Articles Posted in Puerto Rican Bonds

Laurence KnowltonPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 24, 2018 indicate that Massachusetts-based UBS Financial Services broker Laurence Knowlton has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Knowlton (CRD# 1383052).

Laurence Knowlton has spent 33 years in the securities industry and has been registered with UBS Financial Services in Boston, Massachusetts since 1995. Previous registrations include Kidder Peabody & Company in New York, New York (1993-1995) and Lehman Brothers in New York, New York (1985-1993). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 31, 1995; Series 3 (National Commodity Futures Examination), which he obtained on September 3, 1995; and Series 7 (General Securities Representative Examination), which he obtained on July 20, 1985. He is a registered broker with 34 US states and territories.

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

Garry HurewitzPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 17, 2018 indicate that Florida-based FMSbonds broker Garry Hurewitz has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hurewitz (CRD# 1795772).

Garry Hurewitz has spent 24 years in the securities industry and has been registered with FMSbonds in North Miami Beach, Florida since 1995. Previous registrations include Meridian Securities (1994); Marcus Stowell & Beye Government Securities in Fort Lauderdale, Florida (1993-1994); and Marcus Stowell & Beye in Fort Lauderdale, Florida (1993-1994). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 10, 1994, and Series 7 (General Securities Representative Examination), which he obtained on March 9, 1995. He is a registered broker with 47 US states and territories.

According to his BrokerCheck report, he has received one pending customer complaint and one customer complaint that was withdrawn.

Thomas McCarthyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 14, 2018 indicate that Connecticut-based Oppenheimer & Company broker/adviser Thomas McCarthy has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McCarthy (CRD# 1082545).

Thomas McCarthy has spent 35 years in the securities industry and has been registered with Oppenheimer & Company in Cheshire, Connecticut since 1988. Previous registrations include Fahnestock & Company (1988); Moseley Securities Corporation (1984-1988); and Smith Barney Harris Upham & Company (1982-1984). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 28, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 22, 1982; Series 7 (General Securities Representative Examination), which he obtained on December 18, 1982; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on November 8, 1999; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on November 8, 1999. He is a registered broker and investment adviser with 15 US states and territories: California, Colorado, Connecticut, Florida, Georgia, Massachusetts, Michigan, Nevada, New Jersey, New York, Rhode Island, South Carolina, Texas, Virginia, and Washington. He is registered with nine self-regulatory organizations (SROs): Cboe Exchange, the Chicago Stock Exchange, FINRA, NYSE American, NYSE Arca, Nasdaq ISE, Nasdaq PHLX, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Jaime Musa

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 6, 2018 indicate that Florida-based Citi International Financial Services broker Jaime Musa is involved in pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Musa (CRD# 5606224).

Jaime Musa has spent eight years in the securities industry and has been registered with Citi International Financial Services in Miami, Florida since 2016. Previous registrations include UBS Financial Services in Weehawken, New Jersey (2009-2016) and UBS Financial Services Incorporated of Puerto Rico in Hato Rey, Puerto Rico (2009-2016). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on March 11, 2013, and Series 7 (General Securities Representative Examination), which he obtained on September 9, 2009. He is a registered broker with one US states (Florida) and one self-regulatory organization (FINRA).

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

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.

Debra BushmanPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 7, 2018 indicate that New York-based UBS Financial Services broker/adviser Debra Bushman has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mrs. Bushman (CRD# 870056).

Debra Bushman has spent 38 years in the securities industry and has been registered with UBS Financial Services in Garden City, New York since 2010. Previous registrations include Merrill Lynch in Garden City, New York (2006-2010); Janney Montgomery Scott in Garden City, New York (2003-2006); and Prudential Securities in New York, New York (1979-2003). She has passed nine securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on August 2, 1994; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on June 28, 1984; Series 5 (Interest Rate Options Examination), which she obtained on January 20, 1995; Series 15 (Foreign Currency Options Examination), which she obtained on August 14, 1991; Series 7 (General Securities Representative Examination), which she obtained on August 18, 1979; Series 24 (General Securities Principal Examination), which she obtained on July 16, 1987; Series 53 (Municipal Securities Principal Examination), which she obtained on October 14, 1985; Series 4 (Registered Options Principal Examination), which she obtained on May 22, 1984; and Series 12 (NYSE Branch Manager Examination), which she obtained on December 26, 1981. She is a registered broker and investment adviser with 27 US states and territories.

According to her BrokerCheck report, she has received five customer complaints and one pending customer complaint.

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 2, 2018 indicate that Connecticut-based Wells Fargo Clearing Services broker/adviser Andrea Frezza has received a pending customer dispute in connection to investments in Puerto Rico municipal bonds. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Frezza (CRD# 1067271).

Andrea Frezza has spent 35 years in the securities industry and has been registered with Wells Fargo Clearing Services in Old Greenwich, Connecticut since 2015. Previous registrations include JP Morgan Securities in Darien, Connecticut (2012-2015); Chase Investment Services in Westport, Connecticut (2012); Citigroup Global Markets in New Canaan, Connecticut (2007-2012); Citicorp Investment Services in New Canaan, Connecticut (2006-2007); Merrill Lynch in Stamford, Connecticut (1999-2006); CIBC World Markets in New York, New York (1994-1999); and Painewebber in Weehawken, New Jersey (1982-1994). She has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on December 26, 2001; Series 7 (General Securities Representative Examination), which she obtained on September 18, 1982; Series 10 (General Securities Sales Supervisor – General Module Examination), which she obtained on October 14, 1999; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which she obtained on October 14, 1999. She is a registered broker and investment adviser with ten US states: Connecticut, Florida, Georgia, Maine, Missouri, New Jersey, New York, North Carolina, Oregon, and Washington. She is registered with five self-regulatory organizations: FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 26, 2018 indicate that Florida-based GMS broker Paul Mante has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mante (CRD# 4911949).

Paul Mante has spent 12 years in the securities industry and has been registered with GMS Group in Boca Raton, Florida since 2005. He has no previous registrations. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 24, 2005, and Series 7 (General Securities Representative Examination), which he obtained on May 2, 2005. He is a registered broker with 33 US states and territories and two self-regulatory organizations (SROs): FINRA and the Nasdaq Stock Market.

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

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