Scott Vincent Kaup of Stuart Nebraska a stockbroker formerly registered with FSR Advisory Services is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested more than $5,000.00 in damages supported by accusations that Kaup provided unsuitable recommendations to the customer regarding private placements and real estate securities transactions…

Jeffrey Donald Poosch of Fort Gratiot Michigan is a stockbroker currently registered with Summit Brokerage Services who is the subject of a customer initiated investment related written complaint on December 12 2016 where the customer alleged that the penalties for cancelling a variable annuity had never been disclosed to the customer. Financial Industry Regulatory Authority…

Linda Sue Zara of Boca Raton Florida is a stockbroker associated with Wells Fargo Clearing Services who has been fired in December 2017 based upon accusations that she executed an unapproved customer loan arrangement in violation of Wells Fargo’s policies. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that a customer initiated investment related arbitration…

Deane Serfer Rudofker, of Philadelphia, Pennsylvania, a stockbroker registered with Ameriprise Financial Services, Inc., has been terminated from employment based upon allegations that he engaged in communications and solicitations of investments with customers in a manner which violated Ameriprise’s solicitation rules. This is not the first time Rudofker was terminated for misconduct by a brokerage…

Craig Gary Langweiler of Newton, Pennsylvania, a stockbroker formerly registered with Summit Brokerage Services, Inc., was named in a Financial Industry Regulatory Authority (FINRA) Wells Notice, which indicated that a disciplinary action against Langweiler had been recommended by FINRA. Wells Notice No. 20140403477 (May. 1, 2017). The Notice indicated that from December of 2011 to…

Summit Brokerage Services of Boca Raton, Florida, was censured and fined $250,000 by the Financial Industry Regulatory Authority (FINRA) after consenting to findings that the firm, via its registered representatives, made unsuitable recommendations for customers to purchase leveraged and inverse exchange-traded funds. Letter of Acceptance, Waiver, and Consent, No. 2011029635101 (Dec. 2, 2015). According to…