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Roderick von Lipsey (CRD #: 4270444), a broker registered with UBS Financial Services Inc., is facing pending customer disputes regarding unsuitability and misrepresentation, according to his BrokerCheck record, accessed on September 17, 2020. If you have questions about Roderick von Lipsey’s conduct as a broker, keep reading for more details about his disclosures.

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Man holding a pen and signing contract.

On August 11, 2020, a client alleged that Roderick von Lipsey misrepresented certain securities and made unsuitable investment recommendations. The client is seeking $445,894; the dispute is pending.

Jeffrey Weiner (CRD#: 2476604), a registered representative with Pruco Securities LLC (CRD#: 5685) in New York, New York, is currently involved in two pending investor disputes, according to his BrokerCheck record accessed on July 29, 2020. What happened to lead to these disputes? Read on to learn more.

Jeffrey Weiner
On May 19, 2020, a client alleged that Jeffrey Weiner misrepresented a variable universal life insurance (VUL) policy. The policy was issued on September 9, 2015. The client is alleging that Jeffrey Weiner never told him that he would be surrendering his whole life policy by doing a 1035 Exchange into a new VUL. the client is seeking a return of the cash value of the policy and all premiums paid since 2015. The matter is pending. 

On May 23, 2020, a second client alleged that Jeffrey Weiner misrepresented a variable universal life policy. This policy was issued on March 3, 2017. The policy was funded by a 1035 Exchange of two Universal Life policies. The client alleges that this resulted in a $5,000 surrender charge that Jeffrey Weiner never told him about. The client is seeking a reversal of the transaction, a return to his old policies, and the $5,000 surrender charge credited to these policies. The matter is pending.

Christopher Vining (CRD#: 2945065), a registered representative with Morgan Stanley (CRD#: 149777) in Bradenton, Florida, is currently involved in a pending investor dispute, according to his BrokerCheck record accessed on July 29, 2020. What happened to lead to these disputes? Read on to learn more. 

Christopher Vining
On May 29, 2020, a client filed an investor complaint against Christopher Vining. A client is alleging that Christopher Vining misrepresented an alternative investment fund that the client purchased in 2019. The matter is pending. 

This is not the only disclosure on Christopher Vining’s BrokerCheck record. On April 27, 2009, a customer alleged that the broker engaged in unauthorized trading. The client originally sought $176,000 in damages; the matter ultimately settled for $81,425. 

Timothy MillisPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that former Michigan-based NYLife Securities broker/adviser Timothy Millis, who has received a customer complaint, recently resigned from a 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. Millis (CRD# 706959).

Timothy Millis has spent 39 years in the securities industry and was most recently registered with NYLife Securities in Okemos, Michigan (2002-2019). Previous registrations include Valic Financial Advisors in Houston, Texas (1999-2002); the Variable Annuity Marketing Company in Houston, Texas (1980-2001); and American Capital Financial Services (1980-1984). He has passed six securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on April 8, 2016; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 28, 1998; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on May 15, 2001; Series 1 (Registered Representative Examination), which he obtained on March 31, 1980; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on August 23, 1996. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and recently resigned from his former employer in connection to alleged rule violations.

James BylengaPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 15, 2019 indicate that former Michigan-based LPL Financial broker/adviser James Bylenga 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. Bylenga (CRD# 705143).

James Bylenga has spent 38 years in the securities industry and was most recently registered with LPL Financial in Portage, Michigan (2016-2018). Previous registrations include Comerica Securities in Kalamazoo, Michigan (2009-2016); Robert W. Baird & Company in Kalamazoo, Michigan (2007-2009); Citigroup Global Markets in Kalamazoo, Michigan (1993-2007); Lehman Brothers in New York, New York (1991-1993); and Centennial Securities in Grand Rapids, Michigan (1980-1991).He has passed nine securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 26, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 23, 1980; SIE (Securities Industry Essentials Examination), which he obtained on August 23, 2018; Series 3 (National Commodity Futures Examination), which he obtained on January 25, 1994; Series 7 (General Securities Representative Examination), which he obtained on February 16, 1980; Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on August 27, 1994; Series 53 (Municipal Securities Principal Examination), which he obtained on October 19, 1984; Series 27 (Financial and Operations Principal Examination), which he obtained on May 1, 1981; and Series 24 (General Securities Principal Examination), which he obtained on November 25, 1980. He is currently not registered with any state or firm.

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

Earl MidgettePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 15, 2019 indicate that former North Carolina-based LPL Financial broker Earl Midgette was recently terminated from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Trowbridge (CRD# 2332439).

Earl Midgette has spent 25 years in the securities industry and was most recently registered with LPL Financial in Huntersville, North Carolina (2016-2019). Previous registrations include National Securities Corporation in Cornelius, North Carolina (2016); Ridgeway & Conger in New Woodstock, New York (2013-2016); Cantella & Company in Huntersville, North Carolina (2008-2013); Coburn & Meredith in Hartford, Connecticut (2004-2008); Janney Montgomery Scott in Philadelphia, Pennsylvania (1999-2004); Dean Witter Reynolds in Purchase, New York (1993-1999); and Chatfield Dean & Company in Greenwood Village, Colorado (1993). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 23, 1993; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on September 22, 1993; and Series 7 (General Securities Representative Examination), which he obtained on May 20, 1993. He is currently not registered with any state or firm.

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

Philip NotoPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2019 indicate that former New Jersey-based First Standard Financial Company broker Philip Noto has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Noto (CRD# 4837180).

Philip Noto has spent nine years in the securities industry and was most recently registered with First Standard Financial Company in Red Bank, New Jersey (2014-2018). Previous registrations include Alexander Capital in Staten Island, New York (2012-2014); Brookstone Securities in Freehold, New Jersey (2009-2012); and Gunnallen Financial in Tampa, Florida (2004-2005). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 13, 2010; SIE (Securities Industry Essentials Examination), which he obtained on August 20, 2018; Series 7 (General Securities Representative Examination), which he obtained on November 21, 2009; Series 4 (Registered Options Principal Examination), which he obtained on March 8, 2013; and Series 24 (General Securities Principal Examination), which he obtained on January 6, 2010. He is currently not registered with any state or firm.

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

John Horseman Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2019 indicate that Missouri-based LPL Financial broker John Horseman has received resolved or pending customer complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Horseman (CRD# 851636).

John Horseman has spent 34 years in the securities industry and has been registered with LPL Financial in St. Louis and Fulton, Missouri since 2017. Previous registrations include National Planning Corporation in St. Louis, Missouri (2007-2017); Associated Securities Corporation in St. Louis, Missouri (2002-2007); Prudential Securities in New York, New York (2000-2002); Painewebber in Weehawken, New Jersey (1994-2000); John Hancock Distributors and John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1992-1994); MetLife Securities in Springfield, Massachusetts (1992); Metropolitan Life Insurance Company in New York, New York (1992); Ventana Financial Corporation (1986); Boettcher & Company (1985); Contisecurities (1983-1984); Prudential-Bache Securities (1982-1984); EF Hutton & Company (1982); Kidder Peabody & Company (1980-1982); EF Hutton & Company (1979-1980); and Merrill Lynch (1978-1979). He has passed nine securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 10, 2015; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 29, 1992; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on May 29, 2001; Series 7 (General Securities Representative Examination), which he obtained on July 29, 1994; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 29, 1992; Series 5 (Interest Rate Options Examination), which he obtained on December 12, 1981; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on January 22, 2001; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on January 22, 2001. He is a registered broker and investment adviser with 31 US states and territories.

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

Stephen TrowbridgePublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2019 indicate that Florida-based Newbridge Securities Corporation broker Stephen Trowbridge has received a customer complaint and was recently terminated from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Trowbridge (CRD# 2153891).

Stephen Trowbridge has spent 25 years in the securities industry and has been registered with Newbridge Securities in Boca Raton, Florida since May 2019. Previous registrations include Kestra Investment Services in Hoover, Alabama (2015-2019); Securities America in Hoover, Alabama (2014-2015); Sterne Agee in Hoover, Alabama (2009-2014); Merrill Lynch in Birmingham, Alabama (2008-2009); Colonial Brokerage in Clanton, Alabama (2003-2008); Raymond James Financial Services in St. Petersburg, Florida (2003); Frank Chappelle & Company in Birmingham, Alabama (2003); Compass Brokerage in Birmingham, Alabama (1998-2003); SunAmerica Securities in Phoenix, Arizona (1997-1998); John Hancock Distributors in Boston, Massachusetts (1995-1997); John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1995-1997); MetLife Securities in Springfield, Massachusetts (1993-1995); and Metropolitan Life Insurance Company in New York, New York (1993-1995). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 17, 1993; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on August 10, 2000; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 18, 1993. He is currently not registered with any US state or territory.

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

Kirk BadiiPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that Massachusetts-based Cantella & Company broker/adviser Kirk Badii has received a pending customer complaint and was discharged from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Badii (CRD# 5829768).

Kirk Badii has spent seven years in the securities industry and has been registered with Cantella & Company in Malden, Massachusetts; Los Angeles, California; and Irvine, California since 2018. Previous registrations include Raymond James Financial Services in Torrance, California (2018); UBS Financial Services in Los Angeles, California (2012-2018); and Credit Suisse Securities in Los Angeles, California (2011-2012). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 2, 2011; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on August 22, 2011. He is a registered broker and investment adviser with 19 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Georgia, Hawaii, Michigan, Minnesota, Nevada, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, Texas, Utah, and Wisconsin.

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

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