Articles Posted in Sanction

Geoffrey TurnerPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2018 indicate that Georgia-based BB&T Securities broker/adviser Geoffrey Turner was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Turner (CRD# 4007735).

Geoffrey Turner has spent 18 years in the securities industry and has been registered with BB&T Securities in Savannah, Georgia since January 2018. Previous registrations include BB&T Investment Services in Rincon, Georgia (2006-2018); Linsco/Private Ledger Corporation in Okatie, South Carolina (2006); SunTrust Investment Services in Atlanta, Georgia (2005-2006); AllState Financial Services in Lincoln, Nebraska (2004-2005); NCF Financial Services in Durham, North Carolina (2003-2004); First Citizens Investor Services in Raleigh, North Carolina (2001-2003); and Merrill Lynch in New York, New York (1999-2000. He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 12, 2000; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on September 1, 1999; and Series 24 (General Securities Principal Examination), which he obtained on May 30, 2006. He is a registered broker and investment adviser with 17 US states and territories: Alabama, California, Florida, Georgia, Illinois, Indiana, Kentucky, Maryland, New Jersey, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, and West Virginia. He is registered with four self-regulatory organizations (SROs): FINRA, Investors’ Exchange LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, Geoffrey Turner has received one regulatory sanction.

Robert TorciviaPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2018 indicate that former Arizona-based Moors & Cabot broker/adviser Robert Torcivia was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Torcivia (CRD# 700880).

Robert Torcivia has spent 44 years in the securities industry and was most recently registered with Moors & Cabot in Phoenix, Arizona (2015-2018). Previous registrations include Ameriprise Financial Services in Sun City, Arizona (2010-2015); Wells Fargo Advisors in Surprise, Arizona (2004-2010); Piper Jaffray & Company in Minneapolis, Minnesota (2000-2004); Painewebber in Weehawken, New Jersey (1994-2000); Dean Witter Reynolds in Purchase, New York (1988-1994); EF Hutton & Company (1984-1988); Boettcher & Company (1981-1984); Wedbush Noble Cooke (1979-1982); Shearson Loeb Rhoades (1977-1979); Shearson Hayden Stone (1975-1977); the Variable Annuity Marketing Company (1974-1975); and Shearson Hammill & Company (1974). He has passed ten securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 9, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 14, 1984; SIE (Securities Industry Essentials Examination), which he obtained on September 11, 2018; Series 3 (National Commodity Futures Examination), which he obtained on November 6, 1984; PC (AMEX Put and Call Exam), which he obtained on May 19, 1997; Series 000 (General Securities Principal Examination), which he obtained on May 23, 1974; Series 1 (Registered Representative Examination), which he obtained on May 23, 1974; Series 4 (Registered Options Principal Examination), which he obtained on December 16, 1980; Series 24 (General Securities Principal Examination), which he obtained on June 29, 1980; and Series 12 (NYSE Branch Manager Examination), which he obtained on May 23, 1974. He is currently not registered with any state or firm.

According to his BrokerCheck report, Robert Torcivia was recently sanctioned by FINRA and has been terminated from a former employer in connection to alleged rule violations.

Randolph McNeillPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2018 indicate that former New Jersey-based Buckman Buckman & Reid broker/adviser Randolph McNeill was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. McNeill (CRD# 4312991).

Randolph McNeill has spent 16 years in the securities industry and was most recently registered with Buckman Buckman & Red in Little Silver, New Jersey (2015-2018). Previous registrations include Garden State Securities in Scotch Plains, New Jersey (2009-2015) and Merrill Lynch in East Brunswick, New Jersey (2001-2009). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 3, 2001; SIE (Securities Industry Essentials Examination), which he obtained on June 19, 2018; and Series 7 (General Securities Representative Examination), which he obtained on April 4, 2001. He is currently not registered with any state or firm.

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

Wesley Foltz

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 15, 2018 indicate that former Louisiana-based Prospera Financial Services broker Wesley Foltz was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Foltz (CRD# 4617507).

Wesley Foltz has spent 15 years in the securities industry and was most recently registered with Prospera Financial Services in Alexandria, Louisiana (2011-2018). Previous registrations include LPL Financial in Alexandria, Louisiana (2007-2011) and Capital One Investments in Alexandria, Louisiana (2003-2007). He has passed two securities industry examinations: SIE (Securities Industry Essentials Examination), which he obtained on June 19, 2018, and Series 7 (General Securities Representative Examination), which he obtained on January 30, 2003. He is currently not registered with any state, firm or self-regulatory organization (SRO).

According to his BrokerCheck report, he was recently sanctioned by FINRA in connection to alleged rule violations.

David ColfleshPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 13, 2018 indicate that former Missouri-based NYLife Securities broker/adviser David Colflesh, who has received numerous customer disputes, was recently 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. Colflesh (CRD# 1184117).

David Colflesh has spent 33 years in the securities industry and was most recently registered with NYLife Securities in Tarkio, Missouri (1983-2019). He has no previous registrations. He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 22, 2004; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 1, 1985; SIE (Securities Industry Essentials Examination), which he obtained on November 1, 2016; Series 22 (Direct Participation Programs Representative Examination), which he obtained on November 29, 1984; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 19, 1983. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received 17 customer complaints and one regulatory sanction.

Anthony FarnsworthPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former Colorado-based Paronsex Securities broker/adviser Anthony Farnsworth has been sanctioned by FINRA in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Farnsworth (CRD# 4616189).

Anthony Farnsworth has spent 14 years in the securities industry and was most recently registered with Parsonex Securities in Englewood, Colorado (2013-2017). He was previously registered with PFS investments in Pewaukee, Wisconsin (2003-2013). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 7, 2011; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 31, 2003; SIE (Securities Industry Essentials Examination), which he obtained on March 31, 2017; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 24, 2003; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on March 27, 2003. He is currently not registered with any state or firm.

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

Judith BufisPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former Iowa-based Northwestern Mutual Investment Services broker Judith Bufis was recently sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Bufis (CRD# 1070648).

Judith Bufis has spent 32 years in the securities industry and was most recently registered with Kovack Securities in East Brunswick, New Jersey (2018). Previous registrations include Invest Financial Corporation in East Brunswick, New Jersey (2016-2017); TFS Securities in East Brunswick, New Jersey (2006-2014); ING Financial Partners in Des Moines, Iowa (2004-2006); Sammons Securities Company in Ann Arbor, Michigan (2002); Walnut Street Securities in El Segundo, California (1996-2002); North American Management in Sioux Falls, South Dakota (1996); Independent Financial Securities (1991-1995); Wealth Builders Equity Corporation (1990-1991); Ringler Securities Services in Orlando, Florida (1990); and Invest Financial Corporation in Appleton, Wisconsin (1983-1990). She has passed two securities industry examinations: SIE (Securities Industry Essentials Examination), which she obtained on September 7, 2018, and Series 7 (General Securities Representative Examination), which she obtained on March 19, 1983. She is currently not registered with any state or firm.

According to her BrokerCheck report, she was recently sanctioned by FINRA in connection to alleged rule violations.

Tristan O’NealPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former Iowa-based Northwestern Mutual Investment Services broker Tristan O’Neal has been sanctioned by state regulatory authorities in connection to alleged rule violations and is currently not registered as a broker with any state or firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. O’Neal (CRD# 5898324).

Tristan O’Neal has spent five years in the securities industry and was registered with Northwestern Mutual Investment Services in West Des Moines, Iowa from 2013 until 2018. He has no previous registrations. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 15, 2012; SIE (Securities Industry Essentials Examination), which he obtained on July 28, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on March 30, 2013. He is currently not registered with any state or firm.

According to his BrokerCheck report, he recently resigned from his former employer and was sanctioned by state regulators in connection to alleged rule violations.

Libby CherringtonPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 25, 2018 indicate that former South Carolina-based FSC Securities Corporation broker/adviser Libby Cherrington 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 Ms. Cherrington (CRD# 1989135).

Libby Cherrington has spent 27 years in the securities industry and was most recently registered with FSC Securities Corporation in Bluffton, South Carolina (2014-2018). Previous registrations include Morgan Stanley in White Sulphur Springs, West Virginia (2011-2014); Wells Fargo Advisors in Bluffton, South Carolina (2002-2011); American Express Financial Advisors in Minneapolis, Minnesota (1990-2002); and IDS Life Insurance Company in Minneapolis, Minnesota (1990-2002). She has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on May 16, 2003; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on July 26, 1994; SIE (Securities Industry Essentials Examination), which she obtained on September 14, 2018; and Series 7 (General Securities Representative Examination), which she obtained on November 26, 1990. She is currently not registered with any state or firm.

According to her BrokerCheck report, she has received six customer complaints and two regulatory sanctions.

Jeffrey BreaultPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 17, 2018 indicate that Kansas-based Kestra Investment Services broker/adviser Jeffrey Breault has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Breault (CRD# 1757281).

Jeffrey Breault has spent 31 years in the securities industry and has been registered with Kestra Investment Services in Wichita, Kansas since 2016. Previous registrations include Carey Thomas Hoover & Breault in Wichita, Kansas (1995-2016); Rhodes Securities in Fort Worth, Texas (1990-1995); AG Edwards & Sons in St. Louis, Missouri (1989-1990); and Firm One Securities (1987-1989). He has passed eight securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 24, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 21, 1987; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on October 17, 1987; Series 4 (Registered Options Principal Examination), which he obtained on July 26, 1995; Series 27 (Financial and Operations Principal Examination), which he obtained on May 31, 1995; Series 24 (General Securities Principal Examination), which he obtained on May 2, 1995; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on October 26, 1990. He is a registered broker and investment adviser with 19 US states and territories: Alabama, Arizona, California, Colorado, Florida, Georgia, Illinois, Kansas, Missouri, North Carolina, Ohio, Oklahoma, Pennsylvania, South Carolina, Tennessee, Texas, Washington, Wisconsin, and Wyoming.

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