Articles Posted in Sanction

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.

Jeffrey PalishPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2018 indicate that former New Jersey-based Wells Fargo Clearing Services broker/adviser Jeffrey Palish has been sanctioned by FINRA 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. Palish (CRD# 1464054).

Jeffrey Palish has spent 31 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in Paramus, New Jersey (2010-2017). Previous registrations include Morgan Stanley Smith Barney in Paramus, New Jersey (2009-2010); Citigroup Global Markets in Paramus, New Jersey (2006-2009); Morgan Stanley DW in Paramus, New Jersey (2002-2006); UBS Painewebber in Weehawken, New Jersey (1993-2002); and McLaughlin Piven Vogel Securities in New York, New York (1986-1993). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 14, 1986, and Series 7 (General Securities Representative Examination), which he obtained on March 15, 1986. He is currently not registered with any state or firm.

According to his BrokerCheck report, Jeffrey Palish has been sanctioned by FINRA and was discharged from a former employer in connection to alleged rule violations.

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 2, 2018 indicate that former Connecticut-based RBC Capital Markets broker/adviser Michael Jacobs has received a pending customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Jacobs (CRD# 850659).

Michael Jacobs has spent 39 years in the securities industry and was most recently registered with RBC Capital Markets in Hartford, Connecticut (2002-2017). Previous registrations include Tucker Anthony in Boston, Massachusetts (1994-2002) and AdVest in Hartford, Connecticut (1978-1994). He has passed ten securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 2, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 8, 1982; Series 31 (Futures Managed Funds Examination), which he obtained on February 9, 2011; Series 3 (National Commodity Futures Examination), which he obtained on August 27, 1986; Series 7 (General Securities Representative Examination), which he obtained on March 18, 1978; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on June 4, 2003; Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on June 4, 2003; Series 53 (Municipal Securities Principal Examination), which he obtained on April 15, 1987; Series 24 (General Securities Principal Examination), which he obtained on December 4, 1981; and Series 4 (Registered Options Principal Examination), which he obtained on November 3, 1981. He is currently not registered with any state or firm.

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

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 1, 2018 indicate that New York-based Portfolio Advisors Alliance broker Stephen Tripodi has received resolved or pending customer disputes and a regulatory sanction. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Tripodi (CRD# 721461).

Stephen Tripodi has spent 36 years in the securities industry and has been registered with Portfolio Advisors Alliance in Snyder, New York since 2011. Previous registrations include Lasalle St. Securities in Williamsville, New York (1997-2011); Saperston Financial in Buffalo, New York (1994-1997); AdVest in Hartford, Connecticut (1986-1994); Prudential-Bache Securities (1983-1986); LF Rothschild Unterberg Towbin (1982-1983); and First Jersey Securities (1980-1981). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 2, 1983; Series 7 (General Securities Representative Examination), which he obtained on December 20, 1980; Series 4 (Registered Options Principal Examination), which he obtained on January 29, 2012; and Series 24 (General Securities Principal Examination), which he obtained on January 6, 2005. He is a registered broker with one US state: New York.

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

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 26, 2018 indicate that California-based Kestra Investment Services broker Gregory Acosta has been named in a pending regulatory complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Acosta (CRD# 816526).

Gregory Acosta has spent 24 years in the securities industry and has been registered with Kestra Investment Services in Diamond Bar, California since 2011. Previous registrations include Securities America in Diamond Bar, California (1998-2011); Mutual Service Corporation in Boston, Massachusetts (1999); Linsco/Private Ledger Corporation in Boston, Massachusetts (1994-1998); and Hartford Equity Sales Company in Hartford, Connecticut (1993-1994). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 20, 1993; Series 5 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 20, 1993; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on February 11, 2000. He is a registered broker with eleven US states and territories: California, Connecticut, Georgia, Idaho, Nevada, North Carolina, Pennsylvania, Texas, Utah, Virginia, and Washington.

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

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 7, 2018 indicate that New Jersey-based Hennion & Walsh broker/adviser Richard Hveem has received regulatory sanctions as well as resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hveem (CRD# 2622370).

Richard Hveem has spent 21 years in the securities industry and has been registered with Hennion & Walsh in Parsippany, New Jersey since 1995. He has no previous registrations. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 13, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 8, 1995; Series 7 (General Securities Representative Examination), which he obtained on November 11, 1996; and Series 52 (Municipal Securities Representative Examination), which he obtained on July 10, 1995. He is a registered broker and investment adviser with 36 US states and territories.

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

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 2, 2018 indicate that former Virginia-based Thompson Davis & Company broker/adviser Victor Dandridge has been sanctioned by FINRA 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. Dandridge (CRD# 5884409).

Victor Dandridge has spent four years in the securities industry and was most recently registered with Thompson Davis & Company in Richmond, Virginia (2012-2016). He was previously registered with T3 Trading Group in New York, New York (2011). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on March 2, 2012, and Series 7 (General Securities Representative Examination), which he obtained on February 16, 2012. He is currently not registered with any state or firm.

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

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 31, 2018 indicate that New Mexico-based Next Financial Group broker/adviser Danielle McAniff has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. McAniff (CRD# 5766774).

Danielle McAniff has spent five years in the securities industry and has been registered with Next Financial Group in Albuquerque, New Mexico since September 2016. She was previously registered with Edward Jones in Albuquerque, New Mexico (2012-2016). She has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on January 4, 2013, and Series 7 (General Securities Representative Examination), which she obtained on December 18, 2012. She is a registered broker and investment adviser with six US states: Arizona, California, Florida, Maryland, New Mexico, and Wyoming.

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

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 26, 2017 indicate that former Colorado-based Spencer Edwards broker/adviser Steven Quoy has been sanctioned by FINRA and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Quoy (CRD# 713992).

Steven Quoy has spent 33 years in the securities industry and was most recently registered with Spencer Edwards in Centennial, Colorado (2013-2017). Previous registrations include GVC Capital in Greenwood Village, Colorado (2010-2011); JP Turner & Company in Greenwood Village, Colorado (2007-2007); Bathgate Capital Partners in Greenwood Village, Colorado (2003-2006); Sands Brothers & Company in New York, New York (2002-2003); Global Capital Securities Corporation in Englewood, Colorado (1998-2002); American Fronteer Financial Corporation in Denver, Colorado (1984-1998); BJ Leonard & Company (1981-1984); American Western Securities (1980-1983); and First Colorado Investments & Securities (1980-1981). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 9, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 8, 1980; Series 55 (Limited Representative-Equity Trader Exam), which he obtained on April 24, 2000; Series 7 (General Securities Representative Examination), which he obtained on August 16, 1980; and Series 24 (General Securities Principal Examination), which he obtained on March 27, 1984. He is currently not registered with any state or firm.

According to his BrokerCheck report, Steven Quoy resigned from his former employer in connection to alleged rule violations and was recently sanctioned by FINRA.

William Paterson

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that former Florida-based GWN Securities broker/adviser William Paterson has been sanctioned by FINRA 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. Paterson (CRD# 3132630).

William Paterson has spent 17 years in the securities industry and was most recently registered with GWN Securities in Palm Beach Gardens, Florida (2017). Previous registrations include Advanced Advisor Group in Willmar, Minnesota (2006-2016); Great American Advisors in Cincinnati, Ohio (2005-2006); US Bancorp Investments in Saint Paul, Minnesota (2003-2004); Safeco Investment Services in Boston, Massachusetts (2001-2003); Great American Advisors in Cincinnati, Ohio (1999-2001); and Princor Financial Services Corporation in Des Moines, Iowa (1998-1999).He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 17, 1998, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on November 19, 1998. He is currently not registered with any state or firm.

According to his BrokerCheck report, William Paterson has been sanctioned by FINRA, was recently discharged from his former employer, and resigned from another former employ in connection to alleged rule violations.

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