Matthew LawsonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that Tennessee-based Raymond James Financial Services broker/adviser Matthew Lawson is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lawson (CRD# 2869619).

Matthew Lawson has spent 20 years in the securities industry and has been registered with Raymond James Financial Services in Chattanooga, Tennessee since 2012. Previous registrations include LPL Financial in Chattanooga, Tennessee (2007-2012); SunTrust Investment Services in Chattanooga, Tennessee (2005-2007); Amsouth Investment Services in Birmingham, Alabama (2004-2005); and Merrill Lynch in New York, New York (1997-2004). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 30, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 21, 1997; Series 31 (Futures Managed Funds Examination), which he obtained on December 15, 2008; Series 7 (General Securities Representative Examination), which he obtained on May 9, 1997; and Series 24 (General Securities Principal Examination), which he obtained on March 28, 2006. He is a registered broker and investment adviser with 36 US states and territories.

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

James WaltersPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that former Georgia-based Edward Jones broker/adviser James Walters was terminated 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. Walters (CRD# 5943354).

James Walters has spent six years in the securities industry and was registered with Edward Jones in Macon, Georgia from 2011-2018. He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 26, 2011, and Series 7 (General Securities Representative Examination), which he obtained on September 1, 2011. He is currently not registered with any state or firm.

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

Robert Iola

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 17, 2018 indicate that New Jersey-based Kestra Investment Services broker/adviser Robert Iola has received a customer dispute and a regulatory sanction. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Iola (CRD# 2103831).

Robert Iola has spent 27 years in the securities industry and has been registered with Kestra Investment Services in Raritan, New Jersey since October 2017. Previous registrations include Commonwealth Financial Network in Raritan, New Jersey (2014-2017); Summit Equities in Parsippany, New Jersey (2004-2014); Lincoln Financial Advisors Corporation in Fort Wayne, Indiana (1998-2004); and Cigna Financial Advisors in Radnor, Pennsylvania (1990-1998). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 22, 2010; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 1, 1991; and Series 7 (General Securities Representative Examination), which he obtained on November 16, 1990. He is a registered broker and investment adviser with 22 US states and territories: Arizona, California, Colorado, Connecticut, Delaware, Florida, Illinois, Kentucky, Maryland, Massachusetts, Michigan, Minnesota, Missouri, New Hampshire, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island and South Carolina.

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

Bradley Tennison

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 16, 2018 indicate that former Arizona-based Geneos Wealth Management broker/adviser Bradley Tennison, who has received resolved or pending customer disputes, 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 hearing from investors who have complaints regarding Mr. Tennison (CRD# 1561988).

Bradley Tennison has spent 29 years in the securities industry and was most recently registered with Geneos Wealth Management in Mesa, Arizona (2005-2018). Previous registrations include Oberlin Financial Corporation in Bryan, Ohio (2004-2005); First Allied Securities in San Diego, California (2000-2004); DE Frey & Company in Denver, Colorado (1992-2000); Kemper Securities Group in St. Louis, Missouri (1990-1992); and Boettcher & Company (1989-1990). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 20, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 23, 1989; Series 7 (General Securities Representative Examination), which he obtained on March 18, 1989; and Series 24 (General Securities Principal Examination), which he obtained on May 8, 1992. He is currently not registered with any state or firm.

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

Robert SteckPublic records published by the Financial Industry Regulatory Authority (FINRA) on May 16, 2018 indicate that New York-based Merrill Lynch broker/adviser Robert Steck has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Steck (CRD# 1094342).

Robert Steck has spent 35 years in the securities industry and has been registered with Merrill Lynch in Great Neck, New York since 1986. Previous registrations include Equitable Securities of New York (1984-1986); Southeast Securities of Florida (1983-1984); and Monvest Limited Partnership (1984). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 12, 1983; Series 3 (National Commodity Futures Examination), which he obtained on June 25, 1997; Series 7 (General Securities Representative Examination), which he obtained on February 19, 1983; Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on March 19, 1997; and Series 53 (Municipal Securities Principal Examination), which he obtained on August 28, 1985. He is a registered broker and investment adviser with 25 US states and territories: Arizona, California, Colorado, Connecticut, the District of Columbia, Florida, Georgia, Illinois, Kentucky, Louisiana, Maryland, Massachusetts, Michigan, Nebraska, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Tennessee, Texas, Vermont, Virginia, and Washington.

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

Stefan PastorPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 16, 2018 indicate that former Florida-based Raymond James Financial Services broker/adviser Stefan Pastor, who is involved in a pending customer dispute, 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 hearing from investors who have complaints regarding Mr. Pastor (CRD# 5141819).

Stefan Pastor has spent eleven years in the securities industry and was most recently registered with Raymond James Financial Services in Fort Lauderdale, Florida (2013). He was previously registered with Walnut Street Securities in Fort Lauderdale, Florida (2011-2013) and Ameriprise Financial Services in Plantation, Florida (2006-2011). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on August 17, 2006, and Series 7 (General Securities Representative Examination), which he obtained on September 6, 2006. He is currently not registered with any state or firm.

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

GettyImages-84178122-300x200Public records provided by the Financial Industry Regulatory Authority and accessed on May 15, 2018, indicate that more than two dozen brokers and/or investment advisers were reported as suspended from association with FINRA member firms in that month. The financial professionals enumerated below have signed letters of Acceptance, Waiver, and Consent (AWC Letters) agreeing to the sanctions; they have not admitted to or denied the conduct alleged by FINRA. Certain suspensions may affect the individual’s operation in a principal capacity, other capacities, or all capacities, and some may have lifted before or since FINRA’s report was published. Additionally, the fines documented below may not take into account all monetary penalties paid by the representatives, as they may also have been ordered to pay disgorgement and/or restitution to other parties. Visit FINRA’s disciplinary actions homepage for additional information.

Name Current/Former Employers Length of Suspension Fines paid
Napoleon Seymour Andrews  Nationwide Securities 2 months $5,000
Choosri Lao KCD Financial 2 months $5,000
Christine Alexandria Murphy Innovation Partners 1 month $5,000
Claudio Leonardo Villa JP Morgan Securities 18 months $10,000
David Lewis Capin Summit Brokerage Services 15 months $5,000
Ellen Marie Scambia Merriman Capital 20 days (principal capacity) $5,000
Kevin C. Yang Morgan Stanley 20 days 5,000
Timothy John Beall National Planning Corporation 9 months $10,000
Omer Ozeren Ace Diversified Capital 3 months $10,000
Douglas Fairchild Bradley UBS Financial Services 45 days $10,000
Ricardo Alfredo Estrada MML Investors Services 2 months $5,000
Michael Murphy Hurtgen Girard Securities 2 months $5,000
William Bernard Lyons ACGM 3 months (principal capacity) $10,000
Michael Douglas Hanke Ameriprise Financial Services 1 month $10,000
Donald Charles Leary Jr. New Albion Partners 2 months $7,500
Peter Michael Torabkhan Allied Millennial Partners 10 days $2,500
Michael Anthony McGregor Aegis Capital 4 months $5,000
Martin Earl Brooks United Planners’ Financial Services of America 15 days $5,000
Michael Scott Androulakis Alexander Capital 3 months $5,000
Craig Dean Blattner Cetera Advisors 15 days $5,000
Phillip Paul Tibbetts Pruco Securities 20 days $5,000
Frank Bazan BBVA Securities 7 months $20,000
Dennis Ernest Beeby Lightpath Securities 8 months $10,000
Paul Kreindler Pace Capital 2 months $15,000
Lisa C. Piazza Morgan Stanley 4 months $2,500
Mark Jude Ketner PHX Financial 2 months $5,000
Robert Mark Malbasa AllState Financial Services 3 months $5,000
William Patrick Slattery Lampert Capital Markets 5 months $12,500

 

iStock_000006693339Medium-1024x1024-1-300x300Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2018 indicate that New York-based Aegis Capital Corporation broker Dominick Diorio is involved in pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Diorio (CRD# 2447817).

Dominick Diorio has spent 21 years in the securities industry and has been registered with Aegis Capital Corporation in Melville, New York since 2011. Previous registrations include Global Arena Capital Corporation in New York, New York (2010-2011); Prestige Financial Center in Melville, New York (2007-2010); SW Bach & Company in Port Washington, New York (2004-2007); Harrison Securities in Port Washington, New York (2001-2004); Weatherly Securities Corporation in New York, New York (1999-2001); Tasin & Company in Hauppage, New York (1997-1999); Duke & Company in New York, New York (1996-1997); Joseph Stevens & Company in Brooklyn, New York (1996); and Landmark International Equities in Westbury, New York (1995-1996). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 23, 1995, and Series 7 (General Securities Representative Examination), which he obtained on October 4, 1995. He is a registered broker with 42 US states and territories.

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

Daniel Torres

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 9, 2018 indicate that California-based Ameriprise Financial Services broker/adviser Daniel Torres has received several unsatisfied tax liens. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Torres (CRD# 2163914).

Daniel Torres has spent twenty-six years in the securities industry and has been registered with Ameriprise Financial Services in Irvine, California since 1991. He was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota (1991-2006). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 8, 1991 and Series 7 (General Securities Representative Examination), which he obtained on October 1, 1991. He is a registered broker and investment adviser with 18 US states and territories: Arizona, California, Colorado, Georgia, Hawaii, Idaho, Illinois, Missouri, Nevada, New Jersey, New Mexico, New York, Ohio, Oklahoma, Oregon, Pennsylvania, Texas, and Washington.

According to his BrokerCheck report, he has received three denied customer complaints and three unsatisfied tax liens.

Ross FeigenPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 8, 2018 indicate that New Jersey-based RBC Capital Markets broker/adviser Ross Feigen has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Feigen (CRD# 4562310).

Ross Feigen has spent 14 years in the securities industry and has been registered with RBC Capital Markets in Florham Park, New Jersey since 2007. Previous registrations include Citigroup Global Markets in New York, New York (2005-2006); Banc of America Investment Services in Boston, Massachusetts (2004-2005); and RBC Dain Rauscher in New York, New York (2002-2004). He is a registered broker and investment adviser with fourteen US states and territories: Arizona, California, Colorado, Connecticut, Florida, Illinois, Maryland, Massachusetts, Missouri, New Jersey, New York, Pennsylvania, Texas, and Wisconsin. He is registered with ten self-regulatory organizations (SROs): BOX Options Exchange LLC, Cboe Exchange Inc., FINRA, NYSE American LLC, NYSE Arca Inc., Nasdaq BX Inc., Nasdaq ISE LLC, Nadsaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

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