Articles Posted in Failed to Supervise

ronald mccookPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that Arizona-based First Allied Securities broker/adviser Ronald McCook is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McCook (CRD# 4155186).

Ronald McCook has spent 17 years in the securities industry and has been registered with First Allied Securities in Scottsdale, Arizona since 2014. Previous registrations include National Planning Corporation in Scottsdale, Arizona (2009-2014); Sagepoint Financial in Scottsdale, Arizona (2005-2009); SunAmerica Securities in Phoenix, Arizona (2001-2005); and Washington Square Securities in Des Moines, Iowa (2000-2001). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 8, 2000, and Series 7 (General Securities Representative Examination), which he obtained on July 22, 2000. He is a registered broker and investment adviser with 15 US states and territories: Arizona, California, Colorado, Florida, Illinois, Iowa, Kansas, Michigan, Nevada, New York, Oklahoma, Oregon, Texas, Utah, and Washington.

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

Anthony BrancaPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 4, 2018 indicate that Georgia-based Woodstock Financial Services broker/adviser Anthony Branca has received pending customer and regulatory complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Branca (CRD# 1178639).

Anthony Branca has spent 27 years in the securities industry and has been registered with Woodstock Financial Group in Woodstock, Georgia since 2008. Previous registrations include The Investment Center in Piscataway, New Jersey (2003-2008); The Concord Equity Group in Iselin, New Jersey (2000-2003); JJB Hilliard WL Lyons in Louisville, Kentucky (1999-2000); Atlantic Group Securities in Millburn, New Jersey (1997-1999); Rickel & Associates in New York, New York (1994-1997); and Halpert & Company in Millburn, New Jersey (1990-1994). He has passed six securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on June 21, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 19, 1990; Series 7 (General Securities Representative Examination), which he obtained on December 6, 1990; Series 53 (Municipal Securities Principal Examination), which he obtained on June 3, 2002; Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on January 18, 1994; and Series 24 (General Securities Principal Examination), which he obtained on January 20, 1993. He is a registered broker and investment adviser with 52 US states and territories.

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

donald madiganPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 25, 2018 indicate that New Jersey-based Garden State Securities broker/adviser Donald Madigan has been involved in customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Madigan (CRD# 2016175).

Donald Madigan has spent 27 years in the securities industry and has been registered with Garden State Securities in Red Bank, New Jersey since 2009. Previous registrations include Rockwell Global Capital in Staten Island, New York (2011); Securities America in Iselin, New Jersey (2008-2009); Multi-Financial Securities Corporation in Staten Island, New York (2006-2008); Wall Street Financial Group in Staten Island, New York (1998-2006); Wise Planning Corporation in Hicksville, New York (1991-1998) Guardian Investor Services Corporation in New York, New York (1990-1991); and WDR Equity Resources (1990). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 14, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 19, 1990; Series 7 (General Securities Representative Examination), which he obtained on September 28, 1993; Series 22 (Direct Participation Programs Representative Examination), which he obtained on June 20, 1990; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on March 23, 1990. He is a registered broker and investment adviser with ten US states: California, Florida, Kansas, Kentucky, Missouri, New Jersey, New Mexico, New York, Oregon and Pennsylvania.

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

David FeigelesPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 2, 2017 indicate that New York-based Oppenheimer & Company broker/adviser David Feigeles has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Feigeles (CRD# 1530561).

David Feigeles has spent 28 years in the securities industry and has been registered with Oppenheimer & Company in Melville, New York since 2003. Previous registrations include CIBC World Markets in New York, New York; Garban LLC in Jersey City, New Jersey; Cantor Fitzgerald Securities in New York, New York; Garban Limited in Jersey City, New Jersey; Garban Securities in Jersey City, New Jersey; and MKI Securities Corporation. He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 62 (Corporate Securities Limited Representative Examination); Series 10 (General Securities Sales Supervisor – General Module Examination); and Series 9 (General Securities Sales Supervisor – Options Module Examination). He is a registered broker and investment adviser with 36 US states and territories.

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

John BeebePublic records published by the Financial Industry Regulatory Authority (FINRA) on May 3, 2017 indicate that Michigan-based Hantz Financial Services broker/adviser John Beebe has been named in a pending customer complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Beebe (CRD# 4151293).

John Beebe has spent sixteen years in the securities industry and has been registered with Hantz Financial Services in Bay City, Traverse City, Saginaw, Davison and Midland, Michigan since 2000. He has no previous registrations. He has passed four securities industry examinations: Series 6 (Investment Company Products/Variable Contracts Representative Examination), Series 24 (General Securities Principal Examination), Series 7 (General Securities Representative Examination), and Series 63 (Uniform Securities Agent State Law Examination). He is a registered broker and investment adviser in Michigan and Florida.

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

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