Steven Quoy Was Recently Sanctioned by FINRA

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.

In December 2017 he submitted his “voluntary resignation” from Spencer Edwards following allegations that he distributed sales materials that contained misleading information and omissions in connection to investments in convertible notes of DOM offered by the firm in September 2013 and August 2014.

In December 2017 FINRA sanctioned him in connection to allegations that he distributed sales materials related to a convertible notes offering that were misleading, omitted information that caused them to be misleading, or that failed to offer a “fair and balanced presentation of information.” He was issued a fine of $7,500 and a 10-day suspension.

If you or someone you know has complaints regarding Steven Quoy, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited by law, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.

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