David Volpe Investigation November 2021- Scottsdale, AZ According to publicly available records, David John Volpe a currently unregistered financial advisor whose prior registrations include First Financial Equity, LPL Financial and National…
read moreApril 2020-Dallas, TX The FINRA records of Clayton H. Wertz, a broker last employed in the securities industry by First Canterbury Securities, Inc., disclose a regulatory event resulting in his bar…
read moreApril 2018-Greenwood Village, Colorado According to FINRA records, former Merrill Lynch broker Joseph I. Yanofsky , discloses a recent regulatory suspension, a pending customer dispute, a termination from employment and 8 prior customer disputes that…
read moreApril 2019-Tucson, AZ We recently filed an arbitration claim with FINRA on behalf of an Arizona couple who allege that Kirk Gill over concentrated their retirement accounts with energy stocks and made…
read moreUPDATE March 2017–Melissa A. Strouse, CCO of First Financial Equity Corp., has consented, without admitting or denying the allegations made by FINRA, to the entry of certain findings and violations…
read moreGreenwood Village, Colorado According to FINRA records, Brooke A. Clements, a broker who has been registered with FIrst Financial Equity Corp, since 7/2015 , discloses that he was discharged from Merrill Lynch in…
read moreScottsdale, AZ According to FINRA records, Mark C. Quale, a broker who began working for First Financial Equity Corp. in 12/2005 discloses that he was discharged by First Financial Equity in…
read moreUPDATE March 2017- FINRA records disclose that additional customer disputes against Kirk Gill have been made since our prior posting. There are now 6 pending and 7 final customer disputes naming Gill. In February…
read moreGreenwood Village, Colorado According to FINRA records, John J. Avey, a broker who has been registered with First Financial Equity , since 1/2016 , discloses a termination and 2 prior customer disputes that…
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