Articles Posted in Sanction

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.

Lawrence PassarettiPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 17, 2018 indicate that New York-based American Portfolios Financial Services broker/adviser Lawrence Passaretti has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Passaretti (CRD# 1191641).

Lawrence Passaretti has spent 34 years in the securities industry and has been registered with American Portfolios Financial Services in Holbrook, New York since 2010. Previous registrations include AXA Advisors in Melville, New York (1986-2010); the Equitable Life Assurance Society of the United States in New York, New York (1986-2000); Cigna Securities (1985-1986); Josephthal & Company (1984-1985); Morgan Olmstead Kennedy & Gardner (1984); and MV Securities (1983-1984). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 24, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 29, 1991; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on August 18, 1984; Series 52 (Municipal Securities Representative Examination), which he obtained on October 13, 1983; and Series 24 (General Securities Principal Examination), which he obtained on September 23, 2000. He is a registered broker and investment adviser with 20 US states and territories.

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

David Silberg

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 16, 2018 indicate that New York-based Allied Millennial Partners broker/adviser David Silberg has been sanctioned by state regulatory authorities in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Silberg (CRD# 1970484).

David Silberg has spent 28 years in the securities industry and has been registered with Allied Millennial Partners in Garden City, New York since July 2018. Previous registrations include Gunnallen Financial in Farmingdale, New York (2006-2010); Great Eastern Securities in New York, New York (2004-2006); Kirlin Securities in Syosset, New York (2003-2004); Maxim Group in New York, New York (2002-2003); Investec Ernst & Company in New York, New York (2002); Kirlin Securities in Syosset, New York (2000-2002); Northeast Securities in Mitchelfield, New York (1999-2000); Triad Financial in Holbrook, New York (1999-2000); NYLife Securities in New York, New York (1996-1998); John Hancock Distributors in Boston, Massachusetts (1989-1996); and John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1989-1996). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 2, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 21, 1989; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on May 17, 1999; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 25, 1989. He is a registered broker and investor with 18 US states and territories: Arizona, California, Connecticut, Florida, Georgia, Maryland, Massachusetts, Minnesota, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Virginia, and West Virginia.

According to his BrokerCheck report, David Silberg has received two customer complaints and one regulatory sanction, and he was discharged from two former employers in connection to alleged rule violations.

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2018 indicate that former Washington-based Capital Financial Services broker/adviser Lloyd Johnston, 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 speaking to investors who have complaints regarding Mr. Johnston (CRD# 1626695).

Lloyd Johnston has spent 27 years in the securities industry and was most recently registered with Capital Financial Services in Spokane, Washington (2006-2018). Previous registrations include Legacy Financial Services in Clinton, Maryland (2004-2006); Investors Capital Corporation in Lynnfield, Massachusetts (1996-2004); Intersecurities in St. Petersburg, Florida (1992-1993); and Pruco Securities Corporation in Newark, New Jersey (1987-1992). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 29, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 19, 1996; Series 7 (General Securities Representative Examination), which he obtained on July 25, 1997; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 23, 1987; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on April 30, 1996. 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.

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.

iStock-157725324-300x200Public 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.

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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.

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