Articles Posted in breached fiduciary duty

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.

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 22, 2018 indicate that California-based Raymond James & Associates broker/adviser John Wyshak has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wyshak (CRD# 1272260).

John Wyshak has spent 32 years in the securities industry and has been registered with Raymond James & Associates in Los Angeles, California since 2014. Previous registrations include Wedbush Securities in Los Angeles, California (2002-2014); Ryan Beck & Company in Florham, New Jersey (2002); Gruntal & Company in New York, New York (1998-2002); Merrill Lynch in New York, New York (1996-1998); Bear Stearns & Company in New York, New York (1994-1996); Smith Barney Shearson in New York, New York (1993-1994); Lehman Brothers in New York, New York (1989-1993); and Dean Witter Reynolds (1984-1988). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 10, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 28, 1984; Series 7 (General Securities Representative Examination), which he obtained on June 16, 1984; and Series 3 (National Commodity Futures Examination), which he obtained on January 10, 1983. He is a registered broker and investment adviser with five US states: California, Colorado, Connecticut, Georgia, and Massachusetts. 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, one pending customer complaint, and six unsatisfied tax liens.

James McLellanPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 2, 2018 indicate that Maryland-based Morgan Stanley broker/adviser James McLellan has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McLellan (CRD# 706853).

James McLellan has spent 37 years in the securities industry and has been registered with Cetera Advisors in Rochester, Michigan since 2014. Previous registrations include Newbridge Securities Corporation in Rochester, Michigan (2009-2014); Broad Street Securities in Troy, Michigan (2005-2009); Leonard & Company in Troy, Michigan (1997-2005); Prudential Securities in New York, New York, New York (1993-1996); AG Edwards & Sons in St. Louis, Missouri (1980-1992); and Anchor National Financial Services (1980). He has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on April 23, 2012; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 2, 1980; Series 5 (Interest Rate Options Examination), which he obtained on April 14, 1982; Series 7 (General Securities Representative Examination), which he obtained on November 15, 1980; and Series 1 (Registered Representative Examination), which he obtained on March 31, 1980. He is a registered broker and investment adviser with ten US states: California, Delaware, Florida, Illinois, Michigan, New York, North Carolina, Ohio, Oregon, and Tennessee.

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

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 1, 2018 indicate that New York-based Worden Capital Management broker Andrew Brown has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Brown (CRD# 2865734).

Andrew Brown has spent 18 years in the securities industry and has been registered with Worden Capital Management in Rockville Center, New York since December 2017. Previous registrations include JD Nicholas & Associates in Syosset, New York (2009-2015); Trident Partners in Woodbury, New York (2000-2009); First Montauk Securities in Red Bank, New Jersey (1998-2000); and Comprehensive Capital Corporation in Great Neck, New York (1997-1998). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 22, 1997, and Series 7 (General Securities Representative Examination), which he obtained on April 8, 1997. He is a registered broker with one US state: New York.

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

Robert Gladstone

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 26, 2018 indicate that New York-based EarlyBirdCapital broker Robert Gladstone has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gladstone (CRD# 722442).

Robert Gladstone has spent 37 years in the securities industry and has been registered with EarlyBirdCapital in Melville, New York since 2000. Previous registrations include GKN Securities Corporation in New York, New York; Shochet Securities in Boca Raton, Florida (1996-2001); the Stuart-James Company in Denver, Colorado (1984-1989); Ladenburg Thalmann & Company (1983-1983); and AdVest (1981-1983). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 8, 1984; Series 7 (General Securities Representative Examination), which he obtained on January 17, 1981; and Series 24 (General Securities Principal Examination), which he obtained on April 12, 1999. He is a registered broker with 41 US states and territories.

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

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 26, 2018 indicate that Maryland-based Stifel Nicolaus & Company broker/adviser Kenneth Blumberg has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Blumberg (CRD# 1585520).

Kenneth Blumberg has spent 31 years in the securities industry and has been registered with Stifel Nicolaus & Company in Baltimore, Maryland since 2007. Previous registrations include Ryan Beck & Company in Baltimore, Maryland (2005-2007); Citigroup Global Markets in New York, New York (1993-2005); and Lehman Brothers in New York, New York (1986-1993). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 1, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 20, 1986; Series 3 (National Commodity Futures Examination), which he obtained on December 22, 1986; and Series 7 (General Securities Representative Examination), which he obtained on November 15, 1986. He is a registered broker and investment adviser with eight US states and territories: The District of Columbia, Florida, Maryland, New York, Ohio, Pennsylvania, Texas, and West Virginia. He is registered with five self-regulatory organizations: 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, one pending customer complaint, and two denied customer complaints.

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.

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