Regulatory Investigation
Randall Fields: Texas Revoked San Antonio-Based Financial Advisor’s License
Randall Fields (CRD #: 1665946), an investment adviser previously registered with Facilitar Capital Group in San Antonio, Texas, has had his license revoked by the Texas State Securities Board, according to his Investment Adviser Public Disclosure record, accessed on May 19, 2021. His record further reveals an investor dispute as well as a resignation – keep…
Read MoreAlan Price Subject of FINRA Complaint Regarding Investor Loan
Alan Price (CRD #: 3181061), an investment adviser registered with Thurston Springer Advisors, is the subject of a FINRA complaint, according to his Investment Advisor Public Disclosure record, accessed on April 21, 2021. The complaint involved money he allegedly borrowed from a client. The details of this complaint as well as a related termination from…
Read MoreRoy Failla Suspended By New Jersey Securities Bureau
Roy Failla (CRD #: 2786551), a broker registered with Arive Capital Markets, has been suspended by the New Jersey Bureau of Securities, according to his BrokerCheck record, accessed on March 2, 2021. On January 4, 2021, Roy Failla consented to a 45-day suspension and a $15,000 fine from the New Jersey Bureau of Securities. This…
Read MoreBfc Planning, Incorporated
Bfc Planning is a Registered Investment Advisor firm, based in Cedar Rapids, Iowa. The firm is licensed to provide investor services in 51 U.S. states and territories. As a Registered Investment Advisor, this company is a fiduciary, meaning it is required by SEC regulations to act in its clients’ best interests. Are you a client of…
Read MoreEx-NYLife Securities Rep Mustaque Choudhury Resigns During Investigation
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 23, 2018 indicate that former New York-based NYLife Securities broker Mustaque Choudhury recently resigned from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors…
Read MoreJames Katzaroff Terminated From SMI Capital Markets, Named In FINRA Investigation
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 16, 2018 indicate that former Washington-based SMI Capital broker James Katzaroff was recently named in a FINRA investigation and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Katzaroff…
Read MoreMichael Bressman Terminated From FCG Advisors, Named In SEC Complaint
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 26, 2018 indicate that former New Jersey-based FCG Advisors broker/adviser Michael Bressman was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from…
Read MoreHoward Utz: Discharged, Named in Pending FBI and SEC Investigations
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 13, 2018 indicate that former Pennsylvania-based Hazard & Siegel broker/adviser Howard Utz was recently discharged from his former employer in connection to alleged rule violations and has been named in pending investigations by regulatory authorities. Fitapelli Kurta is interested in hearing…
Read MoreJohn Ernst Terminated From Foresters Equity, Named in Investigation
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 6, 2018 indicate that former California-based Foresters Equity Services broker John Ernst, who has been named in a regulatory investigation, was recently discharged from a former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer…
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