Articles Posted in customer complaints

Richard JuddPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 23, 2019 indicate that Illinois-based CIBC World Markets broker Richard Judd has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Judd (CRD# 1891117).

Richard Judd has spent 28 years in the securities industry and has been registered with CIBC World Markets Corporation in Chicago, Illinois since 2017. Previous registrations include GNV Advisors in Chicago, Illinois (2011-2017); UBS Financial Services in Weehawken, New Jersey (2006-2009); Piper Jaffray & Company in Chicago, Illinois (2004-2006); Deutsche Bank Securities in New York, New York (2001-2004); DB Alex Brown in Baltimore, Maryland (1997-2001); Alex Brown & Sons (1996-1997); and William Blair & Company in Chicago, Illinois (1988-1996). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 19, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 26, 1989; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on October 15, 1998. He is currently not registered with any US state or territory.

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

John RobinsonPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 22, 2019 indicate that Virginia-based Cambridge Investment Research broker/adviser John Robinson has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Robinson (CRD# 2578458).

John Robinson has spent 23 years in the securities industry and has been registered with Cambridge Investment Research in Henrico, Virginia since 2011. Previous registrations include Sanders Morris Harris in Richmond, Virginia (2008-2011); QA3 Financial Corporation in Richmond, Virginia (2005-2008); National Planning Corporation in Los Angeles, California (1999-2005); Centennial Capital Management in Atlanta, Georgia (1997-1999); Cadaret Grant & Company in Syracuse, New York (1995-1997); and Canada Life of America Financial Services in Greenwood Village, Colorado (1995-1997). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 21, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 31, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on May 7, 2007; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 31, 1995. He is a registered broker and investment adviser with 40 US states and territories.

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

Marcus BoggsPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 22, 2019 indicate that former Illinois-based Merrill Lynch broker/adviser Marcus Boggs, who has received a pending customer dispute, was recently terminated from his 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. Boggs (CRD# 5055667).

Marcus Boggs has spent 12 years in the securities industry and was most recently registered with Merrill Lynch in Chicago, Illinois (2006-2018). He has no previous registrations. He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on March 10, 2006; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on March 22, 2006; and Series 7 (General Securities Representative Examination), which he obtained on February 6, 2006. He is currently not registered with any state or firm.

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

Clifford ReidPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 22, 2019 indicate that New York-based Reid & Rudiger broker Clifford Reid has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Reid (CRD# 1905920).

Clifford Reid has spent 27 years in the securities industry and has been registered with Reid & Rudiger in New York, New York since 1999. Previous registrations include Nichols Safina Lerner & Company in New York, New York (1994-1998); Gruntal & Company in New York, New York (1991-1994); and First Investors Corporation in New York, New York (1989-1991). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 10, 1989; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on July 14, 1992; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 1, 1989; and Series 24 (General Securities Principal Examination), which he obtained on June 10, 1999. He is a registered broker with 46 US states and territories.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one customer complaint that was closed with no action taken.

Paul FalconPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 22, 2019 indicate that Florida-based broker Paul Falcon has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Falcon (CRD# 2464566).

Paul Falcon has spent 22 years in the securities industry and is currently registered as a broker in Boca Raton and Miami, Florida since 2013. Previous registrations include Global Strategic Investments in Miami, Florida (2011-2013); Statetrust Investments in Miami, Florida (2009-2011); Allstate Financial Services in Sunrise, Florida (2008-2009); Wachovia Securities in Hialeah, Florida (2000-2006); First Union Brokerage Services in Charlotte, North Carolina (2000); Citicorp Investment Services in Long Island City, New York (1996-1999); Waterhouse Securities in Omaha, Nebraska (1995-1996); GKN Securities in New York, New York (1994-1995); Equico Securities in New York, New York (1994); and the Equitable Life Assurance Society of the United States in New York, New York (1994). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 1, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 18, 1994; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on July 25, 1994; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on March 11, 1994; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on July 31, 2001; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on July 3 2001. He is a registered broker with five US states and territories: Connecticut, Florida, New Jersey, New York, and Puerto Rico.

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

Adamo CalistriPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 16, 2019 indicate that Florida-based Wells Fargo Clearing Services broker/adviser Adamo Calistri has received a pending customer complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Calistri (CRD# 5902933).

Adamo Calistri has spent seven years in the securities industry and has been registered with Wells Fargo Clearing Services in Naples, Florida since 2015. Previous registrations include Fifth Third Securities in Naples, Florida (2012-2015) and Morgan Stanley Smith Barney in Atlanta, Georgia (2011-2012). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on June 3, 2011; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on May 6, 2011. He is a registered broker and investment adviser with 16 US states and territories: Arizona, Colorado, Connecticut, Florida, Georgia, Illinois, Indiana, Massachusetts, Michigan, New Hampshire, New York, North Carolina, Ohio, Pennsylvania, Tennessee, and Virginia. 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 pending customer complaint.

Gerardo MaganaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 16, 2019 indicate that Texas-based Morgan Stanley broker/adviser Gerardo Magana has received a pending customer complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Magana (CRD# 4279788).

Gerardo Magana has spent 18 years in the securities industry and has been registered with Morgan Stanley in Houston, Texas since September 2017. Previous registrations include UBS Financial Services in Houston, Texas (2010-2017); UBS International in Houston, Texas (2008-2010); and BBVA Investments in Houston, Texas (2000-2008). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 17, 2009; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 5, 2003; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on October 20, 2000. He is a registered broker and investment adviser with six US states: Arizona, California, Delaware, Florida, New York, and Texas. 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 and one denied customer complaint.

John PencePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 11, 2019 indicate that Florida-based UBS Financial Services broker/adviser John Pence has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pence (CRD# 359667).

John Pence has spent 46 years in the securities industry and has been registered with UBS Financial Services in Jacksonville, Florida since 1980. Previous registrations include Kidder Peabody & Company (1978-1980); Paine Webber Jackson & Curtis (1980); and Kidder Peabody & Company (1972-1978). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 24, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 18, 1980; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; PC (AMEX Put and Call Exam), which he obtained on August 15, 1977; and Series 1 (Registered Representative Examination), which he obtained on March 14, 1972. He is a registered broker and investment adviser with 15 US states and territories: Arkansas, California, Florida, Georgia, Illinois, Maine, Massachusetts, Nevada, New Mexico, North Carolina, Oklahoma, South Carolina, Tennessee, Texas, and Virginia. 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 two customer complaints and one pending customer complaint.

Patrick IngramPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 10, 2019 indicate that former Mississippi-based NYLife Securities broker Patrick Ingram, who has received resolved or pending customer disputes, recently resigned from his 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. Ingram (CRD# 255022).

Patrick Ingram has spent 44 years in the securities industry and was most recently registered with NYLife Securities in Cleveland, Mississippi (1996-2018). Previous registrations include NYLife Securities in New York, New York (1982-1995) and New York Life Variable Contracts Corporation (1970-1979). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 24, 1996; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 1 (Registered Representative Examination), which he obtained on October 7, 1970. He is currently not registered with any state or firm.

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

Kenneth ShawPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 10, 2019 indicate that California-based Wells Fargo Clearing Services broker/adviser Kenneth Shaw has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Shaw (CRD# 1359992).

Kenneth Shaw has spent 24 years in the securities industry and has been registered with Wells Fargo Clearing Services in Ramona and San Diego, California since 2011. Previous registrations include Wells Fargo Investments in San Diego, California (2004-2011); Presidential Brokerage in Greenwood Village, Colorado (2003-2004); Prudential Securities (1989-1994); and Drexel Burnham Lambert (1985-1988). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 19, 2004; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 10, 2003; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on March 26, 2003. He is a registered broker and investment adviser with ten US states and territories: Arizona, California, Florida, Illinois, Minnesota, Nevada, North Carolina, South Carolina, Texas, and Virginia. 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.