Articles Posted in customer complaints

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.

Demos ArgyrosPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that Missouri-based Oppenheimer & Company broker/adviser Demos Argyros has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Argyros (CRD# 1325219).

Demos Argyros, also known as Demosthenes Argyropoulos, has spent 34 years in the securities industry and has been registered with Oppenheimer & Company in St. Louis, Missouri since 2003. Previous registrations include CIBC World Markets Corporation in New York, New York (1992-2003); Kemper Securities Group in St. Louis, Missouri (1990-1992); Blunt Ellis & Loewi (1989-1990); Shearson Lehman Hutton (1988-1989); EF Hutton & Company (1986-1988); and Dean Witter Reynolds (1985-1986). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 9, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 30, 1985; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on September 15, 1986; Series 7 (General Securities Representative Examination), which he obtained on January 19, 1985; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on March 19, 2008; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on March 19, 2008. He is a registered broker and investment adviser with 34 US states and territories.

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

Kenneth Schmidle

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that Ohio-based Key Investment Services broker/adviser Kenneth Schmidle has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Schmidle (CRD# 2367487).

Kenneth Schmidle has spent 25 years in the securities industry and has been registered with Key Investment Services in South Euclid, Ohio since 2014. Previous registrations include LPL Financial in South Euclid, Ohio (2010-2014); AmTrust Investment Services in South Euclid, Ohio (1996-2010); American Express Financial Advisors in Minneapolis, Minnesota (1993-1996); and IDS Life Insurance Company in Minneapolis, Minnesota (1993-1996). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 30, 2014; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 19, 1994; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on July 2, 1993. He is a registered broker and investment adviser with 14 US states and territories: Arizona, Arkansas, California, Connecticut, Florida, Georgia, Illinois, Indiana, Michigan, Montana, New York, North Carolina, Ohio, and Washington.

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

Robert Caffery

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that California-based Morgan Stanley broker/adviser Robert Caffery has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Caffery (CRD# 1174735).

Robert Caffery has spent 35 years in the securities industry and has been registered with Morgan Stanley in Palm Desert, California since 2009. Previous registrations include Morgan Stanley & Company in Palm Desert, California (2007-2009) and Morgan Stanley DW in Palm Desert, California (1983-2007). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 26, 1983; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on September 18, 1990; Series 7 (General Securities Representative Examination), which he obtained on August 20, 1983; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on January 30, 1989. He is a registered broker and investment adviser wth 17 US states and territories: Alabama, Alaska, Arizona, California, Colorado, Florida, Illinois, Maine, Michigan, Nebraska, Nevada, New Mexico, New York, Ohio, Tennessee, Texas, 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 two customer complaints and one pending customer complaint.