Sharon Kwan (CRD#: 2578627), now a registered representative with Royal Alliance Associates, Inc. (CRD#: 23131) in Arcadia, California, was previously terminated from National Planning Corporation, according to her BrokerCheck record accessed on July 1, 2020.  On September 25, 2013, Sharon Kwan was terminated from National Planning Corporation. What happened? The firm found that she had…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 22, 2019 indicate that former Colorado-based National Planning Corporation broker Joshua Mischke, who is registered as an investment adviser with Infinite Wealth Management, was recently sanctioned by state regulatory authorities in connection to alleged rule violations and is currently not affiliated…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 11, 2017 indicate that former Missouri-based National Planning Corporation broker/adviser William Glaser has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in…

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Public records published by the Financial Industry Regulatory Authority (FINRA) on March 2, 2017 indicate that California-based broker-dealer firm National Planning Corporation has been sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding SII Investments (CRD# 29604). Established in Delaware in 1991, National…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) on January 3, 2017 indicate that Tennessee-based National Planning Corporation broker/adviser Kevin Fuerst has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Fuerst (CRD# 1932131). Kevin Fuerst has spent 27 years in the securities…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 23, 2016 indicate that Florida-based National Planning Corporation broker/adviser Kenneth Saunders 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 Mr. Saunders (CRD# 1481528). Kenneth…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 12, 2016 indicate that former Kansas-based National Planning Corporation broker Frank Barber, also known as Dean Barber, has been the subject of customer complaints and regulatory sanctions. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors…

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The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding California-based National Planning Corporation broker/adviser John Wallinger (CRD# 4394659). John Wallinger has spent fourteen years in the securities industry and has been registered with National Planning Corporation in Stockton, California since 2001. He is a registered…

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The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding California-based National Planning broker/adviser Steven Fairchild (CRD# 849127). Steven Fairchild has spent 37 years in the securities industry and has been registered with National Planning Corporation in Folsom, California since 1999. Previous registrations include Associated Securities…

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The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding New Jersey-based National Planning broker/adviser Anthony Gentilello (CRD# 2227019). Anthony Gentilello has spent 23 years in the securities industry and has been registered with National Planning Corporation in Marlton, New Jersey since 2007. Previous registrations include…

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