Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 17, 2017 indicate that former Oklahoma-based Waddell & Reed broker/adviser Paul Stanley has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from investors who have…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on January 24, 2017 indicate that former Illinois-based Waddell & Reed broker/adviser Robert Montano 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. Montano (CRD# 3003372).…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) on November 10, 2016 indicate that former Nevada-based Waddell & Reed broker William Albin is currently not affiliated with any broker-dealer firm. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Albin (CRD# 1744984).…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 29, 2016 indicate that South Dakota-based Waddell & Reed broker/adviser Tracy Munce has been the subject of a customer complaint and a regulatory sanction. 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 published by the Financial Industry Regulatory Authority (FINRA) on September 7, 2016 indicate that former Oklahoma-based Waddell & Reed broker Joseph Bess has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bess (CRD# 4441939). Joseph Bess…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 3, 2016 indicate that former Kansas-based VSR Financial Services investment adviser Edward Kratty was the subject of a closed customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kratty…

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According to records provided by the Financial Industry Regulatory Authority (FINRA), Florida-based International Assets Advisory broker Carlos Benavidez has signed a letter of Acceptance, Waiver and Consent (AWC Letter) settling allegations of misconduct. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Benavidez (CRD#…

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