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.