Articles Posted in breached fiduciary duty

David BarberPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2018 indicate that former California-based Madison Avenue Securities broker David Barber, who was received resolved or pending customer disputes, was recently 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. Barber (CRD# 1165082).

David Barber has spent 31 years in the securities industry and was most recently registered with Madison Avenue Securities in San Diego, California (2015-2018). Previous registrations include First Midwest Securities in Newport Beach, California (2011-2015); Raymond James & Associates in Newport Beach, California (2007-2011); RBC Dain Rauscher in Newport Beach, California (2002-2007); Sutro & Company in San Francisco, California (1999-2002); Crowell Weedon & Company in Los Angeles, California (1987-1994); and Birr Wilson Securities (1986-1987). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 1, 1995, and Series 7 (General Securities Representative Examination), which he obtained on July 19, 1986. He is currently not registered with any state or firm.

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

ronald mccookPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that Arizona-based First Allied Securities broker/adviser Ronald McCook is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McCook (CRD# 4155186).

Ronald McCook has spent 17 years in the securities industry and has been registered with First Allied Securities in Scottsdale, Arizona since 2014. Previous registrations include National Planning Corporation in Scottsdale, Arizona (2009-2014); Sagepoint Financial in Scottsdale, Arizona (2005-2009); SunAmerica Securities in Phoenix, Arizona (2001-2005); and Washington Square Securities in Des Moines, Iowa (2000-2001). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 8, 2000, and Series 7 (General Securities Representative Examination), which he obtained on July 22, 2000. He is a registered broker and investment adviser with 15 US states and territories: Arizona, California, Colorado, Florida, Illinois, Iowa, Kansas, Michigan, Nevada, New York, Oklahoma, Oregon, Texas, Utah, and Washington.

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

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.

Herbert vossPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 3, 2018 indicate that California-based StockCross Financial Services broker/adviser Herbert Voss has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Voss (CRD# 1014475).

Herbert Voss has spent 33 years in the securities industry and has been registered with StockCross Financial Services in Beverly Hills, California since 2009. Previous registrations include UBS Financial Services in Beverly Hills, California (1998-2009); Waterhouse Securities in Omaha, Nebraska (1997-1998); Kennedy Cabot & Company in Beverly Hills, California (1988-1998); Professional Brokerage Services (1987); Investors Center (1985-1986); J. Alexander Securities (1984-1985); Donald & Company Securities (1985); Kennedy Cabot & Company (1983-1984); and Prudential-Bache Securities (1982-1983) He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 30, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 18, 1986; Series 7 (General Securities Representative Examination), which he obtained on March 20, 1982; Series 24 (General Securities Principal Examination), which he obtained on October 31, 1991; and Series 4 (Registered Options Principal Examination), which he obtained on September 26, 1990. He is a registered broker and investment adviser with 15 US states and territories: Arizona, California, Colorado, Illinois, Indiana, Maryland, Massachusetts, Nebraska, Nevada, New Mexico, Oregon, Pennsylvania, South Carolina, Texas, and Washington.

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

Gordon Rhodes

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 3, 2018 indicate that Texas-based Rhodes Securities broker/adviser Gordon Rhodes has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rhodes (CRD# 4763582).

Gordon Rhodes has spent 14 years in the securities industry and has been registered with Rhodes Securities in Fort Worth, Texas since 2004. He has no previous registrations. He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on June 2, 2004; Series 7 (General Securities Representative Examination), which he obtained on March 10, 2004; Series 28 (Introducing Broker/Dealer Financial Operations Principal Examination), which he obtained on March 30, 2012; and Series 24 (General Securities Principal Examination), which he obtained on October 27, 2008. He is a registered broker and investment adviser with twenty US states and territories: Arkansas, California, Colorado, the District of Columbia, Florida, Illinois, Iowa, Kansas, Louisiana, Maryland, Minnesota, Missouri, New Jersey, New York, Ohio, Oklahoma, Texas, Utah, Virginia, and Wisconsin.

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

Steven FairchildPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 20, 2018 indicate that California-based LPL Financial Services broker/adviser  has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Fairchild (CRD# 849127).

Steven Fairchild has spent 40 years in the securities industry and has been registered with LPL Financial in Folsom, California since November 2017. Previous registrations include National Planning Corporation in Folsom, California (1999-2017); Associated Securities in Boston, Massachusetts (1984-1999); Financial Planners Equity Corporation (1982-1984); and Kidder Peabody & Company (1978-1982). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 24, 1985; Series 7 (General Securities Representative Examination), which he obtained on February 18, 1978; and Series 24 (General Securities Principal Examination), which he obtained on March 24, 1982. He is a registered broker and investment adviser with seventeen US states and territories: Arizona, California, Florida, Hawaii, Idaho, Michigan, Nevada, New York, North Carolina, Ohio, Oklahoma, Oregon, Tennessee, Texas, Utah, Washington, and Wisconsin.

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

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.

John WyshakPublicly 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 McLellan Public 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.

Andrew BrownPublic 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.