Scott Reed (CRD#: 3007033), a registered representative with First Financial Equity Corporation (CRD#: 16507) in Scottsdale, Arizona, recently resigned from his position with Wells Fargo Clearing Services LLC after the firm alleged that he engaged in selling away, according to his BrokerCheck record accessed on May 15, 2020. Read on to learn more about selling…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that former Puerto Rico-based TransAmerica broker Pedro Gonzalez Seijo is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 30, 2016 indicate that former Illinois-based Morgan Stanley broker Brian Sak is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sak (CRD# 3259830).…

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Public records published by the Financial Industry Regulatory Authority (FINRA) on June 30, 2016 indicate that former New York-based Merrill Lynch broker Kenneth Daley has been permanently barred from acting as a broker. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Daley (CRD#…

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Public records published by the Financial Industry Regulatory Authority (FINRA) on June 29, indicate that California-based Centaurus broker Ralph Quintana II has received settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Quintana (CRD# 2284803). Ralph Quintana has spent…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 21, 2016 indicate that Utah-based Ameriprise Financial Services broker/adviser Kim Isaacson is the subject of a pending FINRA investigation. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Isaacson (CRD# 855618).…

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Public records published by the Financial Industry Regulatory Authority (FINRA) on June 16, 2016 indicate that Virginia-based BB&T Investment Services broker/adviser Omer Ali-Taha has been the subject of a customer complaint and a regulatory sanction. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr.…

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