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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.

Robert HarrisPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2017 indicate that Massachusetts-based Commonwealth Financial Network broker Robert Harris has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Harris (CRD# 500164).

Robert Harris has spent 41 years in the securities industry and has been registered with Commonwealth Financial Network in Worcester and Chatham, Massachusetts since 1994. Previous registrations include AF Best Securities in Coral Springs, Florida (1990-1994); Dougherty, Dawkins, Strand & Yost in Minneapolis, Minnesota (1982-1990); Croake Roberts; and Channer Newman Securities Company. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 21, 1982, and Series 7 (General Securities Representative Examination), which he obtained on January 17, 1994. He is a registered broker with 21 US states and territories: California, Colorado, Florida, Georgia, Hawaii, Illinois, Indiana, Kentucky, Louisiana, Maine, Massachusetts, Michigan, New Hampshire, New York, North Carolina, Pennsylvania, Rhode Island, South Carolina, Texas, Vermont, the Virgin Islands, Washington, and Wisconsin.

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

Christine Abbott

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 3, 2017 indicate that New York-based UBS Financial Services broker/adviser Christine Abbott has been named in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Abbott (CRD# 5241462).

Christine Abbott has spent ten years in the securities industry and has been registered with UBS Financial Services in New York, New York since 2006. She has no previous registrations. She has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). She is a registered broker and investment adviser with 24 US states and territories.

According to her BrokerCheck report, Christine Abbott has received one pending customer complaint.

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