Douglas Havel: Variable Annuity Complaint Settles for $34,000

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 28, 2018 indicate that Iowa-based Principal Securities broker/adviser Douglas Havel has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Havel (CRD# 2250349). Douglas Havel has spent 26 years in the securities…

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Christopher Hildebrant Terminated from Principal Securities Over Misappropriation Allegations

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 13, 2018 indicate that former New Jersey-based Principal Securities broker/adviser Christopher Hildebrant, who has received resolved or pending customer disputes, was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer…

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Aaron O’Neal: Washington Securities Division Alleges Undisclosed Private Securities Transactions

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 29, 2018 indicate that former Oregon-based Principal Securities broker/adviser Aaron O’Neal, who was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm, was recently named in a pending regulatory complaint.…

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Mark Foster: Investors Allege Unsuitable Sales, Misrepresentation by Principal Securities Rep

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 30, 2018 indicate that California- and Nevada-based Principal Securities broker/adviser Mark Foster has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Foster (CRD# 2343298). Mark Foster has spent…

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Bettye Hays Has Been Discharged From a Former Employer

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 25, 2017 indicate that former Alabama-based Principal Securities broker Bettye Hays, also known as Bettye Clements, has been discharged from her former employer and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have…

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Willie Everett Involved in a Pending FINRA Investigation

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 22, 2017 indicate that former North Carolina-based Principal Securities broker Willie Everett has been named in a pending 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.…

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Broker Akio Bley Issued a Three Month Suspension by FINRA

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 7, 2017 indicate that former California-based Principal Securities broker/adviser Akio Bley has been suspended by FINRA and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bley (CRD# 4228333). Akio…

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