Articles Posted in customer complaints

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has received one customer complaint, one pending customer complaint, and three customer complaints that were denied or withdrawn.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.

Scott Kaup

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that Nebraska-based Summit Brokerage Services broker/adviser Scott Kaup recently received a new pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kaup (CRD# 1002907).

Scott Kaup has spent 37 years in the securities industry and has been registered with Summit Brokerage Services in Stuart, Nebraska since 2016. Previous registrations include VSR Financial Services in Stuart, Nebraska (1989-2016); American General Securities in Phoenix, Arizona (1987-1989); VSR Financial Services (1984-1987); and St. Paul Investors (1981-1984). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 15, 1990; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on August 4, 1998; Series 7 (General Securities Representative Examination), which he obtained on November 16, 1985; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 13, 1981. He is a registered broker and investment adviser with 21 US states and territories.

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

Kenneth ButschekPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that former Texas-based ProEquities broker Kenneth Butschek, who has received a pending customer dispute, was recently terminated 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. Butschek (CRD# 1388190).

Kenneth Butschek has spent 33 years in the securities industry and was most recently registered with ProEquities in Hallettsville, Texas (2004-2019). Previous registrations include Securities Management & Research in Cedar Rapids, Iowa (1987-2004); Philadelphia Life Asset Planning Company (1986-1987); and Southwestern Management & Research Corporation (1985-1986). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 25, 1985; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 27, 1985. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one pending customer complaint and three unsatisfied judgments or liens, and he was recently discharged from a former employer in connection to alleged rule violations.

Thomas FerraraPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that New York-based Park Avenue Securities broker/adviser Thomas Ferrara has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ferrara (CRD# 1634107).

Thomas Ferrara has spent 31 years in the securities industry and has been registered with Park Avenue Securities in Pound Ridge, New York since 1999. He was previously registered with Guardian Investor Services in New York, New York (1987-1999). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 7, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 13, 1987; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on January 15, 1997; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 13, 1987; and Series 24 (General Securities Principal Examination), which he obtained on May 29, 2001. He is a registered broker and investment adviser with 29 US states and territories.

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

James ZegersPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that former New York-based LPL Financial broker/adviser James Zegers has received a pending 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. Zegers (CRD# 2559008).

James Zegers has spent 24 years in the securities industry and was most recently registered with LPL Financial in Albany, New York (2016-2018). Previous registrations include Voya Financial in Albany, New York (2003-2016) and Waddell & Reed in Overland Park, Kansas (1994-2003). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 28, 2003; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 30, 1994; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on January 16, 2004; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on November 30, 1994. He is currently not registered with any state or firm.

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

Brian Ballard

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 7, 2019 indicate that Utah-based UBS Financial Services broker/adviser Brian Ballard has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ballard (CRD# 2131677).

Brian Ballard has spent 27 years in the securities industry and has been registered with UBS Financial Services in South Ogden, Utah since 2009. Previous registrations include Citigroup Global Markets in Ogden, Utah (1993-2009) and Lehman Brothers in New York, New York (1991-1993). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 15, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 5, 1991; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on March 27, 1991. He is a registered broker and investment adviser with 21 US states and territories: Arizona, California, Colorado, Florida, Georgia, Idaho, Kansas, Maryland, Michigan, Minnesota, Montana, Nevada, New Mexico, Ohio, Oregon, Pennsylvania, Texas, Utah, Virginia, Washington, and Wyoming. His self-regulatory organization (SRO) registrations include: BOX Exchange LLC, 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.