Category Archives: Securities Law

Customer Alleges George Puliafico Breached Contract

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that Massachusetts-based Raymond James Financial Services broker George Puliafico is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Puliafico (CRD# 1158596). George Puliafico has spent 34 years in the securities industry and has been registered with Raymond James Financial Services in Walpole, Massachusetts since 1999. Previous registrations include Robert Thomas Securities in St. Petersburg, Florida (1994-1999); Smith Barney Shearson in New York, New York (1993-1994); Lehman Brothers in New York, New York (1986-1993); IDS Marketing Corporation (1984-1986); IDS Financial Services (1984-1986); and First Investors Corporation (1983-1984). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 18,….. To continue reading this legal news please click Read full information...

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Customer Alleges Ronald McCook Acted Grossly Negligent and Committed Fraud

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that Arizona-based First Allied Securities broker/adviser Ronald McCook is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McCook (CRD# 4155186). Ronald McCook has spent 17 years in the securities industry and has been registered with First Allied Securities in Scottsdale, Arizona since 2014. Previous registrations include National Planning Corporation in Scottsdale, Arizona (2009-2014); Sagepoint Financial in Scottsdale, Arizona (2005-2009); SunAmerica Securities in Phoenix, Arizona (2001-2005); and Washington Square Securities in Des Moines, Iowa (2000-2001). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 8, 2000, and Series 7 (General Securities Representative Examination), which he obtained on….. To continue reading this legal news please click Read full information...

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Coordination, innovation key in blockchain regulation, say NASAA FinTech panelists

By Anne Sherry, J.D. Panelists at the NASAA Fintech Forum in Washington, D.C., examined the challenges and opportunities ahead as regulators grasp with blockchain-related innovations. At a morning panel about virtual currency regulation, regulators and a defense attorney debated whether regulatory certainty is a help or hindrance in this emerging area. A more tech-focused afternoon session focused on the evolution and future of blockchain technology. Virtual currency regulation. Representatives from the SEC, CFTC, and Conference of State Bank Supervisors, along with a Ballard Spahr partner, discussed the regulatory landscape around virtual currencies. This conversation focused around innovation, cooperation, and coordination. Ballard Spahr partner Marjorie Peerce said that uncertainty in the landscape makes it difficult to counsel clients about the rules. There is no confusion or disagreement when it comes to fraud, but the number of different agencies—both federal and….. To continue reading this legal news please click Read full information...

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Hector May-Former Securities America Broker-Investigated Over Missing Client Funds-New City, NY

Rex Securities Law-Nationwide representation of investors seeking recovery of losses due to stockbroker malpractice. May 2018-New City, NY The  press reports that Rockland County businessman and former Securities America stockbroker Hector May is being investigated by federal prosecutors on allegations of stealing his client’s money. According to FINRA records, Hector A. May ,  currently has one customer claim pending that alleges misappropriation of funds and FINRA records also confirm that … Continue reading Hector May-Former Securities America Broker-Investigated Over Missing Client Funds-New City, NY → The post Hector May-Former Securities America Broker-Investigated Over Missing Client Funds-New City, NY appeared first on Rex Securities Law BLOG... To continue reading this legal news please click Read full information...

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Richard E. Poston-Former H. Beck Broker-Subject of $500K Customer Dispute Over REITs-Plano, TX

Rex Securities Law-Nationwide representation of investors seeking recovery of losses due to stockbroker malpractice. May 2018-Plano, Texas According to FINRA records, Richard E. Poston, a broker who is not currently employed in the industry, and who last worked for H. Beck, Inc. in Plano, Texas , discloses a pending customer dispute , 4 prior customer disputes and a termination from employment. The Financial Industry Regulatory Authority (FINRA) is the agency that … Continue reading Richard E. Poston-Former H. Beck Broker-Subject of $500K Customer Dispute Over REITs-Plano, TX → The post Richard E. Poston-Former H. Beck Broker-Subject of $500K Customer Dispute Over REITs-Plano, TX appeared first on Rex Securities Law BLOG... To continue reading this legal news please click Read full information...

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