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$524M Suit Filed by UniversalLife Insurance Co. Against Northstar Financial Services (Bermuda)’s Greg Lindberg

September 19, 2021

Northstar Financial Services (Bermuda) Ltd. operated out of the country of Bermuda, although its investment products were also available in other countries through broker-dealers in the U.S. and elsewhere. The company was acquired by Greg Lindberg’s Global Bankers Insurance Group several years ago.   Among the investment products it offered were variable- and fixed-rate annuities.…

Former First Financial Equity Corp. Broker David Volpe Barred By FINRA For Allegedly Engaging In Private Securities Transactions With Customers

September 19, 2021

David Volpe (CRD#: 2543478) is a previously registered Broker, currently barred by FINRA. He entered the securities industry in 1996 and previously worked for First Financial Equity Corporation; LPL Financial, LLC; National Planning Corporation; AIG Financial Advisors, Inc.; and SunAmerica Securities, Inc.   According to publicly available records released by the Financial Industry Regulatory Authority…

Former Equitable Advisors Financial Advisor Kevin Klickna Discharged Due to Alleged “Repeated Document Integrity Issues”

September 19, 2021

Kevin Klickna (CRD#: 5640324) is an Investment Advisor and previously registered Broker. Kevin Klickna entered the securities industry in 2009 and previously worked for Equitable Advisors, LLC; and AXA Advisors, LLC.   According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in May 2021, a customer dispute against Kevin Klickna was…

Suitability Complaint Pending Against Former Worden Capital Management Broker Matthew Gates

September 19, 2021

Matthew Gates (CRD#: 4727945) is a registered Broker at Worden Capital Management, LLC in New York, NY; he is also a previously registered Investment Advisor. He entered the securities industry in 2004 and previously worked for Joseph Gunnar & Co., LLC; Laidlaw & Company (UK) LTD; and Sands Brothers & Co., LTD.   According to…

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