Posts Tagged ‘Discharged’
Timothy McLanahan Suspended by FINRA
Timothy McLanahan (CRD#: 2356791), a broker registered with Prospera Financial Services, was suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record, accessed August 18, 2020. Why was Timothy McLanahan suspended? Read on to find out more. Without admitting or denying the findings, on July 1, 2020, Timothy McLanahan entered into an…
Read MoreJerry Hurt (Ameritas) Has Two Regulatory Sanctions
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Kansas-based Ameritas Investment Corporation broker/adviser Jerry Hurt has received two regulatory sanctions. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hurt (CRD# 2139646). Jerry Hurt has…
Read MoreCarmen Lance Discharged from Securities America
Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 17, 2016 indicate that North Carolina-based Ameriprise Financial Services broker/adviser Carmen Lance, also known as Carmen Smith, has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints…
Read MoreLorene Fairbanks of Ameriprise Sanctioned by FINRA
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that Ohio-based Ameriprise broker/adviser Lorene Fairbanks has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Fairbanks (CRD# 2788572). Lorene Fairbanks has…
Read MoreCharles Woodall Discharged from Firm Following Unsuitability Allegations
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that Tennessee-based United Planners Services of America a Limited Partner broker/adviser Charles Woodall Sr. was discharged from his previous employer. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding…
Read MoreDavid Ross Discharged Following Outside Business Activity Allegations
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 5, 2016 indicate that former Tennessee-based Woodbury Financial Services broker David Ross is currently not licensed to act as a broker or investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints…
Read MoreRobert Cenko Has Numerous Outstanding Liens
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 5, 2016 indicate that former California-based LPL Financial broker/adviser Robert Cenko is currently not licensed to act as a broker or investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding…
Read MoreWesley Wood Discharged from WFG Investments
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 30, 2016 indicate that former Tennessee-based WFG Investments broker/adviser Wesley Wood has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wood (CRD# 4703879).…
Read MoreDennis Merritt Sanctioned by FINRA
Public records published by the Financial Industry Regulatory Authority (FINRA) on June 28, 2016 indicate that former Florida-based JW Cole Financial broker Dennis Merritt has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Merritt (CRD# 1748115). Dennis Merritt has…
Read MoreJeffrey Rush Discharged from Raymond James
Public records published by the Financial Industry Regulatory Authority (FINRA) on June 27, 2016 indicate that Michigan-based Ameriprise broker/adviser Jeffrey Rush has received settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rush (CRD# 1220200). Jeffrey Rush has spent…
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