Gavin NatelliPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 17, 2018 indicate that New Jersey-based Oppenheimer & Company broker/adviser Gavin Natelli has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Natelli (CRD# 2218909).

Gavin Natelli has spent 25 years in the securities industry and has been registered with Oppenheimer & Company in Florham Park, New Jersey since 2014. Previous registrations include Morgan Stanley in Florham Park, New Jersey (2010-2014); Wells Fargo Advisors in Florham Park, New Jersey (2005-2010); UBS Financial Services in Weehawken, New Jersey (2000-2005); Salomon Smith Barney in New York, New York (1993-2000); and Lehman Brothers in New York, New York (1992-1993). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 27, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 28, 1992; and Series 7 (General Securities Representative Examination), which he obtained on April 8, 1992. He is a registered broker and investment adviser with 21 US states and territories: Arizona, California, Colorado, Connecticut, Delaware, Florida, Illinois, Indiana, Kentucky, Maryland, Massachusetts, Minnesota, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Puerto Rico, Vermont, and Virginia.

According to his BrokerCheck report, he has received one pending customer complaint and was terminated from a former employer in connection to alleged rule violations.

Erik O’LearyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that Massachusetts-based Securian Financial Services broker/adviser Erik O’Leary has been involved in a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. O’Leary (CRD# 3174893).

Erik O’Leary has spent four years in the securities industry and has been registered with Securian Financial Services in Mansfield, Massachusetts since April 2018. He was previously registered with NYLife Securities in Waltham, Massachusetts (2013-2018). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 16, 2015, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on October 11, 2013. He is currently not registered as a broker with any US state.

According to his BrokerCheck report, he has received one customer complaint and one financial disclosure.

James DavisPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that California-based Centaurus Financial broker/adviser James Davis has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Davis (CRD# 1530880).

James Davis has spent 31 years in the securities industry and has been registered with Centaurus Financial in San Francisco, California since 2006. Previous registrations include Securities America in San Francisco, California (1990-2006); Royal Alliance Associates in Jersey City, New Jersey (1989-1990); Integrated Resources Equity Corporation (1987-1989); Financial Planners Equity Corporation (1986-1987); and Cypress Capital Corporation (1986). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 23, 1987; Series 7 (General Securities Representative Examination), which he obtained on July 19, 1986; and Series 24 (General Securities Principal Examination), which he obtained on April 16, 1987. He is a registered broker and investment adviser with two US states: California and New York.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint, and he has been named in an investigation by state regulatory authorities.

Meaghan JohnsonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that former Virginia-based Northwestern Mutual Investment Services broker/adviser Meaghan Johnson has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Johnson (CRD# 5754123).

Meaghan Johnson has spent six years in the securities industry and was most recently registered with Northwestern Mutual Investment Services in McLean, Virginia (2010-2017). She was previously registered with Signator Investors in Vienna, Virginia (2010). She has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on February 23, 2010, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on February 19, 2010. She is currently not registered with any state or firm.

According to her BrokerCheck report, she has received five customer complaints and three pending customer complaints.

Walter Clark

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that former Maryland-based Wilmington Capital Services broker/adviser Walter Clark has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Clark (CRD# 1803139).

Walter Clark has spent 28 years in the securities industry and was most recently registered with Wilmington Capital Services in Columbia, Maryland (2015-2016). Previous registrations include Adirondack Trading Group in Columbia, Maryland (2014-2015); Southeast Investments in Charlotte, North Carolina (2014); Newbridge Securities Corporation in Columbia, Maryland (2011-2014); International Financial Solutions in Columbia, Maryland (2011); Summit Brokerage Services in Columbia, Maryland (2008-2011); Westrock Advisors in Columbia, Maryland (2002-2008); Pro-Integrity Securities in Longview, Texas (2000-2002); JWGenesis Financial Services in St. Louis, Missouri (1999-2000); Gruntal & Company in New York, New York (1995-2000); Wheat First Securities in Charlotte, North Carolina (1990-1995); and the Stuart-James Company in Denver, Colorado (1988-1990). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 15, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 12, 1988; Series 7 (General Securities Representative Examination), which he obtained on June 18, 1988; and Series 24 (General Securities Principal Examination), which he obtained on February 29, 2000. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received four customer complaints, two pending customer complaints, and one regulatory sanction.

David ReynoldsPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that former California-based Allstate Financial Services broker/adviser David Reynolds has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Reynolds (CRD# 4685302).

David Reynolds has spent ten years in the securities industry and was most recently registered with Allstate Financial Services in Modesto, California (2016-2017). Previous registrations include Princor Financial Services Corporation in Modesto, California (2008-2015); Merrill Lynch in Modesto, California (2008); and E*Trade Securities in New York, New York (2003-2004). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on April 21, 2008; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 25, 2008; and Series 7 (General Securities Representative Examination), which he obtained on January 8, 2008. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one FINRA sanction and two customer complaints, and he was recently discharged from his former employer in connection to alleged rule violations.

Dennis Hennessy

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 4, 2018 indicate that Iowa-based Client One Securities broker/adviser Dennis Hennessy was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hennessy (CRD# 1088298).

Dennis Hennessy has spent 35 years in the securities industry and has been registered with Mutual Securities in Clayton, Missouri since December 2017. Previous registrations include First Heartland Capital in Clayton, Missouri (1994-2017); WS Griffith & Company (1986-1999); WS Griffith & Company in Hartford, Connecticut (1984-1999); Home Life Insurance Company (1986-1992); Sentra Securities Corporation (1984-1986); and Home Life Equity Sales Corporation (1983-1984). He has passed five securities industry examination: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 12, 2018; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 23, 1983; Series 7 (General Securities Representative Examination), which he obtained on July 21, 1984; Series 22 (Direct Participation Programs Representative Examination), which he obtained on December 15, 1983; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 5, 1983. He is a registered broker and investment adviser with eight US states: Arizona, Arkansas, California, Florida, Missouri, South Carolina, Texas, and West Virginia.

According to his BrokerCheck report, he was discharged from his former employer in connection to alleged rule violations.

David GatlinPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 4, 2018 indicate that former Alabama-based Next Financial Group broker David Gatlin is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have disputes regarding Mr. Gatlin (CRD# 2202955).

David Gatlin has spent 18 years in the securities industry and was most recently registered with Next Financial Group in Bay Minette, Alabama (2014-2017). Previous registrations include Securities America in Spanish Fort, Alabama (2003-2014); Salomon Smith Barney in New York, New York (2000-2003); Pruco Securities Corporation (1992-1993); and FN Wolf & Company (1992). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 5, 2001; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 5, 2001; and Series 7 (General Securities Representative Examination), which he obtained on December 20, 2000. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one unsatisfied civil judgment or lien and two customer complaints that were closed or denied.

Brian TraversPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 4, 2018 indicate that former New York-based MML Investors Services broker Brian Travers has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have disputes regarding Mr. Travers (CRD# 4767891).

Brian Travers has spent 12 years in the securities industry and was most recently registered with MML Investors Services in Melville, New York (2013-2017); Lincoln Financial Advisors Corporation in Syosset, New York (2011-2013); MetLife Securities in Hauppage, New York (2009-2011); MML investors Services in Melville, New York (2007-2009); MetLife Securities in Hauppage, New York (2004-2007); Metropolitan Life Insurance Company in Hauppage, New York (2004-2007); and LH Ross & Company in Boca Raton, Florida (2004). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 5, 2011, and Series 7 (General Securities Representative Examination), which he obtained on June 10, 2004. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has been sanctioned by FINRA and was discharged from a former employer in connection to alleged rule violations.

Don GoodsonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 4, 2018 indicate that Arkansas-based Wells Fargo Clearing Services broker/adviser Don Goodson has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have disputes regarding Mr. Goodson (CRD# 1355873).

Don Goodson has spent 32 years in the securities industry and has been registered with Wells Fargo Clearing Services in Russellville, Arkansas since 2008. Previous registrations include AG Edwards & Sons in Russellville, Arkansas (1986-2008) and Swink & Company (1985-1986). He has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on August 31, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 31, 1985; Series 7 (General Securities Representative Examination), which he obtained on May 18, 1985; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on August 26, 2009; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on April 24, 2009. He is a registered broker and investment adviser with 18 US states and territories: Alaska, Arizona, Arkansas, California, Florida, Georgia, Kansas, Louisiana, Maryland, Missouri, Nevada, North Carolina, North Carolina, Oklahoma, Oregon, South Carolina, Texas, Virginia, and Wyoming. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.

As Seen On
New York Post
abc News
Investment News
Daily News
The Huffington Post
Wall Street Journal