Articles Posted in Sanction

Richard HveemPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 7, 2018 indicate that New Jersey-based Hennion & Walsh broker/adviser Richard Hveem has received regulatory sanctions as well as resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hveem (CRD# 2622370).

Richard Hveem has spent 21 years in the securities industry and has been registered with Hennion & Walsh in Parsippany, New Jersey since 1995. He has no previous registrations. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 13, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 8, 1995; Series 7 (General Securities Representative Examination), which he obtained on November 11, 1996; and Series 52 (Municipal Securities Representative Examination), which he obtained on July 10, 1995. He is a registered broker and investment adviser with 36 US states and territories.

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

Victor Dandridge

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 2, 2018 indicate that former Virginia-based Thompson Davis & Company broker/adviser Victor Dandridge has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Dandridge (CRD# 5884409).

Victor Dandridge has spent four years in the securities industry and was most recently registered with Thompson Davis & Company in Richmond, Virginia (2012-2016). He was previously registered with T3 Trading Group in New York, New York (2011). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on March 2, 2012, and Series 7 (General Securities Representative Examination), which he obtained on February 16, 2012. He is currently not registered with any state or firm.

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

Danielle McAniff

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 31, 2018 indicate that New Mexico-based Next Financial Group broker/adviser Danielle McAniff has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. McAniff (CRD# 5766774).

Danielle McAniff has spent five years in the securities industry and has been registered with Next Financial Group in Albuquerque, New Mexico since September 2016. She was previously registered with Edward Jones in Albuquerque, New Mexico (2012-2016). She has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on January 4, 2013, and Series 7 (General Securities Representative Examination), which she obtained on December 18, 2012. She is a registered broker and investment adviser with six US states: Arizona, California, Florida, Maryland, New Mexico, and Wyoming.

According to her BrokerCheck report, she has been sanctioned by FINRA and resigned from her former employer in connection to alleged rule violations.

Steven Quoy

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 26, 2017 indicate that former Colorado-based Spencer Edwards broker/adviser Steven Quoy has been sanctioned by FINRA and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Quoy (CRD# 713992).

Steven Quoy has spent 33 years in the securities industry and was most recently registered with Spencer Edwards in Centennial, Colorado (2013-2017). Previous registrations include GVC Capital in Greenwood Village, Colorado (2010-2011); JP Turner & Company in Greenwood Village, Colorado (2007-2007); Bathgate Capital Partners in Greenwood Village, Colorado (2003-2006); Sands Brothers & Company in New York, New York (2002-2003); Global Capital Securities Corporation in Englewood, Colorado (1998-2002); American Fronteer Financial Corporation in Denver, Colorado (1984-1998); BJ Leonard & Company (1981-1984); American Western Securities (1980-1983); and First Colorado Investments & Securities (1980-1981). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 9, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 8, 1980; Series 55 (Limited Representative-Equity Trader Exam), which he obtained on April 24, 2000; Series 7 (General Securities Representative Examination), which he obtained on August 16, 1980; and Series 24 (General Securities Principal Examination), which he obtained on March 27, 1984. He is currently not registered with any state or firm.

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

William Paterson

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that former Florida-based GWN Securities broker/adviser William Paterson has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Paterson (CRD# 3132630).

William Paterson has spent 17 years in the securities industry and was most recently registered with GWN Securities in Palm Beach Gardens, Florida (2017). Previous registrations include Advanced Advisor Group in Willmar, Minnesota (2006-2016); Great American Advisors in Cincinnati, Ohio (2005-2006); US Bancorp Investments in Saint Paul, Minnesota (2003-2004); Safeco Investment Services in Boston, Massachusetts (2001-2003); Great American Advisors in Cincinnati, Ohio (1999-2001); and Princor Financial Services Corporation in Des Moines, Iowa (1998-1999).He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 17, 1998, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on November 19, 1998. He is currently not registered with any state or firm.

According to his BrokerCheck report, William Paterson has been sanctioned by FINRA, was recently discharged from his former employer, and resigned from another former employ in connection to alleged rule violations.

Daryn Pingleton

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that Florida-based Merrill Lynch broker/adviser Daryn Pingleton has received a regulatory sanction and several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pingleton (CRD# 1520639).

Daryn Pingleton has spent 31 years in the securities industry and has been registered with Merrill Lynch in West Palm Beach, Florida since 1987. He was previously registered with First Investors Corporation (1986-1987). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 11, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 22, 1986; Series 31 (Futures Managed Funds Examination), which he obtained on May 6, 2004; Series 7 (General Securities Representative Examination), which he obtained on October 17, 1987; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 17, 1986; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on February 29, 2016; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on February 18, 2016. He is a registered broker and investment adviser with 53 US states and territories.

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

Truitt Ficklin

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that former Indiana-based Cetera Investment Services broker/adviser Truitt Ficklin 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. Ficklin (CRD# 6253265).

Truitt Ficklin has spent three years in the securities industry and was most recently registered with Cetera Investment Services in Muncie, Indiana (2015-2017). Previous registrations include Edward Jones in Elwood, Indiana (2013-2015). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on February 10, 2014, and Series 7 (General Securities Representative Examination), which he obtained on December 23, 2013. He is currently not a registered broker and investment adviser with any state or firm.

According to his BrokerCheck report, he has received one FINRA sanction and four customer complaints.

Paul Lascelle

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 19, 2017 indicate that New Jersey-based Morgan Stanley broker/adviser Paul Lascelle 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. Lascelle (CRD# 2003206).

Paul Lascelle has spent 27 years in the securities industry and has been registered with Morgan Stanley in Flemington, New Jersey since 2011. Previous registrations include Wells Fargo Advisors in Flemington, New Jersey (2005-2011); Merrill Lynch in New York, New York (1996-2005); Constitution Capital Corporation in Westport, Connecticut (1995-1996); and PFS Investments in Duluth, Georgia (1990-1995). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 25, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 18, 1990; Series 31 (Futures Managed Funds Examination), which he obtained on September 26, 2008; Series 7 (General Securities Representative Examination), which he obtained on July 9, 1996; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 21, 1990; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on September 3, 1991. He is a registered broker and investment adviser with 18 US states and territories: California, Connecticut, Delaware, Florida, Hawaii, Maryland, Massachusetts, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, South Carolina, Texas, Virginia and Wisconsin. He is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Bruce OrensteinPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 1, 2017 indicate that New Jersey-based UBS Financial Services broker/adviser Bruce Orenstein has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Orenstein (CRD# 732486).

Bruce Orenstein has spent 36 years in the securities industry and has been registered with UBS Financial Services in Weehawken, New Jersey since 1999. Previous registrations include Merrill Lynch in New York, New York (1982-1999); American Diversified Distributors Corporation (1981-1982); and American General Capital Planning (1981). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 29, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 4, 1982; Series 7 (General Securities Representative Examination), which he obtained on August 21, 1982; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 12, 1981. He is a registered broker and investment adviser with eight US states and territories: California, Florida, Maryland, Massachusetts, New Jersey, New York, North Carolina and South Carolina.

According to his BrokerCheck report, he has received one regulatory sanction, one pending customer complaint, and two customer complaints that were closed with no action taken.

Irwin GrossPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2017 indicate that Florida-based Commonwealth Financial Network broker/adviser Irwin Gross has received a regulatory sanction and a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gross (CRD# 230829).

Irwin Gross has spent 44 years in the securities industry and has been registered with Commonwealth Financial Network in Weston, Florida since 2008. Previous registrations include Lincoln Financial Advisors Corporation in Deerfield Beach, Florida (1995-2008); the Lincoln National Life Insurance Company in Fort Wayne, Indiana (1995-2006); Chubb Securities Corporation in Fort Wayne, Indiana (1992-1995); Hartford Equity Sales Company in Hartford, Connecticut (1987-1992); Travelers Equities Sales (1983-1989); Hartford Equity Sales Company (1977-1983); BA Securities Corporation (1972-1976); and Midwestern Investment Corporation (1971-1972). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 23, 1994; Series 3 (National Commodity Futures Examination), which he obtained on April 10, 1989; and Series 1 (Registered Representative Examination), which he obtained on September 25, 1971. He is a registered broker and investment adviser with 14 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Georgia, Massachusetts, New Jersey, New York, North Carolina, Ohio, Tennessee, Texas, and Wyoming.

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

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