a registered broker and investment adviser with nine US states: Connecticut, Delaware, Florida, Mississippi, New Jersey, New York, Pennsylvania, South Carolina, and Virginia.

According to his BrokerCheck report, Lawrence Murphy has received one customer complaint and one FINRA sanction, and resigned or was discharged from two former employers.

Robert UrbanPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 31, 2018 indicate that former New York-based EK Riley Investments broker/adviser Robert Urban, who has received a customer dispute, recently resigned from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Urban (CRD# 2561504).

Robert Urban has spent 20 years in the securities industry and has been registered with EK Riley Investments in Westhampton Beach, New York since March 2018. Previous registrations include Morgan Stanley in Riverhead, New York (2009-2018); Morgan Stanley & Company in Riverhead, New York (2008-2009); and Merrill Lynch in Riverhead, New York (1997-2008). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 25, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 1, 1997; Series 31 (Futures Managed Funds Examination), which he obtained on June 15, 2009; Series 7 (General Securities Representative Examination), which he obtained on July 16, 1997; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on September 4, 2008; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on August 5, 2008. He is a registered broker and investment adviser with eight US states and territories: Arizona, California, Connecticut, Florida, New Jersey, New York, Pennsylvania, and Utah.

According to his BrokerCheck report, he has received one customer complaint and one closed customer complaint, and he resigned from his former employer in connection to alleged rule violations.

Louis Horwin

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 22, 2017 indicate that Arizona-based Lifemark Securities Corporation broker Louis Horwin has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Horwin (CRD# 1845047).

Louis Horwin has spent 28 years in the securities industry and has been registered with Lifemark Securities Corporation in Scottsdale, Arizona since March 2016. Previous registrations include Legend Equities Corporation in Scottsdale, Arizona; First Financial Equity Corporation in Scottsdale, Arizona; Oppenheimer & Company in Scottsdale, Arizona; Piper Jaffray & Company in Minneapolis, Minnesota; and Smith Barney in New York, New York. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), Series 63 (Uniform Securities Agent State Law Examination), and Series 7 (General Securities Representative Examination). He is a registered broker with two US states: California and Arizona.

According to his BrokerCheck report, Louis Horwin has received one pending customer complaint and resigned from a former employer.

Cary ScheerPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2017 indicate that Texas-based Securities America broker/adviser Cary Scheer has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Scheer (CRD# 4167119).

Cary Scheer has spent 16 years in the securities industry and has been registered with Securities America in Southlake, Texas since 2016. Previous registrations include Girard Securities in Southlake, Texas; QA3 Financial Corporation in McKinney, Texas; Investment Professionals in Gainesville, Texas; DFC Investor Services in Frisco, Texas; Chase Investment Services in Chicago, Illinois; Compass Brokerage in Birmingham, Illinois; Banc One Securities Corporation in Chicago, Illinois; and Access Broker.com in Richardson, Texas. He is registered as a broker and investment adviser in Texas.

According to his BrokerCheck report, he has received one pending customer complaint and resigned from a former employer.

Contact Information