Public records published by the Financial Industry Regulatory Authority (FINRA) on June 23, 2016 indicate that former Pennsylvania-based First Allied Securities broker Theodore Rothman has been permanently barred from “engaging in certain activities.” The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rothman (CRD#…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 30, 2016 indicate that Mississippi-based First Allied Securities broker William Chancellor, also known as Danny Chancellor, has been named in a FINRA complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding…

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Fitapelli Kurta is investigating claims against First Allied Securities, Inc. and Advanced Equities Financial Corp.    First Allied Securities, Inc. purchased Advanced Equities Financial Corp. in 2007.  Advanced Equities Financial Corp. and brokers of the firm have been the subject of a multiple investors complaints and FINRA arbitrations stemming from Advanced Equities Financial Corp. offering and…

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