Articles Posted in customer complaints

Jeffrey Weiner (CRD#: 2476604), a registered representative with Pruco Securities LLC (CRD#: 5685) in New York, New York, is currently involved in two pending investor disputes, according to his BrokerCheck record accessed on July 29, 2020. What happened to lead to these disputes? Read on to learn more.

Jeffrey Weiner
On May 19, 2020, a client alleged that Jeffrey Weiner misrepresented a variable universal life insurance (VUL) policy. The policy was issued on September 9, 2015. The client is alleging that Jeffrey Weiner never told him that he would be surrendering his whole life policy by doing a 1035 Exchange into a new VUL. the client is seeking a return of the cash value of the policy and all premiums paid since 2015. The matter is pending. 

On May 23, 2020, a second client alleged that Jeffrey Weiner misrepresented a variable universal life policy. This policy was issued on March 3, 2017. The policy was funded by a 1035 Exchange of two Universal Life policies. The client alleges that this resulted in a $5,000 surrender charge that Jeffrey Weiner never told him about. The client is seeking a reversal of the transaction, a return to his old policies, and the $5,000 surrender charge credited to these policies. The matter is pending.

Christopher Vining (CRD#: 2945065), a registered representative with Morgan Stanley (CRD#: 149777) in Bradenton, Florida, is currently involved in a pending investor dispute, according to his BrokerCheck record accessed on July 29, 2020. What happened to lead to these disputes? Read on to learn more. 

Christopher Vining
On May 29, 2020, a client filed an investor complaint against Christopher Vining. A client is alleging that Christopher Vining misrepresented an alternative investment fund that the client purchased in 2019. The matter is pending. 

This is not the only disclosure on Christopher Vining’s BrokerCheck record. On April 27, 2009, a customer alleged that the broker engaged in unauthorized trading. The client originally sought $176,000 in damages; the matter ultimately settled for $81,425. 

Timothy MillisPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that former Michigan-based NYLife Securities broker/adviser Timothy Millis, who has received a customer complaint, recently resigned from a former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Millis (CRD# 706959).

Timothy Millis has spent 39 years in the securities industry and was most recently registered with NYLife Securities in Okemos, Michigan (2002-2019). Previous registrations include Valic Financial Advisors in Houston, Texas (1999-2002); the Variable Annuity Marketing Company in Houston, Texas (1980-2001); and American Capital Financial Services (1980-1984). He has passed six securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on April 8, 2016; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 28, 1998; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on May 15, 2001; Series 1 (Registered Representative Examination), which he obtained on March 31, 1980; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on August 23, 1996. 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 in connection to alleged rule violations.

John Horseman Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2019 indicate that Missouri-based LPL Financial broker John Horseman has received resolved or pending customer complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Horseman (CRD# 851636).

John Horseman has spent 34 years in the securities industry and has been registered with LPL Financial in St. Louis and Fulton, Missouri since 2017. Previous registrations include National Planning Corporation in St. Louis, Missouri (2007-2017); Associated Securities Corporation in St. Louis, Missouri (2002-2007); Prudential Securities in New York, New York (2000-2002); Painewebber in Weehawken, New Jersey (1994-2000); John Hancock Distributors and John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1992-1994); MetLife Securities in Springfield, Massachusetts (1992); Metropolitan Life Insurance Company in New York, New York (1992); Ventana Financial Corporation (1986); Boettcher & Company (1985); Contisecurities (1983-1984); Prudential-Bache Securities (1982-1984); EF Hutton & Company (1982); Kidder Peabody & Company (1980-1982); EF Hutton & Company (1979-1980); and Merrill Lynch (1978-1979). He has passed nine securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 10, 2015; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 29, 1992; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on May 29, 2001; Series 7 (General Securities Representative Examination), which he obtained on July 29, 1994; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 29, 1992; Series 5 (Interest Rate Options Examination), which he obtained on December 12, 1981; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on January 22, 2001; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on January 22, 2001. He is a registered broker and investment adviser with 31 US states and territories.

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

Stephen TrowbridgePublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2019 indicate that Florida-based Newbridge Securities Corporation broker Stephen Trowbridge has received a customer complaint and was recently terminated from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Trowbridge (CRD# 2153891).

Stephen Trowbridge has spent 25 years in the securities industry and has been registered with Newbridge Securities in Boca Raton, Florida since May 2019. Previous registrations include Kestra Investment Services in Hoover, Alabama (2015-2019); Securities America in Hoover, Alabama (2014-2015); Sterne Agee in Hoover, Alabama (2009-2014); Merrill Lynch in Birmingham, Alabama (2008-2009); Colonial Brokerage in Clanton, Alabama (2003-2008); Raymond James Financial Services in St. Petersburg, Florida (2003); Frank Chappelle & Company in Birmingham, Alabama (2003); Compass Brokerage in Birmingham, Alabama (1998-2003); SunAmerica Securities in Phoenix, Arizona (1997-1998); John Hancock Distributors in Boston, Massachusetts (1995-1997); John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1995-1997); MetLife Securities in Springfield, Massachusetts (1993-1995); and Metropolitan Life Insurance Company in New York, New York (1993-1995). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 17, 1993; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on August 10, 2000; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 18, 1993. He is currently not registered with any US state or territory.

According to his BrokerCheck report, he has received two customer complaints and one regulatory sanction, and he was discharged from his former employer in connection to alleged rule violations.

Michael MurphyPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2019 indicate that New York-based Columbus Advisory Group broker Michael Murphy has been named in a pending FINRA complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Murphy (CRD# 2596905).

Michael Murphy has spent 23 years in the securities industry and has been registered with Columbus Advisory Group in New York, New York since 2003. Previous registrations include Murjen Financial in Jericho, New York (1999-2003); JWGenesis Financial Services in St. Louis, Missouri (1998-2000); Continental Broker-Dealer Corporation in Carle Place, New York (1997-1998); Investors Associates in Hackensack, New Jersey (1996-1997); First United Equities Corporation in New York, New York (1996-1997); Investors Associates in Hackensack, New Jersey (1995-1996); JW Charles Securities in Boca Raton, Florida (1995); and Oppenheimer & Company in New York, New York (1995). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 28, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on June 14, 1995; and Series 24 (General Securities Principal Examination), which he obtained on August 7, 1998. He is a registered broker with 19 US states and territories.

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

James Parrelly

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that Michigan-based Investment Planners broker/adviser James Parrelly has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Parrelly (CRD# 728368).

James Parrelly has spent 37 years in the securities industry and has been registered with Investment Planners in Dearborn, Michigan (2004-2015); Girard Securities in San Diego, California (2002-2004); Spelman & Company in Phoenix, Arizona (2001-2002); American Investment Services in Oklahoma City, Oklahoma (1996-2001); North American Financial Group in Warren, Michigan (1994-1996); Hamilton Investments (1990-1994); Painewebber in Weehawken, New Jersey (1987-1990); and Kidder Peabody & Company (1981-1987). He has passed six securities industry examination: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 16, 2004; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 27, 1981; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on April 11, 1981; Series 24 (General Securities Principal Examination), which he obtained on September 2, 2003; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on July 14, 1988. He is a registered broker and investment adviser with nine US states and territories: California, Florida, Georgia, Illinois, Michigan, Nevada, North Carolina, Ohio, and Texas.

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

Jonathan FreezePublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that former Pennsylvania-based Fortune Financial Services broker/adviser Jonathan Freeze, who is currently not affiliated with any broker-dealer firm, has received numerous pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Freeze (CRD# 2642023).

Jonathan Freeze has spent 21 years in the securities industry and was most recently registered with Fortune Financial Services in Canonsburg, Pennsylvania (2015-2017). Previous registrations include Summit Brokerage Services in Fredericksburg, Virginia; LPL Financial in Fredericksburg, Virginia; Lincoln Financial Advisors in Canonsburg, Pennsylvania; and the Lincoln National Life Insurance Company in Glastonbury, Connecticut. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 12, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 22, 1995; SIE (Securities Industry Essentials Examination), which he obtained on April 17, 2017; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on October 6, 1995. He is currently not registered with any state or firm.

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

Robert MuellerPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Texas-based UBS Financial Services broker/adviser Robert Mueller has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mueller (CRD# 2647227).

Robert Mueller has spent 23 years in the securities industry and has been registered with UBS Financial Services in Houston, Texas since 2009. Previous registrations include Morgan Stanley & Company in Houston, Texas (2000-2009) and Goldman Sachs & Company in New York, New York (1995-2000). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 8, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 8, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on August 30, 1995; and Series 7 (General Securities Representative Examination), which he obtained on August 24, 1995. He is registered with 22 US states and territories: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Hawaii, Illinois, Louisiana, Nebraska, New York, North Carolina, Oklahoma, Pennsylvania, Tennessee, Texas, Utah, Washington, and Wisconsin.

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

Neil KonigsbergPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that California-based UBS Financial Services broker/adviser Neil Konigsberg has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Konigsberg (CRD# 1784265).

Neil Konigsberg has spent 30 years in the securities industry and has been registered with UBS Financial Services in San Francisco, California since 2008. Previous registrations include Lehman Brothers in San Francisco, California (2004-2008); Banc of America Investment Services in Boston, Massachusetts (2003-2004); Banc of America Securities in New York, New York (1999-2003); Merrill Lynch in New York, New York (1997-1999); The Boston Group in Los Angeles, California (1995-1997); AS Goldmen & Company in Red Bank, New Jersey (1994-1995); and Lehman Brothers in New York, New York (1987-1994). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 2, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 21, 1988; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on December 19, 1987. He is a registered broker and investment adviser with 12 US states: Arizona, California, Colorado, Connecticut, Florida, Illinois, Nevada, New Jersey, New York, Oregon, South Dakota, and Texas. He is registered with nine self-regulatory organizations (SROs): BOX Exchange LLC, Cboe Exchange, FINRA, NYSE American, 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 one denied customer complaint.

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