Articles Posted in Sanction

James BylengaPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 15, 2019 indicate that former Michigan-based LPL Financial broker/adviser James Bylenga has been sanctioned by FINRA in connection to alleged rule violations 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. Bylenga (CRD# 705143).

James Bylenga has spent 38 years in the securities industry and was most recently registered with LPL Financial in Portage, Michigan (2016-2018). Previous registrations include Comerica Securities in Kalamazoo, Michigan (2009-2016); Robert W. Baird & Company in Kalamazoo, Michigan (2007-2009); Citigroup Global Markets in Kalamazoo, Michigan (1993-2007); Lehman Brothers in New York, New York (1991-1993); and Centennial Securities in Grand Rapids, Michigan (1980-1991).He has passed nine securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 26, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 23, 1980; SIE (Securities Industry Essentials Examination), which he obtained on August 23, 2018; Series 3 (National Commodity Futures Examination), which he obtained on January 25, 1994; Series 7 (General Securities Representative Examination), which he obtained on February 16, 1980; Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on August 27, 1994; Series 53 (Municipal Securities Principal Examination), which he obtained on October 19, 1984; Series 27 (Financial and Operations Principal Examination), which he obtained on May 1, 1981; and Series 24 (General Securities Principal Examination), which he obtained on November 25, 1980. He is currently not registered with any state or firm.

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

Edward Matthes

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 15, 2019 indicate that former Wisconsin-based Mutual of Omaha Investor Services broker/adviser Edward Matthes, who has received multiple resolved or pending customer complaints, has been sanctioned by FINRA in connection to alleged rule violations 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. Matthes (CRD# 2788055).

Edward Matthes has spent 20 years in the securities industry and was most recently registered with Mutual of Omaha Investor Services in Ocomowoc, Wisconsin (2012-2019). Previous registrations include Thrivent Investment Management in Ocomowoc, Wisconsin (2006-2012); MML Investors Services in Chesterfield, Missouri (2006); Thrivent Investment Management in Minneapolis, Minnesota (1999-2006); and AAL Capital Management Corporation in Minneapolis, Minnesota (1996-1997). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 19, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 16, 1996; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on July 26, 2001; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 19, 1996. He is currently not registered with any state or firm.

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

Philip NotoPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2019 indicate that former New Jersey-based First Standard Financial Company broker Philip Noto has been 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. Noto (CRD# 4837180).

Philip Noto has spent nine years in the securities industry and was most recently registered with First Standard Financial Company in Red Bank, New Jersey (2014-2018). Previous registrations include Alexander Capital in Staten Island, New York (2012-2014); Brookstone Securities in Freehold, New Jersey (2009-2012); and Gunnallen Financial in Tampa, Florida (2004-2005). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 13, 2010; SIE (Securities Industry Essentials Examination), which he obtained on August 20, 2018; Series 7 (General Securities Representative Examination), which he obtained on November 21, 2009; Series 4 (Registered Options Principal Examination), which he obtained on March 8, 2013; and Series 24 (General Securities Principal Examination), which he obtained on January 6, 2010. He is currently not registered with any state or firm.

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

Richard Reynolds Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 27, 2019 indicate that New York-based Worden Capital Management broker Richard Reynolds has received new pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Reynolds (CRD# 2162706).

Richard Reynolds has spent 25 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). Mr. Reynolds is a registered broker with 15 US states and territories.

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

 Gary PeveyPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 22, 2019 indicate that former California-based Mutual Securities broker/adviser Gary Pevey, who has received a pending customer dispute, 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. Pevey (CRD# 2129469).

Gary Pevey has spent 26 years in the securities industry and was most recently registered with Mutual Securities in Sacramento, California (2011-2018). Previous registrations include NFP Advisor Services in Sacramento, California (1997-2011) and NYLife Securities in New York, New York (1991-1997). He is currently not registered as a broker with any state, firm or self-regulatory organization (SRO).

According to his BrokerCheck report, he was recently sanctioned by FINRA and has received a pending customer complaint.

John ColumbiaPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 22, 2019 indicate that New York-based Alexander Capital broker/adviser John Columbia has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Columbia (CRD# 2194537).

John Columbia has spent 25 years in the securities industry and has been registered with Alexander Capital in New York, New York since 2015. Previous registrations include Legend Securities in Freehold, New Jersey (2009-2015); JP Turner & Company in Staten Island, New York (2006-2009); JP Turner & Company in Atlanta, Georgia (1997-2005); Argent Securities in Atlanta, Georgia (1996-1997); Commonwealth Associates in New York, New York (1995-1996); First Hanover Securities in Staten Island, New York (1994-1995); Hibbard Brown & Company in New York, New York (1992-1994); and FN Wolf & Company (1992). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 23, 2015; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 13, 1999; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on December 4, 1998; Series 4 (Registered Options Principal Examination), which he obtained on March 18, 2006; and Series 24 (General Securities Principal Examination), which he obtained on June 22, 1998. He is a registered broker and investment adviser with 34 US states and territories.

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

Steven MoerdykPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2019 indicate that former Michigan-based Center Street Securities broker/adviser Steven Moerdyk, who has received a customer dispute, 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. Moerdyk (CRD# 1421358).

Steven Moerdyk has spent 30 years in the securities industry and was most recently registered with Center Street Securities in Grand Rapids, Michigan (2009-2018). Previous registrations include Kalos Capital in Grand Rapids, Michigan (2005-2009); USA Financial Securities in Ada, Michigan (2000-2005); Ameritas Investment Corporation in Lincoln, Nebraska (1998-2000); WMA Securities in Duluth, Georgia (1994-1998); Pruco Securities Corporation in Newark, New Jersey (1994); Lutheran Brotherhood Securities in Minneapolis, Minnesota (1993-1994); and Amerivest Securities Corporation (1985-1990). He has passed six securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 26, 2010; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 14, 1993; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on March 13, 2006; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 14, 1993; and Series 22 (Direct Participation Programs Representative Examination), which he obtained on July 16, 1985. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and was recently sanctioned by FINRA.

Timothy JohnsonPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 22, 2019 indicate that Massachusetts-based Stifel Nicolaus & Company broker/adviser Timothy Johnson, who has received customer disputes, was recently sanctioned by state regulatory authorities in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Johnson (CRD# 874358).

Timothy Johnson has spent 39 years in the securities industry and has been registered with Stifel Nicolaus & Company in East Harwich, Massachusetts since 2009. Previous registrations include Wachovia Securities in Centerville, Massachusetts (2008-2009); AG Edwards & Sons in Centerville, Massachusetts (1987-2008); and Thomson McKinnon Securities (1979-1987). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 1, 2012; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 28, 1981; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on November 17, 1979. He is a registered broker and investment adviser with 30 US states and territories.

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

Nicholas RadkePublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 22, 2019 indicate that former California-based MML Investors Services broker Nicholas Radke has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Radke (CRD# 2610246).

Nicholas Radke has spent 23 years in the securities industry and was most recently registered with MML Investors Services in Irvine, California (2018). Previous registrations include American Independent Securities Group in Lake Oswego, Oregon (2011-2018); LPL Financial in Eugene, Oregon (2008-2011); Wedbush Morgan Securities in Eugene, Oregon (2006-2008); Hornor Townsend & Kent in Eugene, Oregon (2002-2006); Securian Financial Services in St. Paul, Minnesota (2001-2002); Hornor Townsend & Kent in Horsham, Pennsylvania (2000-2001); and Sentra Securities in Phoenix, Arizona (1995-2000). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 10, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on February 27, 2007; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 27, 1995. He is currently not registered with any state or firm.

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

Michael NeumeierPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 10, 2019 indicate that Maryland-based Coastal Equities broker/adviser Michael Neumeier has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Neumeier (CRD# 3193792).

Michael Neumeier has spent 15 years in the securities industry and was most recently registered with Coastal Equities in Owings Mills, Maryland (2014). Previous registrations include Heritage Financial Systems in Owings Mills, Maryland (2013-2014); Questar Capital Corporation in Owings Mills, Maryland (2006-2013); USAllianz Securities in Owings Mills, Maryland (2006); and Advantage Capital Corporation in Owings Mills, Maryland (1999-2006). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 13, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 27, 2001; SIE (Securities Industry Essentials Examination), which he obtained on November 17, 2014; Series 7 (General Securities Representative Examination), which he obtained on June 22, 2002; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 28, 1999. He is currently not registered with any state or firm.

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