Articles Posted in customer complaints

Robert HarrisPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 7, 2019 indicate that former Arizona-based First Financial Equity Corporation broker/adviser Robert Harris has received a pending customer complaint and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Harris (CRD# 5232698).

Robert Harris has spent 11 years in the securities industry and was most recently registered with First Financial Equity Corporation in Tucson, Arizona (2015-2018). Previous registrations include H. Beck in Tucson, Arizona (2009-2015); Merrill Lynch in Tucson, Arizona (2007-2009); and AXA Advisors in Tucson, Arizona (2007). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on January 30, 2007; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on March 1, 2007. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one pending customer complaint and four unsatisfied tax liens.

Donald LoganPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2019 indicate that former Washington-based Waddell & Reed broker Donald Logan, who has received a customer dispute, was recently 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. Logan (CRD# 5537486).

Donald Logan has spent nine years in the securities industry and was most recently registered with Waddell & Reed in Silverdale, Washington (2015-2018). He was previously registered with Edward Jones in Silverdale, Washington (2008-2015). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on August 14, 2008; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on August 5, 2008. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint, was discharged from two former employers in connection to alleged rule violations, and was recently named in a FINRA investigation into alleged rule violations.

Ken NooshiPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2019 indicate that California-based NYLife Securities broker Ken Nooshi has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Nooshi (CRD# 2539099).

Ken Nooshi has spent 23 years in the securities industry and has been registered with NYLife Securities in Woodland Hills, California since 1995. He has no previous registrations. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 18, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 14, 1995. He is a registered broker with four US states: California, New Jersey, Oregon, and Virginia.

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

Kevin OgdenPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2019 indicate that Illinois-based Voya Financial Advisors broker Kevin Ogden has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ogden (CRD# 1051356).

Kevin Ogden has spent 35 years in the securities industry and has been registered with Voya Financial Advisors in Springfield, Illinois since 2004. Previous registrations include Locust Street Securities in Des Moines, Iowa (1988-2004) and WS Griffith & Company (1983-1988). He has passed six industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 17, 1993; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on October 30, 2002; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 22, 1995; Series 22 (Direct Participation Programs Representative Examination), which he obtained on June 16, 1983; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on December 19, 2000. He is a registered broker with 17 US states and territories: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Florida, Illinois, Indiana, Iowa, Kentucky, Michigan, Missouri, New Mexico, South Carolina, Texas, and Wisconsin.

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

Thomas SharpPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2019 indicate that California-based Ameriprise Financial Services broker/adviser Thomas Sharp has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sharp (CRD# 1623353).

Thomas Sharp has spent 30 years in the securities industry and has been registered with Ameriprise Financial Services in Gold River, California since 2015. Previous registrations include Ameriprise Financial Services in Folsom, California (1987-2013) and IDS Life Insurance Company in Minneapolis, Minnesota (2001, 2003-2006). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 17, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 4, 1994; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on February 21, 1987. He is a registered broker and investment adviser with four US states: Arizona, California, Texas, and Washington. He is registered with one self-regulatory organization: FINRA.

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

John ColumbiaPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 22, 2019 indicate that New York-based Alexander Capital broker/adviser John Columbia has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Columbia (CRD# 2194537).

John Columbia has spent 25 years in the securities industry and has been registered with Alexander Capital in New York, New York since 2015. Previous registrations include Legend Securities in Freehold, New Jersey (2009-2015); JP Turner & Company in Staten Island, New York (2006-2009); JP Turner & Company in Atlanta, Georgia (1997-2005); Argent Securities in Atlanta, Georgia (1996-1997); Commonwealth Associates in New York, New York (1995-1996); First Hanover Securities in Staten Island, New York (1994-1995); Hibbard Brown & Company in New York, New York (1992-1994); and FN Wolf & Company (1992). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 23, 2015; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 13, 1999; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on December 4, 1998; Series 4 (Registered Options Principal Examination), which he obtained on March 18, 2006; and Series 24 (General Securities Principal Examination), which he obtained on June 22, 1998. He is a registered broker and investment adviser with 34 US states and territories.

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

Everton Lewis

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2019 indicate that New York-based NYLife Securities broker Everton Lewis has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lewis (CRD# 2469780).

Everton Lewis has spent 24 years in the securities industry and has been registered with NYLife Securities in New York, New York since 1994. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on AUgust 15, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 15, 1994. He is a registered broker with 19 US states and territories: Arizona, California, Connecticut, the District of Columbia, Florida, Georgia, Kentucky, Massachusetts, Mississippi, Nevada, New Jersey, New York, North Carolina, North Dakota, Ohio, Pennsylvania, Virginia, South Carolina, and Washington.

According to his BrokerCheck report, he has received one pending customer complaint and five unsatisfied tax liens.

Mark SindrichPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2019 indicate that Colorado-based Kestra Investment Services broker/adviser Mark Sindrich has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sindrich (CRD# 1097529).

Mark Sindrich has spent 35 years in the securities industry and has been registered with Kestra Investment Services in Denver, Colorado since since 1999. Previous registrations include Royal Alliance Associates in Jersey City, New Jersey (1989-1999) and Integrated Resources Equity Corporation (1983-1989). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 30, 1989; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on March 19, 1983; Series 51 (Municipal Fund Securities Principal Examination), which he obtained on April 26, 2003; and Series 24 (General Securities Principal Examination), which he obtained on August 17, 1987. He is a registered broker and investment adviser with 23 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Georgia, Hawaii, Illinois, Iowa, Kansas, Massachusetts, Missouri, Montana, Nevada, New York, North Carolina, Oklahoma, Pennsylvania, Texas, Utah, Virginia, Washington, and Wisconsin.

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

Adam PalmerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2019 indicate that Florida-based Morgan Stanley broker/adviser Adam Palmer has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Palmer (CRD# 2152815).

Adam Palmer has spent 22 years in the securities industry and has been registered with Morgan Stanley in Tampa, Florida since 2009. Previous registrations include Citigroup Global Markets in Tampa, Florida (2006-2009); UBS Financial Services in Tampa, Florida (2000-2006); and JB Hanauer & Company in Parsippany, New Jersey (1996-2000). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 15, 1996; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2016; Series 7 (General Securities Representative Examination), which he obtained on October 2, 1996; and Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on September 11, 2006. He is a registered broker and investment adviser with 30 US states and territories.

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

Marc GreenbergPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2019 indicate that New York-based JH Darbie & Company broker Marc Greenberg has received pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Greenberg (CRD# 2276287).

Marc Greenberg has spent 16 years in the securities industry and has been registered with JH Darbie & Company in New York, New York since 2016. Previous registrations include Legend Securities in New York, New York (2012-2016); John Thomas Financial in New York, New York (2007-2011); Palladium Capital Advisors in New York, New York (2007); Pond Equities in Lawrence, New York (2007); Spencer-Winston Securities Corporation in New York, New York (2004-2005); Schonfeld Securities in Jericho, New York (2001-2002); Shochet Securities in Boca Raton, Florida (1998-2001); and GKN Securities Corporation in New York, New York (1998-2001). He has passed nine securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 27, 1998; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 55 (Limited Representative-Equity Trader Exam), which he obtained on December 19, 2000; Series 7 (General Securities Representative Examination), which he obtained on August 5, 1998; Series 53 (Municipal Securities Principal Examination), which he obtained on July 2, 2009; Series 4 (Registered Options Principal Examination), which he obtained on September 23, 2008; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on May 15, 2001; Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on March 27, 2001; and Series 24 (General Securities Principal Examination), which he obtained on November 30, 1998. He is a registered broker with one US state—New York—and with two self-regulatory organizations (SROs): FINRA and the Nasdaq Stock Market.

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