Articles Posted in Sanction

iStock-497612336-3-300x200Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 17, 2018 indicate that North Carolina-based Innovation Partners broker Michael Isaac has received resolved or pending customer disputes and regulatory sanctions. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Isaac (CRD# 2287287).

Michael Isaac has spent 5 years in the securities industry and has been registered with Innovation Partners LLC in Charlotte, North Carolina since 2015. Previous registrations include Investors Capital in Shrewsbury, Massachusetts (2009-2015); Girard Securities in Shrewsbury, Massachusetts (2008); Jesup & Lamont Securities in Worcester, Massachusetts (2006-2008); MML Investors Services in Springfield, Massachusetts (2000-2006); Lincoln Financial Advisors Corporation in Fort Wayne, Indiana (1994-2000); the Lincoln National Life Insurance Company in Fort Wayne, Indiana (1994-2000); and Mutual of Omaha Investor Services in Omaha, Nebraska (1992-1994). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 18, 1992, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on November 18, 1992. He is a registered broker and investment adviser with four US states: Arizona, California, Florida, and Massachusetts.

According to his BrokerCheck report, he has received two customer complaints, one pending customer complaint, and two regulatory sanctions.

Mark FlanaganPublic records published by the Financial Industry Regulatory Authority (FINRA) on July 17, 2018 indicate that former Illinois-based Citigroup Global Markets broker/adviser Mark Flanagan has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Flanagan (CRD# 1949836).

Mark Flanagan has spent 13 years in the securities industry and was most recently registered with Citigroup Global Markets in Highland Park, Illinois (2014-2017). Previous registrations include Wells Fargo Advisors in Lake Forest, Illinois (2011-2014); Fifth Third Securities in Lake Forest, Illinois (2006-2011); UVest Financial Services Group in Chicago, Illinois (2005-2006); TCF Securities in Minneapolis, Minnesota (2002-2003); and Oppenheimer & Company (1989-1990). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on November 15, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 10, 2005; and Series 7 (General Securities Representative Examination), which he obtained on September 6, 2005. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received four customer complaints and two regulatory sanctions.

Adam EstesPublic records provided by the Financial Industry Regulatory Authority (FINRA) on February 7, 2017 indicate that Kentucky-based JJB Hilliard WL Lyons broker/adviser Adam Estes has been sanctioned by state regulatory authorities in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Estes (CRD# 4089657).

Adam Estes has spent 17 years in the securities industry and has been registered with JJB Hilliard WL Lyons in Louisville, Kentucky since December 2017. He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 21 US states and territories: Alabama, Arizona, California, Colorado, Florida, Georgia, Illinois, Indiana, Kansas, Kentucky, Louisiana, Michigan, Minnesota, Missouri, North Carolina, Ohio, Oklahoma, South Carolina, Texas, Virginia, and Wisconsin.

According to his BrokerCheck report, he has received two regulatory sanctions and one denied customer complaint.

Hector RamosPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 27, 2018 indicate that New York-based Westpark Capital broker/adviser Hector Ramos has received a customer dispute and a FINRA sanction. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ramos (CRD# 4172477).

Hector Ramos has spent 18 years in the securities industry and has been registered with Westpark Capital in New York, New York since 2016. Previous registrations include Bishop Rosen & Company in New York, New York (2014-2016); Morgan Stanley in New York, New York (2011-2014); Merrill Lynch in New York, New York (2008-2011); Morgan Stanley & Company in New York, New York (2007-2008); Morgan Stanley DW in New York, New York (2007); ING Financial Partners in New York, New York (2006-2007); AIG Financial Advisors in New York, New York (2005-2006); SunAmerica Securities in Phoenix, Arizona (2002-2005); and Prudential Securities in New York, New York (2000-2002). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 24, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 8, 2000; Series 31 (Futures Managed Funds Examination), which he obtained on February 23, 2007; and Series 7 (General Securities Representative Examination), which he obtained on June 17, 2000. He is a registered broker and investment adviser with three US states: California, New Jersey, and New York.

According to his BrokerCheck report, he has received one customer complaint, one FINRA sanction, and one unsatisfied civil judgment or lien, and he was discharged from a former employer in connection to alleged rule violations.

Timary Delorme

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 25, 2018 indicate that former California-based Wedbush Securities broker/adviser Timary Delorme was recently sanctioned by the Securities and Exchange Commission (SEC) and barred from acting as a broker or investment adviser or otherwise associating with firms that sell securities or provide investment advice to the public. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Delorme (CRD# 736418).

Timary Delorme has spent 36 years in the securities industry and was most recently registered with Wedbush Securities in Los Angeles, California (1981-2018). She has no previous registrations. She has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on September 15, 1987, and Series 7 (General Securities Representative Examination), which she obtained on August 15, 1981. She is currently not registered with any state or firm.

According to her BrokerCheck report, she has received two customer complaints, two pending customer complaints, and one regulatory sanction.

Ricky HigginsPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 18, 2018 indicate that South Carolina-based First Heartland Capital broker/adviser Ricky Higgins, who was recently sanctioned by FINRA and suspended from acting as a broker, is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Higgins (CRD# 1726947).

Ricky Higgins has spent 30 years in the securities industry and has been registered with First Heartland Capital in Spartansburg, South Carolina since 2016. Previous registrations include ProEquities in Spartansburg, South Carolina (2012-2016); First Heartland Capital in Spartansburg, South Carolina (1999-2012); and Pruco Securities Corporation (1987-1999). He is a registered broker and investment adviser with eight US states: Virginia, Tennessee, South Carolina, North Carolina, New Mexico, Nevada, Georgia, and Florida.

According to his BrokerCheck report, he has received one FINRA sanction and one pending customer complaint, and he was terminated from his former employer in connection to alleged rule violations.

Michael BourkePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that New Jersey-based RBC Capital Markets broker/adviser Michael Bourke has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bourke (CRD# 2412223).

Michael Bourke has spent 24 years in the securities industry and has been registered with RBC Capital Markets in Florham Park, New Jersey since 2009. Previous registrations include JB Hanauer & Company in Parsippany, New Jersey (2002-2009); Golden Harris Capital Group in West Orange, New Jersey (1998-2002); RD White & Company in New York, New York (1997-1998); and SFI Investments in New York, New York (1993-1997). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 1, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 17, 1994; Series 7 (General Securities Representative Examination), which he obtained on November 16, 1993; Series 53 (Municipal Securities Principal Examination), which he obtained on March 4, 2004; and Series 24 (General Securities Principal Examination), which he obtained on February 18, 2004. He is a registered broker and investment adviser with 20 US states and territories: Arizona, California, Colorado, Connecticut, the District of Columbia, Florida, Georgia, Illinois, Maryland, Massachusetts, Minnesota, New Jersey, North Carolina, Ohio, Pennsylvania, Rhode Island, Texas, Utah, and Virginia.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one regulatory sanction.

Richard ReynoldsPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 15, 2018 indicate that New York-based Worden Capital Management broker Richard Reynolds has received customer disputes and regulatory sanctions. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Reynolds (CRD# 2162706).

Richard Reynolds has spent 24 years in the securities industry and has been registered with Worden Capital Management in Melville, New York since 2016. Previous registrations include Rockwell Global Capital in Melville, New York (2012-2015); American Capital Partners in Huntington, New York (2005-2010); Janney Montgomery Scott in Philadelphia, Pennsylvania (2001-2005); Gruntal & Company in New York, New York (1995-2001); Rickel & Associates in New York, New York (1994-1995); and South Richmond Securities (1991-1994). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 18, 1991; Series 7 (General Securities Representative Examination), which he obtained on October 14, 1991; and Series 24 (General Securities Principal Examination), which he obtained on June 21, 1993. He is a registered broker with 15 US states and territories: Arizona, California, Connecticut, Florida, Georgia, Louisiana, Minnesota, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, and Washington.

According to his BrokerCheck report, he has received six customer complaints and three regulatory sanctions.

Fuad HabbaPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 13, 2018 indicate that former New York-based Morgan Stanley broker/adviser Fuad Habba has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Habba (CRD# 4892638).

Fuad Habba has spent seven years in the securities industry and was most recently registered with Morgan Stanley in New York, New York (2016-2018). Previous registrations include Merrill Lynch in New York, New York (2013-2016); MetLife Securities in White Plains, New York (2008-2010); and Northwestern Mutual Investment Services in Westport, Connecticut (2007-2008). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on March 1, 2013; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 22, 2007; Series 7 (General Securities Representative Examination), which he obtained on January 24, 2013; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 23, 2007. He is currently not registered with any state or firm.

According to his BrokerCheck report, Fuad Habba was recently sanctioned by FINRA and resigned from his former employer in connection to alleged rule violations.

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.

As Seen On
New York Post
abc News
Investment News
Daily News
The Huffington Post
Wall Street Journal