Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2018 indicate that former New Jersey-based broker/adviser Francis Gendlek, who has received a pending customer dispute, was recently 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. Gendlek (CRD# 1054226).
Francis Gendlek has spent 32 years in the securities industry and is currently not registered with any state or firm. Previous registrations include TFS Securities in East Brunswick, New Jersey (2006-2014); ING Financial Partners in East Brunswick, New Jersey (2004-2006); Sammons Securities Company in Ann arbor, Michigan (2002-2004); 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); First Hanover Securities in Staten Island, New York (1990); Invest Financial Corporation in Tampa, Florida (1987-1990); BNL Securities (1986-1987); MetLife Securities (1982-1985); and Metropolitan Life Insurance Company (1982-1985). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 14, 1990; Series 7 (General Securities Representative Examination), which he obtained on June 18, 1988; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 3, 1982; and Series 24 (General Securities Principal Examination), which he obtained on August 22, 1990.
According to his BrokerCheck report, he has received one FINRA sanction and one pending customer complaint, and he resigned from his former employer in connection to alleged rule violations.