Articles Posted in Terminated

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.

Robert CohenPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2018 indicate that New York-based Stifel Nicolaus & Company broker/adviser Robert Cohen, who has received customer disputes, was recently discharged from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cohen (CRD# 1162192).

Robert Cohen has spent 35 years in the securities industry and has been registered with Stifel Nicolaus & Company in Garden City, New York since October 2018. Previous registrations include UBS Financial Services in Garden City, New York (2008-2018); Morgan Stanley & Company in Jericho, New York (2007-2008); Morgan Stanley DW in Jericho, New York (1990-2007); and Butcher & Singer (1983-1990). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 16, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 23, 1983; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on January 25, 1991; Series 7 (General Securities Representative Examination), which he obtained on August 20, 1983; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on August 16, 1994. He is a registered broker and investment adviser with 25 US states and territories: Arizona, California, Colorado, Connecticut, the District of Columbia, Florida, Georgia, Kansas, Maryland, Massachusetts, Michigan, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, Tennessee, Texas, Vermont, Virginia, Washington, and Wisconsin. He is registered with six self-regulatory organizations (SROs): Cboe BZX Exchange Inc., FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he was recently discharged from his former employer in connection to alleged rule violations and has received three customer complaints.

Joseph PrattePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former California-based Signator Investors broker Joseph Pratte 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 hearing from investors who have complaints regarding Mr. Pratte (CRD# 818045).

Joseph Pratte has spent 35 years in the securities industry and was most recently registered with Signator Investors in Riverside, California (1982-2017). Previous registrations include John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1982-1997) and New York Life Securities Corporation (1982-1984). He has passed two securities industry examinations: SIE (Securities Industry Essentials Examination), which he obtained on December 31, 2017, and Series 1 (Registered Representative Examination), which he obtained on February 2, 1976. He is currently not registered with any state or firm.

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

Matthew WhitePublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former Arkansas-based MML Investors Services broker/adviser Matthew White has been sanctioned by state regulatory authorities in connection to alleged rule violations and is currently not registered as a broker with any state or firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. White (CRD# 5365185).

Matthew White has spent nine years in the securities industry and was most recently registered as a broker with MML Investors Services in Little Rock, Arkansas (2015-2018). He has been registered as an investment adviser with White McGowan in Little Rock, Arkansas since October 10, 2018. He was previously registered with Northwestern Mutual Investment Services in Little Rock, Arkansas (2009-2015). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 29, 2015; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 28, 2009; SIE (Securities Industry Essentials Examination), which he obtained on June 7, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 26, 2009. He is currently not registered as a broker with any state or firm.

According to his BrokerCheck report, Matthew White was terminated from a former employer in connection to alleged rule violations and was recently sanctioned by state regulators.

Stephen FlorioPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 30, 2018 indicate that Florida-based Cambridge Investment Research broker Stephen Florio, who has received a customer dispute, was recently terminated from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Florio (CRD# 1186577).

Stephen Florio has spent 34 years in the securities industry and has been registered with Cambridge Investment Research in Fort Lauderdale, Florida since October 2018. Previous registrations include Raymond James & Associates in Fort Lauderdale, Florida (2015-2018); Morgan Stanley in Fort Lauderdale, Florida (2009-2015); Morgan Stanley & Company in Fort Lauderdale, Florida (2007-2009); Morgan Stanley DW in Fort Lauderdale, Florida (2007); Banc of America Investment Services in Fort Lauderdale, Florida (2003-2007); Raymond James & Associates in St. Petersburg, Florida (1994-2003); Barnett Investments in Jacksonville, Florida (1989-1993); Barnett Bond Service (1987-1989); and Dean Witter Reynolds (1983-1987). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on February 13, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 13, 1983; SIE (Securities Industry Essentials Examination), which he obtained on August 31, 2018; and Series 7 (General Securities Representative Examination), which he obtained on September 17, 1983. He is currently not licensed as a broker with any US state.

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

Paul LemacksPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 30, 2018 indicate that former Virginia-based Voya Financial Advisors broker Paul Lemacks was recently terminated 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. Lemacks (CRD# 1019720).

Paul Lemacks has spent 18 years in the securities industry and was most recently registered with Voya Financial Advisors in Richmond, Virginia (2000-2018). He has no previous registrations. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 23, 1999; SIE (Securities Industry Essentials Examination), which he obtained on August 23, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 22, 200. He is currently not registered with any state, firm, or self-regulatory organization (SRO).

According to his BrokerCheck report, Paul Lemacks was recently discharged from a former employer in connection to alleged rule violations.

Scott BurnsPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 30, 2018 indicate that former Michigan-based LPL Financial broker/adviser Scott Burns, who has received a customer dispute, was recently terminated 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. Burns (CRD# 5140649).

Scott Burns has spent 12 years in the securities industry and was most recently registered as a broker with LPL Financial in Monroe, Michigan (2016-2018). Previous registrations include Fifth Third Securities in Toledo, Ohio (2011-2016); Signator Investors in Toledo, Ohio (2010-2011); UVest Financial Services Group in Flat Rock, Michigan (2009-2010); and Edward Jones in Monroe, Michigan (2006-2009). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on April 1, 2011; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 14, 2006; SIE (Securities Industry Essentials Examination), which he obtained on September 5, 2018; and Series 7 (General Securities Representative Examination), which he obtained on July 10, 2006. He is currently not registered as a broker with any state or firm.

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

Jeffrey WalkerPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 30, 2018 indicate that former Pennsylvania-based Citizens Securities broker/adviser Jeffrey Walker, who has received a pending customer dispute, was recently terminated 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. Walker (CRD# 4556832).

Jeffrey Walker has spent 15 years in the securities industry and was most recently registered with Citizens Securities in Philadelphia, Pennsylvania (2016-2018). Previous registrations include Client One Securities in Yardley, Pennsylvania (2016); LPL Financial in Marlton, New Jersey (2011-2016); Securities America in Langhorne, Pennsylvania (2007-2011); Ameriprise Financial Services in Camp Hill, Pennsylvania (2002-2007); and IDS Life Insurance Company in Minneapolis, Minnesota (2002-2006). He has passed seven securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 18, 2002; SIE (Securities Industry Essentials Examination), which he obtained on July 16, 2018; Series 7 (General Securities Representative Examination), which he obtained on August 20, 2002; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on March 7, 2008; Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on October 6, 2007; Series 51 (Municipal Fund Securities Principal Examination), which he obtained on January 24, 2005; and Series 24 (General Securities Principal Examination), which he obtained on January 10, 2005. He is currently not registered with any state or firm.

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

Joseph WoitkoskiPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 25, 2018 indicate that former Massachusetts-based Raymond James & Associates broker/adviser Joseph Woitkoski was recently terminated 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. Woitkoski (CRD# 3023301).

Joseph Woitkoski has spent 20 years in the securities industry and was most recently registered with Raymond James & Associates in Pittsfield, Massachusetts (2010-2018). Previous registrations include Merrill Lynch Pierce Fenner & Smith in Albany, New York (2004-2010) and UBS Financial Services in Weehawken, New Jersey (1998-2004). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 20, 2004; Series 66 (Uniform Combined State Law Examination), which he obtained on June 2, 1998; SIE (Securities Industry Essentials Examination), which he obtained on September 12, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on April 29, 2008; Series 7 (General Securities Representative Examination), which he obtained on April 20, 1998; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on February 28, 2006; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on October 14, 2005. He is currently not registered with any state, firm or self-regulatory organization.

According to his BrokerCheck report, Joseph Woitkoski was recently discharged from his former employer in connection to alleged rule violations.

Mark Lamkin

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 26, 2018 indicate that former Kentucky-based LPL Financial broker/adviser Mark Lamkin was recently terminated 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. Lamkin (CRD# 2121510).

Mark Lamkin has spent 27 years in the securities industry and was most recently registered with LPL Financial in Louisville, Kentucky (2001-2018). Previous registrations include PNC Brokerage Corporation in Pittsburgh, Pennsylvania (1994-2001); GNA Securities in Richmond, Virginia (1991-1994); Equico Securities in New York, New York (1991); and the Equitable Life Assurance Society of the United States in New York, New York (1991). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 1, 2001; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 21, 1991; SIE (Securities Industry Essentials Examination), which he obtained on September 14, 2018; Series 7 (General Securities Representative Examination), which he obtained on June 17, 1994; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 4, 1991; and Series 24 (General Securities Principal Examination), which he obtained on April 20, 2001. He is currently not registered with any state or firm.

According to his BrokerCheck report, Mark Lamkin has received one pending customer complaint, was discharged from a former employer in connection to alleged rule violations, and resigned from another former employer in connection to alleged rule violations.