James Petrizzo, of Boulder City, Nevada, a stockbroker registered with CUNA Brokerage Services Inc, has been denied registration by Wisconsin Office of the Commissioner of Insurance. Decision No. 21-C044204 (October 7, 2021). Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Petrizzo has also been fined $35,000.00 by Nevada Securities Division because Petrizzo submitted a…
Kyle W. Steibel, of Belleville, Illinois, a stockbroker registered with CUNA Brokerage Services Inc., has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Steibel failed to respond to FINRA’s request for information. FINRA Case No. 2022074241501 (May 1, 2023). According to FINRA’s Notice of Suspension letter issued…
Eric Stephen Pasquini of Fort Wayne, Indiana, a stockbroker registered with CUNA Brokerage Services Inc., is the subject of a customer initiated investment related complaint filed on August 18, 2021, in which the customer requested $19,156.70 in damages resulting from excessive assets in variable annuities when Pasquini was associated with CUNA Brokerage Services Inc. This…
Stephen Allen Sylvester (also known as Steve Sylvester), of Groton and Waterford, Connecticut, a stockbroker currently registered with CUNA Brokerage Services Inc., is referenced in a customer initiated investment related written complaint which was settled on November 2, 2021, to resolve allegations that Sylvestor made the unsuitable recommendation to purchase a fixed annuity transaction during…
Todd Douglas Micciche of Portland Oregon a stockbroker formerly registered with Cuna Brokerage Services Inc. is referenced in a customer initiated investment related written complaint on October 5, 2020 where the customer requested $20,000.00 in damages supported by allegations that Micciche failed to respond to the customer’s requests of liquidating a mutual fund account at…
Stephen Allen Sylvester of Groton Connecticut a stockbroker currently associated with CUNA Brokerage Services Inc. is referenced in a customer initiated investment related written complaint on April 22, 2016 where the customer sought $40,000.00 in damages supported by accusations that (1) Sylvester failed to make disclosures to the customer about the penalties of surrendering a…
Todd Douglas Micciche of Portland Oregon a stockbroker currently employed by CUNA Brokerage Services Inc. is referenced in a customer initiated investment related written complaint which was resolved for $57,700.00 in damages on December 14, 2017 based upon accusations that an unauthorized liquidation of the customer’s assets were executed from the customer’s account. Financial Industry…
James David Armer of Albuquerque New Mexico a stockbroker formerly registered with BBVA Securities Inc. is referenced in a customer initiated investment related written complaint on December 7, 2018 where the customer sought damages estimated to exceed $5,000.00 based upon allegations that while associated with BBVA Securities Inc. Armer failed to inform the customer about…
Stacy Elizabeth Cheney-Jamison of Boca Raton Florida a stockbroker formerly registered with CUNA Brokerage Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she failed to provide documentation and information to FINRA in an investigation into allegations of Cheney-Jamison selling…