Matthew McCooeyPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 19, 2018 indicate that former California-based Wells Fargo Securities broker Matthew McCooey, who has received a customer dispute, recently resigned 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 hearing from investors who have complaints regarding Mr. McCooey (CRD# 5153807).

Matthew McCooey has spent eight years in the securities industry and was most recently registered with Wells Fargo Securities in Los Angeles, California (2013-2018). Previous registrations include Wells Fargo Institutional Securities in San Francisco, California (2014); Citigroup Global Markets in New York, New York (2010-2013); Rafferty Capital Markets in Garden City, New York (2010); and Bear Wagner Specialists in New York, New York (2006). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 6, 2013, and Series 7 (General Securities Representative Examination), which he obtained on May 26, 2010. 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.

Ken CarterPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 19, 2018 indicate that Washington-based RBC Capital Markets broker/adviser Ken Carter is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Carter (CRD# 1351802).

Ken Carter has spent thirty-three years in the securities industry and has been registered with RBC Capital Markets in Seattle, Washington since 1998. Previous registrations include Piper Jaffray in Minneapolis, Minnesota (1987-1998); National Securities Corporation (1986-1987); and First Investors Corporation (1985-1986). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 26, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 5, 1985; Series 31 (Futures Managed Funds Examination), which he obtained on May 5, 2003; Series 7 (General Securities Representative Examination), which he obtained on July 19, 1986; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 2, 1985. He is a registered broker and investment adviser with 30 US states and territories, and with ten self-regulatory organizations (SROs): BOX Options Exchange, Cboe Exchange, FINRA, NYSE American, NYSE Arca, Nasdaq BX, Nasdaq ISE, Nasdaq PHLX, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Michael NortonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 19, 2018 indicate that New York-based David Lerner Associates broker Michael Norton has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Norton (CRD# 2617985).

Michael Norton has spent 21 years in the securities industry and has been registered with David Lerner Associates in Syosset, New York since 1998. Previous registrations include Meyers Pollock Robbins in New York, New York (1997) and Marlowe & Company in New York, New York (1995-1997). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 26, 1995, and Series 7 (General Securities Representative Examination), which he obtained on May 23, 1995. He is a registered broker with 27 US states and territories.

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

James LamontPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 19, 2018 indicate that California-based Whitehall-Parker Securities broker/adviser James Lamont has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lamont (CRD# 2846228).

James Lamont has spent 21 years in the securities industry and has been registered with Whitehall-Parker Securities in San Francisco and Novato, California since 2015. Previous registrations include Independent Financial Group in Novato, California (2006-2015); Sammons Securities Company in Novato, California (2002-2006); Walnut Street Securities in El Segundo, California (1997-2002); and Fortis Investors in Oakdale, Minnesota (1997). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on April 7, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 24, 1997; Series 7 (General Securities Representative Examination), which he obtained on May 1, 2000; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 24, 1997. He is a registered broker and investment adviser in California.

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

Ricky HigginsPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 18, 2018 indicate that South Carolina-based First Heartland Capital broker/adviser Ricky Higgins, who was recently sanctioned by FINRA and suspended from acting as a broker, is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Higgins (CRD# 1726947).

Ricky Higgins has spent 30 years in the securities industry and has been registered with First Heartland Capital in Spartansburg, South Carolina since 2016. Previous registrations include ProEquities in Spartansburg, South Carolina (2012-2016); First Heartland Capital in Spartansburg, South Carolina (1999-2012); and Pruco Securities Corporation (1987-1999). He is a registered broker and investment adviser with eight US states: Virginia, Tennessee, South Carolina, North Carolina, New Mexico, Nevada, Georgia, and Florida.

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

George HovanyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that Illinois-based Wayne Hummer Investments broker/adviser George Hovany has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hovany (CRD# 1188851).

George Hovany has spent 34 years in the securities industry and has been registered with Wayne Hummer Investments in Chicago, Illinois since 2008. Previous registrations include Ameriprise Advisor Services in Northbrook, Illinois (2005-2008); Banc of America Investment Services in Boston, Massachusetts (2004-2005); Quick & Reilly in New York, New York (2003-2004); RBC Dain Rauscher in New York, New York (1998-2003); Dain Rauscher (1996-1998); and Merrill Lynch in New York, New York (1983-1996). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 29, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 17, 1983; and Series 7 (General Securities Representative Examination), which he obtained on September 17, 1983. He is a registered broker and investment adviser with 13 US states and territories: Alaska, Arizona, California, Illinois, Indiana, Iowa, Minnesota, New Jersey, North Carolina, Ohio, Virginia, Washington, and Wisconsin. He is registered with two self-regulatory organizations (SROs): the Chicago Stock Exchange and FINRA.

According to his BrokerCheck report, he has received two customer complaints and two denied customer complaints.

John JenkinsPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that Tennessee-based Wells Fargo Clearing Services broker/adviser John Jenkins has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Jenkins (CRD# 1473998).

John Jenkins has spent 32 years in the securities industry and has been registered with Wells Fargo Clearing Services in Memphis, Tennessee since 2011. He was previously registered with Morgan Keegan & Company in Memphis, Tennessee (1986-2011). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 27, 1986, and Series 7 (General Securities Representative Examination), which he obtained on May 17, 1986. He is a registered broker and investment adviser with 17 US states and territories: Alabama, Arkansas, Colorado, Florida, Georgia, Kentucky, Louisiana, Michigan, Mississippi, New York, North Carolina, Pennsylvania, South Carolina, Tennessee, Texas, Utah, and Washington.

According to his BrokerCheck report, he has received one customer complaint and three customer complaints that were denied or withdrawn.

Michael BourkePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that New Jersey-based RBC Capital Markets broker/adviser Michael Bourke has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bourke (CRD# 2412223).

Michael Bourke has spent 24 years in the securities industry and has been registered with RBC Capital Markets in Florham Park, New Jersey since 2009. Previous registrations include JB Hanauer & Company in Parsippany, New Jersey (2002-2009); Golden Harris Capital Group in West Orange, New Jersey (1998-2002); RD White & Company in New York, New York (1997-1998); and SFI Investments in New York, New York (1993-1997). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 1, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 17, 1994; Series 7 (General Securities Representative Examination), which he obtained on November 16, 1993; Series 53 (Municipal Securities Principal Examination), which he obtained on March 4, 2004; and Series 24 (General Securities Principal Examination), which he obtained on February 18, 2004. He is a registered broker and investment adviser with 20 US states and territories: Arizona, California, Colorado, Connecticut, the District of Columbia, Florida, Georgia, Illinois, Maryland, Massachusetts, Minnesota, New Jersey, North Carolina, Ohio, Pennsylvania, Rhode Island, Texas, Utah, and Virginia.

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

Sally WegerPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that New York-based Morgan Stanley broker/adviser Sally Weger is involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Weger (CRD# 2591057).

Sally Weger has spent 23 years in the securities industry and has been registered with Morgan Stanley in Palm Beach Gardens, Florida since 2011. She was previously registered with Merrill Lynch in Melville, New York (1995-2011). She has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on January 13, 2011; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on April 26, 1995; and Series 7 (General Securities Representative Examination), which she obtained on April 11, 1995. She is a registered broker and investment adviser with 14 US states and territories: California, Connecticut, Florida, Georgia, Illinois, Indiana, Michigan, New Jersey, North Carolina, Pennsylvania, Virginia, Washington, and Wyoming. She is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to her BrokerCheck report, she has received one customer complaint, one pending customer complaint, and two customer complaints that were closed.

John O’GrodnickPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 15, 2018 indicate that Michigan-based Pruco Securities broker/adviser John O’Grodnick has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. O’Grodnick (CRD# 2516489).

John O’Grodnick has spent 23 years in the securities industry and has been registered with Pruco Securities in Highland Township, Michigan since February 2018. Previous registrations include AllState Financial Services in Walled Lake, Michigan (2016-2018); Summit Brokerage Services in Farmington Hills, Michigan (2015-2016); JP Turner & Company in Farmington Hills, Michigan (2007-2015); Bathgate Capital Partners in Farmington Hills, Michigan (2003-2006); Paulson Investment Company in Chicago, Illinois (2002-2003); JP Turner & Company in Atlanta, Georgia (2002); Schneider Securities in Denver, Colorado (2000-2002); Global Capital Securities Corporation in Englewood, Colorado (1995-2000); Everen Securities in St. Louis, Missouri (1994-1995); and SunAmerica Securities in Phoenix, Arizona (1994). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 24, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 29, 1994; Series 7 (General Securities Representative Examination), which he obtained on July 18, 1994; and Series 24 (General Securities Principal Examination), which he obtained on January 22, 1996. He is a registered broker and investment adviser with three US states: Arizona, Michigan, and Texas.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and two customer complaints that were closed or denied.

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