Articles Posted in customer complaints

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.

Neil Mehta

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Florida-based Merrill Lynch broker/adviser Neil Mehta, who has received a pending customer dispute, 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 hearing from investors who have complaints regarding Mr. Mehta (CRD# 5802739).

Neil Mehta has spent eight years in the securities industry and has been registered with Merrill Lynch in Fort Lauderdale, Florida since 2016. Previous registrations include JP Morgan Securities in Pompano Beach, Florida (2012-2016) and Chase Investment Services in Pompano Beach, Florida (2010-2012). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on November 2, 2011; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on October 11, 2011; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 30, 2010. He is a registered broker and investment adviser with 13 US states and territories: California, Colorado, the District of Columbia, Florida, Georgia, Indiana, Maryland, Michigan, New Jersey, New York, North Carolina, Texas, and Virginia.

According to his BrokerCheck report, he has received one pending customer complaint and recently resigned from a former employer in connection to alleged rule violations.

Hayato TamuraPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that California-based JP Morgan Securities broker/adviser Hayato Tamura has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Tamura (CRD# 4287868).

Hayato Tamura has spent 18 years in the securities industry and has been registered with JP Morgan Securities in Orange, California since 2012. Previous registrations include Chase Investment Services in Orange, California (2010-2012); Morgan Stanley Smith Barney in Santa Ana, California (2007-2009); AG Edwards & Sons in Torrance, California (2003-2007); and UBS Financial Services in Weehawken, New Jersey (2000-2003). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on February 6, 2001; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on December 4, 2000. He is a registered broker and investment adviser with ten US states: Arizona, California, Colorado, Idaho, Nevada, Pennsylvania, Texas, Utah, Virginia, and Wyoming.

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

Lawrence GreenfieldPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that California-based LPL Financial broker/adviser Lawrence Greenfield has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Greenfield (CRD# 4056913).

Lawrence Greenfield has spent 10 years in the securities industry and has been registered with LPL Financial in Woodland Hills, California since July 2018. Previous registrations include Arete Wealth Management in Woodland Hills, California (2013-2018); Assent LLC in Geneva, Illinois (2003-2004; 2006-2007); Andover Brokerage in Montebello, New York (2001-2003); and Investscape in West Bloomfield, Michigan (1999-2000). He has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 31, 2013; Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 25, 2003; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 27, 1999; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on October 2, 2013; and Series 55 (Limited Representative-Equity Trader Exam), which he obtained on August 29, 2001. He is a registered broker and investment adviser with 19 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Illinois, Maryland, Massachusetts, Michigan, Nevada, New Jersey, New York, North Carolina, Pennsylvania, Utah, Virginia, Washington, Wisconsin, and Wyoming.

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

Amos Katz

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Louisiana-based Morgan Stanley broker/adviser Amos Katz has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Katz (CRD# 839607).

Amos Katz has spent 41 years in the securities industry and has been registered with Morgan Stanley in New Orleans, Louisiana since 2009. Previous registrations include Citigroup Global Markets in New Orleans, Louisiana (1993-2009); Lehman Brothers in New York, New York (1979-1993); Loeb Partners (1978-1979); and Loeb Rhoades & Company (1977-1978). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 21, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 28, 1980; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 5 (Interest Rate Options Examination), which he obtained on October 17, 1981; PC (AMEX Put and Call Exam), which he obtained on June 19, 1979; and Series 7 (General Securities Representative Examination), which he obtained on June 18, 1977. He is a registered broker and investment adviser with 23 US states and territories: Alabama, California, Colorado, Delaware, the District of Columbia, Florida, Georgia, Idaho, Indiana, Kentucky, Louisiana, Maryland, Mississippi, Montana, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, and Washington. 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 customer complaint, one pending customer complaint, and one denied customer complaint.

Steven KaneskiPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that former California-based NYLife Securities broker/adviser Steven Kaneski has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kaneski (CRD# 2028197).

Steven Kaneski has spent 21 years in the securities industry and was most recently registered with NYLife Securities in Roseville, California (1996-2018). He has no previous registrations. He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 6, 1996; SIE (Securities Industry Essentials Examination), which he obtained on February 12, 2018; Series 7 (General Securities Representative Examination), which he obtained on March 5, 2001; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 6, 1996. He is currently not registered with any state or firm.

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

Ronald WallPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Pennsylvania-based JP Morgan Securities broker/adviser Ronald Wall has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wall (CRD# 2245306).

Ronald Wall has spent 26 years in the securities industry and has been registered with JP Morgan Securities in Philadelphia, Pennsylvania since 2013. Previous registrations include Morgan Stanley in West Conshohocken, Pennsylvania (2009-2013); Citigroup Global Markets in West Conshohocken, Pennsylvania (2008-2009); UBS Financial Services in Conshohocken, Pennsylvania (2001-2008); Investec PMG Capital in New York, New York (1996-2001); Pennsylvania Merchant Group (1996); and Schroder Wertheim & Company in New York, New York (1992-1996). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 12, 1992; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on June 9, 1992. He is a registered broker and investment adviser with 27 US states and territories: Arizona, California, Colorado, Connecticut, Delaware, the District of Columbia, Florida, Georgia, Hawaii, Illinois, Indiana, Iowa, Maryland, Massachusetts, Michigan, Missouri, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, and Virginia. His self-regulatory organization (SRO) registrations include: BOX Exchange LLC, FINRA, Investors’ Exchange LLC, NYSE American LLC, 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.

Louise ShortPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that former Oklahoma-based First Allied Securities broker/adviser Louise Short, who is currently registered as a investment adviser with United Income, has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Short (CRD# 1751555).

Louise Short has spent 31 years in the securities industry and was most recently registered as a broker with First Allied Securities in Tulsa, Oklahoma (2010-2019). She has been registered as an investment adviser with United Income in Tulsa, Oklahoma since December 2018. Her previous registrations include SWS Financial Services in Tulsa, Oklahoma (1994-2010); Southwest Securities in Dallas, Texas (1990-1994); and First Investors Corporation in New York, New York (1987-1990). She has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on May 15, 2001; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on October 9, 1987; SIE (Securities Industry Essentials Examination), which she obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which she obtained on August 14, 1990; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on October 9, 1987; and Series 24 (General Securities Principal Examination), which she obtained on July 6, 2015. She is currently not registered as a broker with any state or firm.

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

Rodger SprousePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that Kansas-based Titan Securities broker/adviser Rodger Sprouse has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sprouse (CRD# 5483578).

Rodger Sprouse has spent nine years in the securities industry and has been registered with Titan Securities in Overland Park, Kansas since 2011. Previous registrations include Evolve Securities in Overland Park, Kansas (2010) and Stonehurst Securities in Folsom, California (2009-2010). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 8, 2009; Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 8, 2008; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on June 6, 2009. He is a registered broker and investment adviser with eleven US states and territories: Arkansas, Florida, Indiana, Kansas, Missouri, Nebraska, Nevada, New Mexico, Oklahoma, South Carolina, and Texas.

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

Careena PatelPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that Texas-based BBVA Securities broker/adviser Careena Patel has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Patel (CRD# 5444676).

Careena Patel has spent eight years in the securities industry and has been registered with BBVA Securities in Dallas, Texas since 2016. Previous registrations include Fidelity Brokerage Services in West Hartford, Connecticut (2015-2016); LPL Financial in Glastonbury, Connecticut (2011-2014); NewAlliance Investments in Manchester, Connecticut (2010-2011: and Edward Jones in West Hartford, Connecticut (2009-2010). She has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on November 3, 2009; SIE (Securities Industry Essentials Examination), which she obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which she obtained on September 22, 2009. She is a registered broker and investment adviser with two US states—Florida and Texas—and with one self-regulatory organization, FINRA.

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