Articles Tagged with Janney Montgomery Scott

Kenneth ByrnePublicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that New York-based Janney Montgomery Scott broker/adviser Kenneth Byrne has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Byrne (CRD# 1191939).

Kenneth Byrne has spent 34 years in the securities industry and has been registered with Janney Montgomery Scott in Garden City, New York since 2003. Previous registrations include Monarch Financial Corporation of America in New York, New York (1994-2003) and Stoever Glass & Company in New York, New York (1983). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 22, 1983; Series 7 (General Securities Representative Examination), which he obtained on March 17, 1984; and Series 52 (Municipal Securities Representative Examination), which he obtained on November 9, 1983. He is a registered broker and investment adviser with 19 US states and territories: Arizona, Connecticut, Florida, Iowa, Louisiana, Massachusetts, Michigan, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, Tennessee, Texas, Virginia, Washington, and Wisconsin.

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

Thomas NilesPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 7, 2017 indicate that New York-based Janney Montgomery Scott broker/adviser Thomas Niles has been named in a pending FINRA investigation. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Niles (CRD# 2264883).

Thomas Niles has spent 25 years in the securities industry and has been registered with Janney Montgomery Scott in Saratoga Springs, New York since 2015. Previous registrations include Morgan Stanley in Saratoga Springs, New York (2009-2015); Morgan Stanley & Company in Saratoga Springs, New York (2009); Wachovia Securities in Latham, New York (2003-2009); Prudential Securities in New York, New York (2000-2003); Salomon Smith Barney in New York, New York (1995-2000); and Merrill Lynch in New York, New York (1992-1995). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 10, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 8, 1992; Series 31 (Futures Managed Funds Examination), which he obtained on January 14, 2010; Series 7 (General Securities Representative Examination), which he obtained on September 9, 1992; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on May 5, 1998. He is a registered broker and investment adviser with 18 US states and territories: California, Colorado, Connecticut, Florida, Georgia, Illinois, Maryland, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, South Carolina, Texas and Vermont. He is registered with three self-regulatory organizations (SROs): FINRA, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has been named in a pending FINRA investigation into alleged rule violations.

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