Articles Posted in Suitability

https://images.unsplash.com/photo-1518316847866-651fbb917956?ixlib=rb-0.3.5&ixid=eyJhcHBfaWQiOjEyMDd9&s=9749566038e89683cba08ee3fb69dc02&w=1000&q=80Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 27, 2018 indicate that New York-based UBS Financial Services broker/adviser Patrick Donohue has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Donohue (CRD# 1029917).

Patrick Donohue has spent 36 years in the securities industry and has been registered with UBS Financial Services in New York, New York since 2012. Previous registrations include Merrill Lynch in New York, New York (1988-2012); Shearson Lehman Hutton (1988); EF Hutton & Company (1984-1988); and Merrill Lynch (1982-1984). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 17, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 26, 1983; Series 5 (Interest Rate Options Examination), which he obtained on March 2, 1982; and Series 7 (General Securities Representative Examination), which he obtained on January 16, 1982. He is a registered broker and investment adviser with 24 US states and territories: Arizona, California, Colorado, Connecticut, Delaware, the District of Columbia, Florida, Georgia, Illinois, Indiana, Maine, Massachusetts, Missouri, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Virginia, Washington, and Wisconsin.

According to his BrokerCheck report, he has received four customer complaints and two unsatisfied judgments or liens.

George HovanyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that Illinois-based Wayne Hummer Investments broker/adviser George Hovany has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hovany (CRD# 1188851).

George Hovany has spent 34 years in the securities industry and has been registered with Wayne Hummer Investments in Chicago, Illinois since 2008. Previous registrations include Ameriprise Advisor Services in Northbrook, Illinois (2005-2008); Banc of America Investment Services in Boston, Massachusetts (2004-2005); Quick & Reilly in New York, New York (2003-2004); RBC Dain Rauscher in New York, New York (1998-2003); Dain Rauscher (1996-1998); and Merrill Lynch in New York, New York (1983-1996). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 29, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 17, 1983; and Series 7 (General Securities Representative Examination), which he obtained on September 17, 1983. He is a registered broker and investment adviser with 13 US states and territories: Alaska, Arizona, California, Illinois, Indiana, Iowa, Minnesota, New Jersey, North Carolina, Ohio, Virginia, Washington, and Wisconsin. He is registered with two self-regulatory organizations (SROs): the Chicago Stock Exchange and FINRA.

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

Sally WegerPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that New York-based Morgan Stanley broker/adviser Sally Weger is involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Weger (CRD# 2591057).

Sally Weger has spent 23 years in the securities industry and has been registered with Morgan Stanley in Palm Beach Gardens, Florida since 2011. She was previously registered with Merrill Lynch in Melville, New York (1995-2011). She has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on January 13, 2011; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on April 26, 1995; and Series 7 (General Securities Representative Examination), which she obtained on April 11, 1995. She is a registered broker and investment adviser with 14 US states and territories: California, Connecticut, Florida, Georgia, Illinois, Indiana, Michigan, New Jersey, North Carolina, Pennsylvania, Virginia, Washington, and Wyoming. She is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Bill BurksPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 14, 2018 indicate that Texas-based Centaurus Financial broker/adviser William Burks II, also known as Bill Burks, has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Burks (CRD# 2944992).

William Burks has spent 20 years in the securities industry and has been registered with Centaurus Financial in Flower Mound, Texas since 2000. He was previously registered with PFS Investments in Duluth, Georgia (1997-2000). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 23, 2009; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 18, 1997; Series 7 (General Securities Representative Examination), which he obtained on February 18, 2009; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 17, 1997; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on December 8, 2003. He is a registered broker and investment adviser with 13 US states and territories: Arizona, California, Colorado, Florida, Kansas, Louisiana, Maryland, Minnesota, North Carolina, Tennessee, Texas, Utah, and Washington.

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

Lon Faccini, Jr.

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 6, 2018 indicate that New York-based Arive Capital Markets broker Lon Faccini, Jr. has received numerous resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Faccini (CRD# 2736849).

Lon Faccini has spent twenty years in the securities industry and has been registered with Arive Capital Markets in Coram, New York since 2016. Previous registrations include Cape Securities in Coram, New York (2010-2016); Liberty Partners Financial Services in Holbrook, New York (2006-2010); JW Cole Financial in Holbrook, New York (2006); JP Turner & Company in Holbrook, New York (2004-2006); LH Ross & Company in Boca Raton, Florida (2004); Continental Broker-Dealer in Carle Place, New York (2003-2004); Gunnallen Financial in Tampa, Florida (2002-2003); Seaboard Securities in Florham Park, New Jersey (1997-2002); HJ Meyers & Company in Rochester, New York (1997); and Investors Associates in Hackensack, New Jersey (1996-1997). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 24, 1996, and Series 7 (General Securities Representative Examination), which he obtained on July 13, 1996. He is a registered broker and investment adviser with 35 US states and territories.

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

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.

Anthony DacruzPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that New York-based Morgan Stanley broker/adviser Anthony Dacruz has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Dacruz (CRD# 1259435).

Anthony Dacruz has spent 34 years in the securities industry and has been registered with Morgan Stanley in New York, New York since 2011. Previous registrations include RBC Capital Markets in New York, New York (2009-2011); JB Hanauer & Company in Parsippany, New York (1984-2009); and Merrill Lynch (1984-1988). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 25, 2003; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 15, 1984; Series 7 (General Securities Representative Examination), which he obtained on April 14, 1984; and Series 24 (General Securities Principal Examination), which he obtained on October 21, 1996. He is a registered broker and investment adviser with 22 US states and territories: Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Massachusetts, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, Rhode Island, South Carolina, Texas, Vermont, and Virginia.

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

Kenneth ByrnePublicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that New York-based Janney Montgomery Scott broker/adviser Kenneth Byrne has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Byrne (CRD# 1191939).

Kenneth Byrne has spent 34 years in the securities industry and has been registered with Janney Montgomery Scott in Garden City, New York since 2003. Previous registrations include Monarch Financial Corporation of America in New York, New York (1994-2003) and Stoever Glass & Company in New York, New York (1983). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 22, 1983; Series 7 (General Securities Representative Examination), which he obtained on March 17, 1984; and Series 52 (Municipal Securities Representative Examination), which he obtained on November 9, 1983. He is a registered broker and investment adviser with 19 US states and territories: Arizona, Connecticut, Florida, Iowa, Louisiana, Massachusetts, Michigan, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, Tennessee, Texas, Virginia, Washington, and Wisconsin.

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

Matthew LawsonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that Tennessee-based Raymond James Financial Services broker/adviser Matthew Lawson is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lawson (CRD# 2869619).

Matthew Lawson has spent 20 years in the securities industry and has been registered with Raymond James Financial Services in Chattanooga, Tennessee since 2012. Previous registrations include LPL Financial in Chattanooga, Tennessee (2007-2012); SunTrust Investment Services in Chattanooga, Tennessee (2005-2007); Amsouth Investment Services in Birmingham, Alabama (2004-2005); and Merrill Lynch in New York, New York (1997-2004). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 30, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 21, 1997; Series 31 (Futures Managed Funds Examination), which he obtained on December 15, 2008; Series 7 (General Securities Representative Examination), which he obtained on May 9, 1997; and Series 24 (General Securities Principal Examination), which he obtained on March 28, 2006. He is a registered broker and investment adviser with 36 US states and territories.

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

Robert SteckPublic records published by the Financial Industry Regulatory Authority (FINRA) on May 16, 2018 indicate that New York-based Merrill Lynch broker/adviser Robert Steck has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Steck (CRD# 1094342).

Robert Steck has spent 35 years in the securities industry and has been registered with Merrill Lynch in Great Neck, New York since 1986. Previous registrations include Equitable Securities of New York (1984-1986); Southeast Securities of Florida (1983-1984); and Monvest Limited Partnership (1984). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 12, 1983; Series 3 (National Commodity Futures Examination), which he obtained on June 25, 1997; Series 7 (General Securities Representative Examination), which he obtained on February 19, 1983; Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on March 19, 1997; and Series 53 (Municipal Securities Principal Examination), which he obtained on August 28, 1985. He is a registered broker and investment adviser with 25 US states and territories: Arizona, California, Colorado, Connecticut, the District of Columbia, Florida, Georgia, Illinois, Kentucky, Louisiana, Maryland, Massachusetts, Michigan, Nebraska, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Tennessee, Texas, Vermont, Virginia, and Washington.

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

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