Articles Posted in breached fiduciary duty

Brian Zardavets

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that Florida-based Questar Capital Corporation broker/adviser Brian Zardavets is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Zardavets (CRD# 2760607).

Brian Zardavets has spent 20 years in the securities industry and has been registered with Questar Capital Corporation in Ponte Vedra, Florida since 2009. Previous registrations include UVest Financial Services Group in Wayne, Pennsylvania (2006-2009); Wachovia Securities in St. Louis, Missouri (2000-2006); First Union Brokerage Services in Charlotte, North Carolina (2000); Dean Witter Reynolds in Purchase, New York (1998-2000); and Merrill Lynch in New York, New York (1996-1998). he has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 6, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 7, 1996; Series 31 (Futures Managed Funds Examination), which he obtained on September 12, 1998; and Series 7 (General Securities Representative Examination), which he obtained on September 13, 1996. He is a registered broker and investment adviser with ten US states and territories: Florida, Iowa, Maryland, New Jersey, New York, Oregon, Pennsylvania, South Carolina, Texas and Virginia.

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

Angela Graham-West

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed and accessed on December 1, 2017 indicate that Florida-based Oppenheimer & Company broker/adviser Angela Graham-West has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Graham-West (CRD# 3004083).

Angela Graham-West has spent 19 years in the securities industry and has been registered with Oppenheimer & Company in Fort Lauderdale, Florida since September 2017. Previous registrations include Raymond James & Associates in Fort Lauderdale, Florida (2008-2017); AllState Financial Services in Tamarac, Florida (2005-2008); and First Command Financial Planning in Fort Worth, Texas (1998-2005). She has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on April 21, 2008; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on February 23, 1998; Series 7 (General Securities Representative Examination), which she obtained on May 17, 2008; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on February 23, 1998; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which she obtained on March 31, 2004. She is a registered broker and investment adviser with 13 US states and territories: Alabama, California, Florida, Illinois, Kansas, Maryland, New York, North Carolina, Puerto Rico, South Carolina, Tennessee, Texas, and Virginia. She is also registered with nine self-regulatory organizations (SROs): the Chicago Board Options Exchange, the Chicago Stock Exchange, FINRA, NYSE American LLC, NYSE Arca, Nasdaq ISE, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to her BrokerCheck report, she has received one pending customer complaint.

Adam QuarelloPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 2, 2017 indicate that California-based Oppenheimer & Company broker/adviser Adam Quarello is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Quarello (CRD# 4461542).

Adam Quarello has spent 15 years in the securities industry and has been registered with Oppenheimer & Company in Los Angeles, California since 2009. Previous registrations include UBS Financial Services in Los Angeles, California (2006-2009); Ameriprise Financial Services in Los Angeles, California (2001-2006); and IDS Life Insurance Company in Minneapolis, Minnesota (2001-2006). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on November 16, 2001; Series 3 (National Commodity Futures Examination), which he obtained on September 6, 2008; and Series 7 (General Securities Representative Examination), which he obtained on November 7, 2001. He is a registered broker and investment adviser with 30 US states and nine self-regulatory organizations (SROs): the Chicago Board Options Exchange, the Chicago Stock Exchange, FINRA, NYSE American LLC, NYSE Arca, 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 and three denied customer complaints.

Matthew WestPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 24, 2017 indicate that Texas-based USCA Securities broker/adviser Matthew West has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. West (CRD# 2554449).

Matthew West has spent 20 years in the securities industry and has been registered with USCA Securities in Houston, Texas since 2010. Previous registrations include UBS Financial Services in Houston, Texas (2002-2010); Merrill Lynch in New York, New York (1997-2002); and Painewebber in Weehawken, New Jersey (1995). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he passed on April 28, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he passed on December 22, 1994; Series 31 (Futures Managed Funds Examination), which he passed on March 3, 2006; and Series 7 (General Securities Representative Examination), which he passed on December 14, 1994. He is a registered broker and investment adviser with 23 US states and territories: Alabama, Arizona, Arkansas, California, Colorado, Florida, Georgia, Illinois, Kentucky, Louisiana, Michigan, Mississippi, New Jersey, New York, North Carolina, Oklahoma, Oregon, South Carolina, Tennessee, Texas, Virginia, Washington and Wyoming. His sole self-regulatory organization (SRO) registration is with FINRA.

According to his BrokerCheck report, Matthew West has received one customer complaint.

Daniel MemoPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 23, 2017 indicate that Ohio-based Merrill Lynch broker/adviser Daniel Memo has received customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Memo (CRD# 3079244).

Daniel Memo has spent six years in the securities industry and has been registered with Merrill Lynch in Canfield, Ohio since 2006. He was previously registered with Citigroup Global Markets in Canfield, Ohio (1999-2006). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 3 (National Commodity Futures Examination); Series 31 (Futures Managed Funds Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 21 US states: Arizona, California, Colorado, Connecticut, Florida, Illinois, Indiana, Kentucky, Maryland, Michigan, Minnesota, Nebraska, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Texas, Virginia and Wisconsin.

According to his BrokerCheck report, he has received two customer complaints and four customer complaints that were denied or dismissed.

Martin WaldmanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 22, 2017 indicate that Florida-based Raymond James & Associates broker/adviser Martin Waldman has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Waldman (CRD# 4566228).

Martin Lewis has spent 14 years in the securities industry and has been registered with Raymond James & Associates in Boca Raton, Florida since 2009. Previous registrations include Vision Investment Services in Boca Raton, Florida (2006-2009) and Northern Trust Securities in Boca Raton, Florida (2003-2009). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 17 US states and territories: California, Connecticut, Florida, Illinois, Iowa, Louisiana, Maryland, Massachusetts, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas and Vermont.

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

Wendy Fricks

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 31, 2017 indicate that Alabama-based Dempsey Lord Smith broker/adviser Wendy Fricks has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Fricks (CRD# 4162223).

Wendy Fricks has spent 17 years in the securities industry and has been registered with Dempsey Lord Smith in Hoover, Alabama since 2010. She was previously registered with Multi-Financial Securities Corporation in Hoover, Alabama (2000-2010). She has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). She is a registered broker and investment adviser with seven US states and territories: Alabama, California, Florida, Georgia, Mississippi, North Carolina and South Carolina.

According to her BrokerCheck report, she has received one pending customer dispute and one customer complaint which was withdrawn.

Nina Hakim
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 26, 2017 indicate that New Jersey-based UBS Financial Services broker/adviser Nina Hakim has been named in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Hakim (CRD# 1184522).

Nina Hakim has spent 33 years in the securities industry and has been registered with UBS Financial Services in Westfield, New Jersey and Boca Raton, Florida since 2010. Previous registrations include Merrill Lynch in Short Hills, New Jersey; Morgan Stanley DW in Purchase, New York; Painewebber in Weehawken, New Jersey; Kidder Peabody & Company in New York, New York; Smith Barney Harris Upham & Company in New York, New York; and Halpert & Company. She has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), Series 63 (Uniform Securities Agent State Law Examination), and Series 7 (General Securities Representative Examination). She is a registered broker and investment adviser with 10 US states and territories: Alabama, California, Florida, Louisiana, Massachusetts, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio and Pennsylvania.

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

Robin WallsPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 24, 2017 indicate that Minnesota-based Capital Financial Services broker/adviser Robin Walls has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Walls (CRD# 2486133).

Robin Walls has spent 23 years in the securities industry and has been registered with Capital Financial Services in Chanhassen, Minnesota since 2012. Previous registrations include Questar Capital Corporation in Chaska, Minnesota; Fintegra LLC in Chaska, Minnesota; Primevest Financial Services in St. Cloud, Minnesota; and GNA Securities in Richmond, Virginia. He is a registered broker and investment adviser with seven US states and territories: Arizona, California, Florida, Indiana, Minnesota, Ohio and Texas.

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

Dale Wright

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 18, 2017 indicate that Virginia-based Cambridge Investment Research broker/adviser Dale Wright has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wright (CRD# 1142615).

Dale Wright has spent 25 years in the securities industry and has been registered with Cambridge Investment Research in Henrico, Virginia since 2011. Previous registrations include Sanders Morris Harris in Richmond, Virginia; QA3 Financial Corporation in Richmond, Virginia; National Planning Corporation in El Segundo, California; Centennial Capital Management in Atlanta, Georgia; and First American National Securities in Duluth, Georgia. He is a registered broker and investment adviser with nine US states and territories: Arizona, the District of Columbia, Florida, Indiana, Maryland, North Carolina, Pennsylvania and Texas.

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

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