Articles Posted in Churning

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 26, 2018 indicate that New Jersey-based Morgan Stanley broker/adviser Susan Mamis is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Mamis (CRD# 718937).

Susan Mamis has spent 37 years in the securities industry and has been registered with Morgan Stanley in Morristown, New Jersey since 2009. Previous registrations include Morgan Stanley & Company in Morristown, New Jersey (2009) and Merrill Lynch in Warren, New Jersey (1980-2009). She has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on March 4, 1997; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on December 23, 1980; Series 31 (Futures Managed Funds Examination), which she obtained on May 29, 2009; and Series 7 (General Securities Representative Examination), which she obtained on November 15, 1980. She is a registered broker and investment adviser with 31 US states and territories, and with four self-regulatory organizations: FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Thomas RiquierPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 21, 2018 indicate that Massachusetts-based United Planners’ Financial Services of America broker/adviser Thomas Riquier has received customer disputes and a pending regulatory complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Riquier (CRD# 400088).

Thomas Riquier has spent 44 years in the securities industry and has been registered with United Planners’ Financial Services of America in Danvers, Massachusetts since 1992. Previous registrations include New England Securities in New York, New York (1994-2001); Main Street Management Company in Boston, Massachusetts (1985-1991); MHA Financial Corporation (1981-1985); and NEL Equity Services Corporation (1972-1981). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 25, 1990, and Series 1 (Registered Representative Examination), which he obtained on January 25, 1972. He is a registered broker and investment adviser with 17 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Georgia, Maine, Maryland, Massachusetts, Montana, Nevada, New Hampshire, New Jersey, New York, South Carolina, Virginia, and Washington.

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

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that California-based Morgan Stanley broker/adviser Patrick Walsh has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Walsh (CRD# 458073).

Patrick Walsh has spent 49 years in the securities industry and has been registered with Morgan Stanley in Westlake Village, California since 2009. Previous registrations include Morgan Stanley & Company in Thousand Oaks, California; Morgan Stanley DW in Thousand Oaks, California; and Dean Witter & Company. He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); PC (AMEX Put and Call Exam); Series 1 (Registered Representative Examination); Series 4 (Registered Options Principal Examination); and Series 00 (General Securities Principal Examination). He is a registered broker and investment adviser with 13 US states and territories: Arizona, California, Colorado, Florida, Hawaii, Maryland, Nevada, New York, Oklahoma, Oregon, Tennessee, Texas and Washington.

According to his BrokerCheck report, he has received five customer complaints.

Edward Woll

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 31, 2017 indicate that Georgia-based Strategic Financial Alliance broker/adviser Edward Woll has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Woll (CRD# 1096606).

Edward Woll has spent 28 years in the securiteis industry and has been registered with the Strategic Financial Alliance in Atlanta, Georgia since 2016. Prevous registrations include JP Turner & Company in Atlanta, Georgia; Strategic Financial Alliance in Atlanta, Georgia; World Group Securities in Duluth, Georgia; AXA Advisors in New York, New York; Compulife Investor Services in St. Cloud, Minnesota; IFG Network Securities in Atlanta, Georgia; Touchstone Securities in Cincinnati, Ohio; and Trustmark Investments in Brentwood, Tennessee. He is registered as a broker and investment adviser in Georgia.

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

Lorene FairbanksPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 11, 2017 indicate that former Ohio-based Ameriprise Financial Services broker/adviser Lorene Fairbanks, also known as Lori Miller, recently resigned from her former employer and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Fairbanks (CRD# 2788572).

Lorene Fairbanks has spent 18 years in the securities industry and was most recently registered with Ameriprise Financial Services in Poland and Canfield, Ohio (2014-2017). Previous registrations include Merrill Lynch in Canfield, Ohio and Citigroup Global Markets in Canfield, Ohio. She is currently not registered with any state or firm.

According to her BrokerCheck report, she has received one FINRA sanction and four customer complaints, and recently resigned from her former employer in connection to alleged rule violations.

Erick Kuebler Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on June 2, 2017 indicate that Texas-based Sanders Morris Harris broker/adviser Erick Kuebler has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kuebler (CRD# 2319437).

Erick Kuebler has spent 24 years in the securities industry and has been registered with Sanders Morris Harris in Plano, Texas since 2016. Previous registrations include JP Morgan Securities in Dallas, Texas and Edward D. Jones & Company in St. Louis, Missouri. He 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). He is a registered broker and investment adviser with 53 US states and territories.

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

Kevin Griffin

Public records provided by the Financial Industry Regulatory Authority (FINRA) on May 3, 2017 indicate that New York-based National Securities Corporation broker/adviser Kevin Griffin has been the subject of resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Griffin (CRD# 1858586).

Kevin Griffin has spent twenty years in the securities industry and has been registered with National Securities Corporation in New York, New York since November 2016. Previous registrations include Citigroup Global Markets in New York, New York; Forefront Capital Markets in New York, New York; Dominick & Dominick in New York, New York; Maxim Group in New York, New York; Sanders Morris Harris in New York, New York; Corinthian Partners in New York, New York; RTG Richards & Company in Garden City, New York; Gruntal & Company in New York, New York; Oppenheimer & Company in New York, New York; Prudential Securities in New York, New York; Lehman Brothers in New York, New York; and Merrill Lynch. He has passed six securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 55 (Limited Representative-Equity Trader Exam); Series 7 (General Securities Representative Examination); 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 24 (General Securities Principal Examination). He is a registered broker and investment adviser with 12 US states and territories: California, Colorado, Connecticut, Delaware, Florida, Illinois, Massachusetts, Nevada, New Jersey, New York, Pennsylvania, and Texas.

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

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