Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 10, 2017 indicate that California-based broker-dealer Foothill Securities was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Foothill Securities (CRD# 1027). Established in California in 1962, Foothill Securities…

Read More

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding California-based Foothill Securities broker/adviser Harry Rubins (CRD# 1456869). Harry Rubins has spent 29 years in the securities industry and has been registered with Foothill Securities in Santa Rosa, California since 1994. Previous registrations include Corporate Benefit…

Read More

 On May 12, 2015 Foothill Securities broker, John H. Kroeger, of Phoenix, Arizona, was suspended from the financial industry for two months. According to the FINRA Letter of Acceptance, Waiver and Consent (AWC), John H. Kroeger and his wife filed for Bankruptcy in Arizona without informing his firm, Foothill Securities. John H. Kroeger’s FINRA BrokerCheck…

Read More