Articles Posted in customer complaints

David BartfieldPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that Colorado-based Edward Jones broker/adviser David Bartfield has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bartfield (CRD# 4511930).

David Bartfield has spent 14 years in the securities industry and has been registered with Edward Jones in Aurora, Colorado since 2013. Previous registrations include WTS Proprietary Trading Group in New York, New York (2012-2013); AXA Advisors in Denver, Colorado (2010-2012); Northwestern Mutual Investment Services in Denver, Colorado (2009); Jackson National Life Distributors in Denver, Colorado (2007-2008); AG Edwards & Sons in Milwaukee, Wisconsin (2006-2007); Chase Investment Services Corporation in Chicago, Illinois (2005-2006); Banc One Securities Corporation in Chicago, Illinois (2005); and RBC Dain Rauscher in New York, New York (2002-2004). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 22, 2013; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on May 2, 2002. He is a registered broker and investment adviser with 13 US states and territories: Alabama, Arizona, Colorado, Florida, Illinois, Maryland, Michigan, New Jersey, New Mexico, Texas, Virginia, Washington, and Wisconsin. He is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Robert Lyons

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that Texas-based Wells Fargo Clearing Services broker/adviser Robert Lyons has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lyons (CRD# 2243975).

Robert Lyons has spent 26 years in the securities industry and has been registered with Wells Fargo Clearing Services in Houston, Texas since 2003. Previous registrations include Prudential Securities in New York, New York (2000-2003); Painewebber in Weehawken, New Jersey (2000); JC Bradford & Company in New York, New York (1997-2000); and Rauscher Pierce Refsnes in Dallas, Texas (1992-1997). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 15, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 23, 1992; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on July 20, 1992. He is a registered broker and investment adviser with 18 US states and territories: Arizona, California, Colorado, Florida, Hawaii, Illinois, Kansas, Michigan, Minnesota, Mississippi, New Jersey, New York, Oklahoma, Tennessee, Texas, Utah, Virginia, and Washington. 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.

Richard CaglePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that Texas-based Hilltop Securities broker Richard Cagle has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cagle (CRD# 2122648).

Richard Cagle has spent 27 years in the securities industry and has been registered with Hilltop Securities in Corpus Christi, Texas since 1997. He was previously registered with Principal Financial Securities in Dallas, Texas (1991-1997). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 20, 1991; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on February 11, 1991. He is a registered broker with three US states: California, Hawaii and Texas.

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

Joseph Roop Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that North Carolina-based Kalos Capital broker/adviser Joseph Roop has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Roop (CRD# 2774470).

Joseph Roop has spent 22 years in the securities industry and has been registered with Kalos Capital in Belmont, North Carolina since 2009. Previous registrations include Wachovia Securities in Belmont, North Carolina (2008-2009); Banc of America Investment Services in Charlotte, North Carolina (2004-2008); Legg Mason Wood Walker in Baltimore, Maryland (2000-2004); MML Investors Services in Springfield, Massachusetts (1998-2000); and Pruco Securities Corporation in Newark, New Jersey (1996-1998). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 2, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 9, 1996; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on October 26, 2001; Series 7 (General Securities Representative Examination), which he obtained on October 4, 2000; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 2, 1996. He is a registered broker and investment adviser with 15 US states and territories: Arizona, California, Florida, Kentucky, Louisiana, Mississippi, Nevada, New Jersey, North Carolina, Pennsylvania, Rhode Island, South Carolina, Tennessee, Virginia, and West Virginia.

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

John Johnston

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that Oklahoma-based Wells Fargo Clearing Services broker/adviser John Johnston has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Johnston (CRD# 2799351).

John Johnston has spent 22 years in the securities industry and has been registered with Wells Fargo Clearing Services in Tulsa, Oklahoma since June 2017. Previous registrations include BOK Financial Services in Broken Arrow, Oklahoma (2001-2017); Primevest Financial Services in St. Cloud, Minnesota (1999-2001); Investment Professionals in San Antonio, Texas (1999); and Dean Witter Reynolds in Purchase, New York (1996-1999). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 13, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 13, 1996; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on November 13, 1996; and Series 7 (General Securities Representative Examination), which he obtained on October 22, 1996. He is a registered broker and investment adviser with nine US states and territories: Arkansas, California, Florida, Kansas, Missouri, Nevada, Oklahoma, Texas, and Utah. 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 two customer complaints and one pending customer complaint.

Franklyn ClarkPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that former Maryland-based United Brokerage Services broker/adviser Franklyn Clark has received a customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Clark (CRD# 1960303).

Franklyn Clark has spent 29 years in the securities industry and was most recently registered with United Brokerage Services in Bethesda, Maryland (2011-2018). Previous registrations include Wells Fargo Advisors in Washington, DC (2006-2011) and Morgan Stanley DW in Bethesda, Maryland (1989-2006). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 2, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 28, 1989; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on April 23, 1998; Series 7 (General Securities Representative Examination), which he obtained on August 19, 1989; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on February 8, 2008; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on September 28, 2007. He is currently not registered with any state or firm.

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

Katherine NishnicPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that South Carolina-based Centaurus Financial broker/adviser Katherine Nishnic has received pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Nishnic (CRD# 2499553).

Katherine Nishnic has spent 24 years in the securities industry and has been registered with Centaurus Financial in Lexington, South Carolina since 2015. Previous registrations include JP Turner & Company in Lexington, South Carolina (2010-2015); Gunnallen Financial in Lexington, South Carolina (2008-2010); First Allied Securities in Lexington, South Carolina (2000-2008); DE Frey & Company in Denver, Colorado (1997-2000); and Merrill Lynch in New York, New York (1994-1997). She has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on May 15, 1995; SIE (Securities Industry Essentials Examination), which she obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which she obtained on August 19, 1994. She is a registered broker and investment adviser with 12 US states: Arizona, Colorado, Delaware, Florida, Georgia, Maryland, Missouri, Nevada, North Carolina, Oklahoma, South Carolina, and Tennessee.

According to her BrokerCheck report, she has received two pending customer complaints and one customer complaint that was closed with no action taken.

Michael DawsonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that Texas-based UBS Financial Services broker/adviser Michael Dawson has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Dawson (CRD# 62907).

Michael Dawson has spent 44 years in the securities industry and has been registered with UBS Financial Services in Houston, Texas since 2015. Previous registrations include Deutsche Bank Securities in Houston, Texas (2013-2015); Merrill Lynch in Houston, Texas (2007-2013); UBS Financial Services in Houston, Texas (2002-2007); and Goldman Sachs & Company in New York, New York (1974-2002). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 12, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 17, 1987; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 5 (Interest Rate Options Examination), which he obtained on October 11, 1982; PC (AMEX Put and Call Exam), which he obtained on July 27, 1977; and Series 1 (Registered Representative Examination), which he obtained on February 11, 1974. He is a registered broker and investment adviser with five US states: Arizona, New Jersey, New York, Tennessee, and Texas. He is registered with nine self-regulatory organizations (SROs): BOX Exchange LLC, Cboe Exchange Inc., FINRA, NYSE American LLC, NYSE Arca Inc., Nasdaq ISE LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Ricky ManteiPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that South Carolina-based Centaurus Financial broker/adviser Ricky Mantei has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mantei (CRD# 1098981).

Ricky Mantei has spent 35 years in the securities industry and has been registered with Centaurus Financial in Lexington, South Carolina since 2015. Previous registrations include JP Turner & Company in Lexington, South Carolina (2010-2015); Gunnallen Financial in Lexington, South Carolina (2008-2010); First Allied Securities in Lexington, South Carolina (2000-2008); DE Frey & Company in Denver, Colorado (1995-2000); and Merrill Lynch in New York, New York (1983-1995). He has passed six securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 8, 1983; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on May 25, 1983; Series 5 (Interest Rate Options Examination), which he obtained on March 30, 1983; Series 7 (General Securities Representative Examination), which he obtained on February 19, 1983; and Series 24 (General Securities Principal Examination), which he obtained on July 15, 1997. He is a registered broker and investment adviser with three US states: Georgia, South Carolina, and Tennessee.

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

Sharon OgbornPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2018 indicate that Florida-based FSC Securities Corporation broker/adviser Sharon Ogborn has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Ogborn (CRD# 3075256).

Sharon Ogborn has spent 20 years in the securities industry and has been registered with FSC Securities Corporation in Odessa, Florida since 1998. She has no previous registrations. She has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on August 3, 2007; SIE (Securities Industry Essentials Examination), which she obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which she obtained on August 21, 1998; and Series 24 (General Securities Principal Examination), which she obtained on September 20, 2010. She is a registered broker and investment adviser with 19 US states and territories: California, Colorado, Connecticut, Florida, Georgia, Idaho, Illinois, Maryland, Missouri, Nevada, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, West Virginia, and Wisconsin.

According to her BrokerCheck report, Sharon Ogborn has received one pending customer complaint.