Articles Posted in Suitability

Richard MatoffPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 21, 2018 indicate that Washington-based Cetera Advisors broker/adviser Richard Matoff has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Matoff (CRD# 322918).

Richard Matoff has spent 35 years in the securities industry and has been registered with Cetera Advisors in Redmond, Washington since 2012. Previous registrations include Pacific West Securities in Renton, Washington (2008-2012); Geneos Wealth Management in Kirkland, Washington (2006-2008); Securities America in Spokane, Washington (1998-2006); Financial Network Investment Corporation in El Segundo, California (1995-1998); United California Securities in Encino, California (1990-1995); Smith Barney Harris Upham & Company in New York, New York (1989-1990); Sutro & Company in San Francisco, California (1987-1989); Drexel Burnham Lambert (1984-1987); Becker Paribas (1984); and Oppenheimer & Company (1981-1984). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 28, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 20, 1983; and Series 1 (Registered Representative Examination), which he obtained on September 15, 1981. He is a registered broker and investment adviser with eight US states and territories: Arizona, California, Florida, Idaho, Kentucky, Oregon, Texas, and Washington.

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

Gerard Armstrong

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 21, 2018 indicate that Oklahoma-based Morgan Stanley broker/adviser Gerard Armstrong, also known as Gerry Armstrong, is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Armstrong (CRD# 1340016).

Gerard Armstrong has spent 32 years in the securities industry and has been registered with Morgan Stanley in Oklahoma City, Oklahoma since 2009. Previous registrations include Morgan Stanley & Company in Lawton, Oklahoma (2007-2009); Morgan Stanley DW in Lawton, Oklahoma (1997-2007); Link Investment Services (1995-1997); and Stifel Nicolaus & Company in St. Louis, Missouri (1985-1995). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 8, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 15, 1985; Series 7 (General Securities Representative Examination), which he obtained on February 16, 1985; Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on February 23, 1998; and Series 24 (General Securities Principal Examination), which he obtained on April 19, 1995. He is a registered broker and investment adviser with 32 US states and territories and with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Jason UrbaniakPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 21, 2018 indicate that Indiana-based LPL Financial broker/adviser Jason Urbaniak has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Urbaniak (CRD# 2834829).

Jason Urbaniak has spent 15 years in the securities industry and has been registered with LPL Financial in Crown Point, Indiana since February 2018. Previously he was registered with SII Investments in Crown Point, Indiana. He has passed three securities industry examinations: Series 65 (Uniform Combined State Law Examination), which he obtained on July 31, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 30, 1997; and Series 7 (General Securities Representative Examination), which he obtained on July 24, 2002. He is a registered broker and investment adviser with 16 US states and territories: Arizona, California, Colorado, Florida, Illinois, Indiana, Iowa, Kansas, Massachusetts, Michigan, North Carolina, Ohio, Oklahoma, Pennsylvania, South Carolina, and South Dakota.

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

John AlexanderPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 7, 2018 indicate that former North Carolina-based Park Avenue Securities broker/adviser John Alexander III has been involved in customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Alexander (CRD# 3124742).

John Alexander has spent 18 years in the securities industry and was most recently registered with Park Avenue Securities in Charlotte, North Carolina (2015-2017). He was previously registered with NYLife Securities in Statesville, North Carolina (1999-2015). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 2, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 15, 1998; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 15, 1999. He is currently not affiliated with any broker-dealer firm.

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

John GuzyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 7, 2018 indicate that former New Jersey-based Morgan Stanley broker/adviser John Guzy has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Guzy (CRD# 232558).

John Guzy has spent 35 years in the securities industry and was most recently registered with Morgan Stanley in Morristown, New Jersey (2009-2017). Previous registrations include Citigroup Global Markets in Morristown, New Jersey (1986-2009)’; McLaughlin Piven Vogel (1986); Stanley Company (1986); Herzfeld & Stern (1982-1983); Hamilton/Cooke & Company (1976-1980); Northfield Investments (1978-1979); and Hibbard O’Connor Securities. He has passed four securities industry examinations: Series 65 (Uniform Combined State Law Examination), which he obtained on May 18, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 1, 1986; Series 7 (General Securities Representative Examination), which he obtained on November 20, 1982; and Series 1 (Registered Representative Examination), which he obtained on May 9, 1974. He is currently not registered with any state or firm.

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

Philip HanoverPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 5, 2018 indicate that New York-based Vanderbilt Securities broker/adviser Philip Hanover has been involved in resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hanover (CRD# 236082).

Philip Hanover has spent 46 years in the securities industry and was most recently registered with Vanderbilt Securities in Woodbury, New York (2015-2016). Previous registrations include Oppenheimer & Company in Melville, New York (2002-2015); Ryan Beck & Company in Florham Park, New Jersey (2002); Gruntal & Company in New York, New York (1988-2002); Prescott Ball & Turben (1977-1988); and Weingarten Rosenbaum & Company (1970-1977). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 24, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 10, 2003; PC (AMEX Put and Call Exam), which he obtained on September 2, 1977; Series 1 (Registered Representative Examination), which he obtained on August 8, 1958; Series 40 (Registered Principal Examination), which he obtained on August 5, 1968; and Series 12 (NYSE Branch Manager Examination), which he obtained on January 16, 1967. He is currently not registered with any state or firm.

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

Stephanie AbeePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 2, 2018 indicate that North Carolina-based Cambridge Investment Research broker/adviser Stephanie Abee has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Abee (CRD# 5888654).

Stephanie Abee has spent six years in the securities industry and has been registered with Cambridge Investment Research in Raleigh, North Carolina since April 2016. Previous registrations include TransAmerica Financial Advisors in Raleigh, North Carolina (2013-2016); NFP Securities in Raleigh, North Carolina (2012-2013); and TransAmerica Financial Advisors in Raleigh, North Carolina (2011-2012). She has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on October 7, 2011, and Series 7 (General Securities Representative Examination), which she obtained on April 20, 2011. She is a registered broker and investment adviser with nine US states and territories: Delaware, the District of Columbia, Kentucky, Maryland, Minnesota, North Carolina, Ohio, Oregon and Virginia.

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

Malcolm Reader

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2018 indicate that Florida-based GMS Group broker Malcolm Reader has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Reader (CRD# 1009953).

Malcolm Reader has spent 35 years in the securities industry and has been registered with The GMS Group in Boca Raton, Florida since 1988. Previous registrations include Moore & Schley Cameron & Company (1985-1988); Moore & Schley Municipals (1985-1988); EF Hutton & Company (1985); Bevill Bresler & Schulman (1983-1985); Hanauer Stern & Company (1982-1983); and JB Hanauer & Company (1982). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 21, 1982; Series 7 (General Securities Representative Examination), which he obtained on June 19, 1982; and Series 52 (Municipal Securities Representative Examination), which he obtained on September 19, 1981. He is a registered broker with 23 US states and territories: Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Illinois, Kentucky, Maryland, Massachusetts, Michigan, Missouri, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Virginia, Washington and Wisconsin.

According to his BrokerCheck report, he has received three customer complaints, one pending customer complaint, and six customer complaints that were closed or denied.

Lauren Frahn

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2018 indicate that New Jersey-based Hennion & Walsh broker/adviser Lauren Frahn has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Frahn (CRD# 4565805).

Lauren Frahn has spent 15 years in the securities industry and has been registered with Hennion & Walsh in Parsippany, New Jersey since 2002. She has no previous registrations. She has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on August 22, 2007; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on September 11, 2002; and Series 7 (General Securities Representative Examination), which she obtained on August 12, 2002. She is a registered broker and investment adviser with 40 US states and territories.

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

Lanny Howarter

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 31, 2018 indicate that California-based Crown Capital Securities broker/adviser Lanny Howarter has resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Howarter (CRD# 813591).

Lanny Howarter has spent 32 years in the securities industry and has been registered with Crown Capital Securities in San Diego, California since 2009. Previous registrations include Signator Investors in San Diego, California (2006-2009); Equity Services in San Diego, California (1992-2006); Lincoln Financial Advisors Corporation (1975-1983); and the Lincoln National Life Insurance Company (1975-1983). He has passed six securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on March 17, 2001; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 7, 1992; Series 7 (General Securities Representative Examination), which he obtained on December 16, 2000; Series 22 (Direct Participation Programs Representative Examination), which he obtained on December 8, 1994; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on December 7, 1992; and Series 1 (Registered Representative Examination), which he obtained on October 5, 1975. He is a registered broker and investment adviser with eight US states: Arizona, California, Kansas, Montana, New Mexico, North Carolina, Texas and Utah.

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

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