Articles Posted in over-concentrated

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.

Ross FeigenPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 8, 2018 indicate that New Jersey-based RBC Capital Markets broker/adviser Ross Feigen has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Feigen (CRD# 4562310).

Ross Feigen has spent 14 years in the securities industry and has been registered with RBC Capital Markets in Florham Park, New Jersey since 2007. Previous registrations include Citigroup Global Markets in New York, New York (2005-2006); Banc of America Investment Services in Boston, Massachusetts (2004-2005); and RBC Dain Rauscher in New York, New York (2002-2004). He is a registered broker and investment adviser with fourteen US states and territories: Arizona, California, Colorado, Connecticut, Florida, Illinois, Maryland, Massachusetts, Missouri, New Jersey, New York, Pennsylvania, Texas, and Wisconsin. He is registered with ten self-regulatory organizations (SROs): BOX Options Exchange LLC, Cboe Exchange Inc., FINRA, NYSE American LLC, NYSE Arca Inc., Nasdaq BX Inc., Nasdaq ISE LLC, Nadsaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Bradley GardnerPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 1, 2017 indicate that former California-based LPL Financial broker/adviser Bradley Gardner has received a pending customer dispute, resigned 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 speaking to investors who have complaints regarding Mr. Gardner (CRD# 4423724).

Bradley Gardner has spent 16 years in the securities industry and was most recently registered with LPL Financial in Fort Bragg, California (2012-2017). Previous registrations include Raymond James Financial Services in Fort Bragg, California (2009-2012); Wells Fargo Advisors Financial Network in Fort Bragg, California (2005-2009); and Edward Jones in St. Louis, Missouri (2001-2005). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on June 23, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 18, 2001; Series 31 (Futures Managed Funds Examination), which he obtained on March 3, 2008; and Series 7 (General Securities Representative Examination), which he obtained on September 5, 2001. He is currently not registered with any state or firm.

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

Public 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 AbbottPublicly 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.

As Seen On
New York Post
abc News
Investment News
Daily News
The Huffington Post
Wall Street Journal