Articles Posted in Puerto Rican Bonds

iStock_00000230608wallst-1-272x300Public 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According to his BrokerCheck report, he has received one pending customer complaint and one customer complaint that was withdrawn.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.

Andrea Frezza

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.

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