Articles Posted in Sanction

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.

Aaron AustinPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 31, 2018 indicate that former Maryland-based LPL Financial broker/adviser Aaron Austin has been sanctioned by FINRA in connection to alleged rule violations and from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Austin (CRD# 5481214).

Aaron Austin has spent four years in the securities industry and was most recently registered with LPL Financial in Bel Air, Maryland (2017-2018). Previous registrations include M&T Securities in Bear, Delaware (2012-2015) and M&T Securities in Bel Air, Maryland (2010-2011). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 24, 2015; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 20, 2012; SIE (Securities Industry Essentials Examination), which he obtained on May 25, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 10, 2010. He is currently not registered with any state or firm.

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

Donald CoxPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 18, 2018 indicate that Michigan-based Raymond James & Associates broker/adviser Donald Cox is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Cox (CRD# 716663).

Donald Cox has spent 38 years in the securities industry and has been registered with Raymond James & Associates in Wyandotte, Michigan and Naples, Florida since 2004. Previous registrations include JJB Hilliard WL Lyons in Louisville, Kentucky (1997-2004) and First of Michigan Corporation in Detroit, Michigan (1980-1997). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 6, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 23, 1980; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 15 (Foreign Currency Options Examination), which he obtained on May 18, 1984; Series 7 (General Securities Representative Examination), which he obtained on August 16, 1980; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on January 27, 1986. He is a registered broker and investment adviser with eight US states and territories: Arizona, California, Colorado, Florida, Iowa, Michigan, the US Virgin Islands, and Washington. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Dana VietorPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 18, 2018 indicate that former Texas-based CFD Investments broker/adviser Dana Vietor recently resigned from his former employer 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. Vietor (CRD# 873129).

Dana Vietor has spent 13 years in the securities industry and was most recently registered with CFD Investments in Dallas, Texas (2016-2018). Previous registrations include Oakbridge Financial Services in Nisswa, Minnesota (2014-2016); Cape Securities in Irving, Texas (2013-2014); Allied Beacon Partners in Independence, Iowa (2011-2013); Workman Securities in Independence, Iowa (2002-2011); Linsco/Private Ledger Corporation in Boston, Massachusetts (1998-2002); the Advisors Group in Bethesda, Maryland (1996-1998); Allied Group Merchant Banking Corporation in Columbus, Ohio (1994-1996); Lasalle St. Securities in Elmhurst, Illinois (1992-1993); Financial Network Investment Corporation in El Segundo, California (1990-1991); F&G Securities (1987-1988); St. Paul Investors (1983-1985); and SMA Equities (1981-1982). He has passed seven securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 20, 1979; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 22 (Direct Participation Programs Representative Examination), which he obtained on February 24, 2005; Series 62 (Corporate Securities Limited Representative Examination), which he obtained on February 19, 2005; Series 1 (Registered Representative Examination), which he obtained on October 20, 1979; Series 24 (General Securities Principal Examination), which he obtained on December 14, 2010; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on March 15, 1999. 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, and he recently resigned from his former employer in connection to alleged rule violations.

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.