Articles Tagged with EK Riley Investments

Robert UrbanPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 31, 2018 indicate that former New York-based EK Riley Investments broker/adviser Robert Urban, who has received a customer dispute, recently resigned from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Urban (CRD# 2561504).

Robert Urban has spent 20 years in the securities industry and has been registered with EK Riley Investments in Westhampton Beach, New York since March 2018. Previous registrations include Morgan Stanley in Riverhead, New York (2009-2018); Morgan Stanley & Company in Riverhead, New York (2008-2009); and Merrill Lynch in Riverhead, New York (1997-2008). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 25, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 1, 1997; Series 31 (Futures Managed Funds Examination), which he obtained on June 15, 2009; Series 7 (General Securities Representative Examination), which he obtained on July 16, 1997; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on September 4, 2008; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on August 5, 2008. He is a registered broker and investment adviser with eight US states and territories: Arizona, California, Connecticut, Florida, New Jersey, New York, Pennsylvania, and Utah.

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

Calvin WillisPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 21, 2017 indicate that New Mexico-based EK Riley Investments broker Calvin Willis was recently terminated from his former employer, Edward Jones, in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Willis (CRD# 2827320).

Calvin Willis has spent 20 years in the securities industry and has been registered with EK Riley Investments in Albuquerque, New Mexico since May 2017. He was previously registered with Edward Jones in Albuquerque, New Mexico from 1997 to 2017. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 24 (General Securities Principal Examination). He is a registered broker with 13 US states and territories: Arkansas, California, Colorado, Indiana, Maryland, New Jersey, New Mexico, New York, Pennsylvania, Utah, Virginia, Washington and Wisconsin.

According to his BrokerCheck report, Calvin Willis was recently terminated from his employer in connection to alleged rule violations.

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