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Category Summit Brokerage Services

Former Summit Equities Broker, Thomas Stappas, Barred By FINRA For Failing To Provide Documents And Information To FINRA In Connection With Investigation Into Outside Business Activities

September 17, 2019

Thomas Stappas (CRD # 855198) is a former Financial Advisor at Summit Equities, Inc. in Parisippany, NJ.  Thomas Stappas has been in the securities industry since 1978 and previously worked at Cigna Securities, Inc.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in September 2019, FINRA barred Thomas Stappas from…

Summit Brokerage Services Financial Advisor, Victor Rigoni III, Has Pending Customer Complaint, Alleging Fraud And Misrepresentation

January 13, 2019

The Wolper Law Firm is currently investigating claims against Victor Rigoni III, a Financial Adviser at Summit Brokerage Services in Lake Forrest, Illinois.  Victor Rigoni III has been in the securities industry since 2000 and previously worked at Cambridge Investment Research.    According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Victor…

Summit Brokerage Services Financial Advisor, Scott Kaup, Has Pending Customer Complaint, Alleging $2.6 Million In Damages

October 19, 2018

The Wolper Law Firm is currently investigating claims against Scott Kaup, a Financial Advisor at Summit Brokerage Services in Stuart, Nebraska. Scott Kaup has been in the securities industry since the 1980s and previously worked at VSR FInancial. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July 31, 2018,…

Summit Brokerage Services Financial Advisor, Joel Kamphuis, Has Pending Customer Complaint For Allegedly Recommending Unsuitable Investments

August 22, 2018

The Wolper Law Firm is currently investigating claims against Joel Kamphuis, a Financial Advisor at Summit Brokerage Services in Fort Lauderdale, FL.  Joel Kamphuis has been in the securities industry since 1987 and previously worked at J.P. Turner & Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on June…

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