Articles Posted in customer complaints

Michael BressmanPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2018 indicate that former New Jersey-based FCG Advisors broker/adviser Michael Bressman has been charged with fraud by the Securities and Exchange Commission (SEC). Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bressman (CRD# 873973).

Michael Bressman has spent 38 years in the securities industry and was most recently registered with FCG Advisors in Chatham, New Jersey (2000-2018). He was previously registered with Merrill Lynch in New York, New York (1979-2000). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 9, 2015; Series 66 (Uniform Combined State Law Examination), which he obtained on July 11, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 8, 1982; SIE (Securities Industry Essentials Examination), which he obtained on May 16, 2018; and Series 7 (General Securities Representative Examination), which he obtained on November 17, 1979. He is currently not registered with any state or firm.

According to his BrokerCheck report, Michael Bressman has received four customer complaints, two regulatory sanctions, and one pending civil complaint by the SEC.

Julian MarturanoPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 17, 2018 indicate that Pennsylvania-based Woodbury Financial Services broker/adviser Julian Marturano has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Marturano (CRD# 2181208).

Julian Marturano has spent 26 years in the securities industry and has been registered with Woodbury Financial Services in Irwin, Pennsylvania since 2009. Previous registrations include AXA Advisors in Irwin, Pennsylvania (2005-2009); Mony Securities Corporation in New York, New York (1995-2005); Pruco Securities Corporation in Newark, New Jersey (1991-1995); and the Prudential Insurance Company of America in Newark, New Jersey (1991-1993). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 11, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 13, 1991; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on November 2, 1999; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on October 8, 1991. He is a registered broker and investment adviser with 19 US states and territories: Arizona, Arkansas, California, Florida, Georgia, Maryland, Michigan, Mississippi, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, and West Virginia.

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

Robert GravettePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 17, 2018 indicate that California-based Ausdal Financial Partners broker/adviser Robert Gravette is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gravette (CRD# 1938019).

Robert Gravette has spent 29 years in the securities industry and has been registered with Ausdal Financial Partners in Valencia, California since 2006. Previous registrations include Signator Investors in Valencia, California (1990-2006); John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1990-1997); and Baraban Securities in Los Angeles, California (1989-1990). he has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 25, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 28, 1991; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on September 16, 1989; and Series 24 (General Securities Principal Examination), which he obtained on April 16, 1999. He is a registered broker and investment adviser with ten US states: Alabama, Arizona, California, Colorado, Idaho, Kentucky, New Mexico, Oregon, Texas, and Washington.

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

Luther ByrdPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 17, 2018 indicate that Florida-based Merrill Lynch broker/adviser Luther Byrd is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Byrd (CRD# 873649).

Luther Byrd has spent 38 years in the securities industry and has been registered with Merrill Lynch in Fort Walton Beach, Florida since 2009. Previous registrations include Wells Fargo Advisors in Fort Walton Beach, Florida (2008-2009); AG Edwards & Sons in Fort Walton Beach, Florida (1993-2008); Aetna Investment Services in Windsor, Connecticut (1993); Aetna Life Insurance and Annuity Company in Hartford, Connecticut (1991-1993); Investors Asset Management (1987-1990); Southern Financial Consultants (1987); FSC Securities (1985-1987); Southern Financial Consultants (1984-1985); and Waddell & Reed (1979-1984). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 20, 1979; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on November 24, 1993; and Series 1 (Registered Representative Examination), which he obtained on November 5, 1979. He is a registered broker and investment adviser with 38 US states and territories.

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

Sean CavanaughPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 17, 2018 indicate that California-based Raymond James Financial Services broker/adviser Sean Cavanaugh has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Cavanaugh (CRD# 2293517).

Sean Cavanaugh has spent 25 years in the securities industry and has been registered with Raymond James Financial Services in San Diego, California since 2008. Previous registrations include Wamu Investments in Spring Valley, California (1998-2008); Great Western Financial Securities Corporation in Northridge, California (1994-1998); Thomas James Associates in Rochester, New York (1993-1994); and Chatfield Dean & Company in Greenwood Village, Colorado (1992-1993). He has passed six securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 12, 1992; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on August 18, 2010; Series 7 (General Securities Representative Examination), which he obtained on November 5, 1992; Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on April 2, 2009; and Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on March 2, 2009. He is a registered broker and investment adviser with 33 US states and territories.

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

Paul HarpPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 17, 2018 indicate that Florida-based Merrill Lynch broker/adviser Paul Harp has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Harp (CRD# 4695060).

Paul Harp has spent 15 years in the securities industry and has been registered with Merrill Lynch in Fort Walton Beach, Florida since 2009. Previous registrations include Wells Fargo Advisors in Fort Walton Beach, Florida (2008-2009) and AG Edwards & Sons in Fort Walton Beach, Florida (2003-2008). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 17, 2003; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on October 7, 2003. He is a registered broker and investment adviser with 38 US states and territories. His self-regulatory organization (SRO) registrations include: BOX Exchange LLC, Cboe BZX Exchange, Cboe C2 Exchange, the Chicago Stock Exchange, FINRA, Investors’ Exchange, MIAX PEARL LLC, the Miami International Securities Exchange, NYSE American, NYSE Arca, Nasdaq BX, Nasdaq GEMX, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Justin PagelPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 15, 2018 indicate that Minnesota-based Feltl & Company broker Justin Pagel has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pagel (CRD# 2554168).

Justin Pagel has spent 23 years in the securities industry and has been registered with Feltl & Company in Wayzata, Minnesota since 2011. Previous registrations include Northland Securities in Minneapolis, Minnesota (2003-2011); Stifel Nicolaus & Company in St. Louis, Missouri (2001-2003); Liss Financial Services in Milwaukee, Wisconsin (1997-2001); and Dougherty Summit Securities in Minneapolis, Minnesota (1995-1997). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 3, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on July 26, 1995. He is a registered broker with nine US states: Arizona, California, Colorado, Florida, Minnesota, Tennessee, Texas, Vermont, and Wisconsin. He is registered with two self-regulatory organizations (SROs): FINRA and the Nasdaq Stock Market.

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

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 24, 2018 indicate that former Illinois-based Morgan Stanley broker/adviser Rajesh Gupta, who has received a customer dispute, recently resigned 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. Gupta (CRD# 2071729).

Rajesh Gupta has spent eleven years in the securities industry and was most recently registered with Morgan Stanley in Naperville, Illinois (2013-2017). Previous registrations include JP Morgan Securities in Naperville, Illinois (2008-2013) and Wachovia Securities in Naperville, Illinois (2005-2008). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 12, 2005; Series 7 (General Securities Representative Examination), which he obtained on September 7, 2005; and Series 3 (National Commodity Futures Examination), which he obtained on September 11, 1990. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and recently resigned from his former employer.

Paul RutkowskiPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 24, 2018 indicate that Arizona-based AXA Advisors broker/adviser Paul Rutkowski has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rutkowski (CRD# 1930617).

Paul Rutwowski has spent 29 years in the securities industry and has been registered with AXA Advisors in Scottsdale, Arizona since 2011. Previous registrations include Merrill Lynch in Phoenix, Arizona (2009-2011); Banc of America Investment Services in Scottsdale, Arizona (2007-2009); Citigroup Global Markets in Scottsdale, Arizona (2003-2007); UBS Financial Services in Weehawken, New Jersey (1999-2003); and Merrill Lynch in New York, New York (1989-1999). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 14, 2008; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 25, 1989; and Series 7 (General Securities Representative Examination), which he obtained on April 15, 1989. He is a registered broker and investment adviser with 23 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Idaho, Illinois, Indiana, Maryland, Massachusetts, Montana, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Oregon, South Carolina, Texas, and Utah.

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

Luis Marquez

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 19, 2018 indicate that New York-based Laidlaw & Company broker Luis Marquez has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Marquez (CRD# 2740741).

Luis Marquez has spent 20 years in the securities industry and has been registered with Laidlaw & Company in Boca Raton, Florida since 2013. Previous registrations include Dawson James Securities in Boca Raton, Florida (2006-2013); Capital Growth Financial in Boca Raton, Florida (2005-2006); SW Bach & Company in Port Washington, New York (2004-2005); Gilford Securities in New York, New York (2001-2004); First Union Securities Financial Network in St. Louis, Missouri (2001); JWGenesis Securities in Boca Raton, Florida (1998-2001); National Securities Corporation in Seattle, Washington (1998); and the Boston Group in Los Angeles, California (1998). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 6, 1998, and Series 7 (General Securities Representative Examination), which he obtained on November 22, 1997. He is a registered broker with 20 US states: California, Colorado, Florida, Georgia, Illinois, Iowa, Kentucky, Maryland, Massachusetts, Michigan, Nevada, New Jersey, New York, North Carolina, Oregon, Pennsylvania, Texas, Virginia, West Virginia, and Wisconsin.

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

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