Articles Tagged with Capital Financial Services

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2018 indicate that former Washington-based Capital Financial Services broker/adviser Lloyd Johnston, who has received a pending 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 speaking to investors who have complaints regarding Mr. Johnston (CRD# 1626695).

Lloyd Johnston has spent 27 years in the securities industry and was most recently registered with Capital Financial Services in Spokane, Washington (2006-2018). Previous registrations include Legacy Financial Services in Clinton, Maryland (2004-2006); Investors Capital Corporation in Lynnfield, Massachusetts (1996-2004); Intersecurities in St. Petersburg, Florida (1992-1993); and Pruco Securities Corporation in Newark, New Jersey (1987-1992). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 29, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 19, 1996; Series 7 (General Securities Representative Examination), which he obtained on July 25, 1997; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 23, 1987; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on April 30, 1996. He is currently not registered with any state or firm.

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

Robin Walls

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 24, 2017 indicate that Minnesota-based Capital Financial Services broker/adviser Robin Walls has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Walls (CRD# 2486133).

Robin Walls has spent 23 years in the securities industry and has been registered with Capital Financial Services in Chanhassen, Minnesota since 2012. Previous registrations include Questar Capital Corporation in Chaska, Minnesota; Fintegra LLC in Chaska, Minnesota; Primevest Financial Services in St. Cloud, Minnesota; and GNA Securities in Richmond, Virginia. He is a registered broker and investment adviser with seven US states and territories: Arizona, California, Florida, Indiana, Minnesota, Ohio and Texas.

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

Richard Thomas

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 23, 2017 indicate that former California-based Capital Financial Services broker Richard Thomas was recently terminated from a former employer and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Adams (CRD# 1590489).

Richard Adams has spent 29 years in the securities industry and was most recently registered with Capital Financial Services in Glendale, California (2016-2017). Previous registrations include Centaurus Financial in Glendale, California; Questar Capital Corporation in Moorpark, California; Tower Square Securities in Moorpark, California; Royal Alliance Associates in Jersey City, New Jersey; Linsco/Private Ledger Corporation in Boston, Massachusetts; Mutual Service Corporation in Boston, Massachusetts; and AAL Capital Management Corporation in Minneapolis, Minnesota. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one regulatory sanction and was terminated from his former employer.