Articles Posted in Suitability

Walter Clark

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that former Maryland-based Wilmington Capital Services broker/adviser Walter Clark has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Clark (CRD# 1803139).

Walter Clark has spent 28 years in the securities industry and was most recently registered with Wilmington Capital Services in Columbia, Maryland (2015-2016). Previous registrations include Adirondack Trading Group in Columbia, Maryland (2014-2015); Southeast Investments in Charlotte, North Carolina (2014); Newbridge Securities Corporation in Columbia, Maryland (2011-2014); International Financial Solutions in Columbia, Maryland (2011); Summit Brokerage Services in Columbia, Maryland (2008-2011); Westrock Advisors in Columbia, Maryland (2002-2008); Pro-Integrity Securities in Longview, Texas (2000-2002); JWGenesis Financial Services in St. Louis, Missouri (1999-2000); Gruntal & Company in New York, New York (1995-2000); Wheat First Securities in Charlotte, North Carolina (1990-1995); and the Stuart-James Company in Denver, Colorado (1988-1990). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 15, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 12, 1988; Series 7 (General Securities Representative Examination), which he obtained on June 18, 1988; and Series 24 (General Securities Principal Examination), which he obtained on February 29, 2000. He is currently not registered with any state or firm.

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

David GatlinPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 4, 2018 indicate that former Alabama-based Next Financial Group broker David Gatlin is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have disputes regarding Mr. Gatlin (CRD# 2202955).

David Gatlin has spent 18 years in the securities industry and was most recently registered with Next Financial Group in Bay Minette, Alabama (2014-2017). Previous registrations include Securities America in Spanish Fort, Alabama (2003-2014); Salomon Smith Barney in New York, New York (2000-2003); Pruco Securities Corporation (1992-1993); and FN Wolf & Company (1992). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 5, 2001; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 5, 2001; and Series 7 (General Securities Representative Examination), which he obtained on December 20, 2000. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one unsatisfied civil judgment or lien and two customer complaints that were closed or denied.

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 22, 2018 indicate that Texas-based Raymond James Financial Services broker/adviser Paul Curran has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Curran (CRD# 5236647).

Paul Curran has spent eleven years in the securities industry and has been registered with Raymond James Financial Services in El Campo, Texas since 2016. Previous registrations include Cetera Investment Services in El Campo, Texas (2014-2016); LPL Financial in El Campo, Texas (2011-2014); UVest Financial Services Group in El Campo, Texas (2009-2011); and Ameriprise Financial Services in Houston, Texas (2006-2009). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on November 28, 2006, and Series 7 (General Securities Representative Examination), which he obtained on November 17, 2006. He is a registered broker and investment adviser with two US states: North Carolina and Texas.

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

Jason Chi-Wei Fu

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 19, 2018 indicate that New York-based AXA Advisors broker/adviser Jason Chi-Wei Fu has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Fu (CRD# 1329403).

Jason Fu has spent 32 years in the securities industry and has been registered with AXA Advisors in Flushing, New York since 2005. He was previously registered with Mony Securities Corporation in New York, New York (1986-2005). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 1, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 7, 1986; and Series 7 (General Securities Representative Examination), which he obtained on March 15, 1986. He is a registered broker and investment adviser with 18 US states: Arizona, California, Connecticut, Florida, Georgia, Maryland, Massachusetts, Mississippi, Nevada, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, Tennessee, Texas, Vermont, and Washington.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, one denied customer complaint, and one customer complaint that was closed with no action taken.

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 19, 2018 indicate that former Texas-based HD Vest Investment Services broker Donna Barnard is involved in pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Barnard (CRD# 5653949).

Donna Barnard has spent seven years in the securities industry and was most recently registered with HD Vest Investment Services in Kilgore, Texas (2014-2017). Previous registrations include Signal Securities in Kilgore, Texas (2013-2014) and Woodmen Financial Services in Kilgore, Texas (2009-2012). She has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on June 2, 2009; Series 7 (General Securities Representative Examination), which she obtained on July 30, 2015; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on May 27, 2009. She is currently not registered with any state or firm.

According to her BrokerCheck report, she has received two pending customer complaints.

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 19, 2018 indicate that Florida-based GMS Group broker Travis Knadle has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Knadle (CRD# 1732585).

Travis Knadle has spent four years in the securities industry and has been registered with The GMS Group in Boca Raton, Florida since 2014. He has no previous registrations. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 20, 2014, and Series 7 (General Securities Representative Examination), which he obtained on January 14, 2014. He is a registered broker with 18 US states and territories: California, Colorado, Florida, Maryland, Michigan, Missouri, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Utah, Virginia and Washington.

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

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2018 indicate that former Florida-based HD Vest Investment Services broker/adviser Karl Foust has received pending customer disputes in connection to investments in Wimbledon Health Partners. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Foust (CRD# 1010291).

Karl Foust has spent 16 years in the securities industry and was most recently registered with HD Vest Investment Services in Boca Raton, Florida (2009-2014). Previous registrations include Gunnallen Financial in Del Ray Beach, Florida (2006-2009); Thomas James Associates (1985-1990; 1992); Apple Financial Corporation (1984-1985); and First Jersey Securities (1981-1984). He has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on January 29, 2009; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 3, 1984; Series 7 (General Securities Representative Examination), which he obtained on December 11, 2008; Series 22 (Direct Participation Programs Representative Examination), which he obtained on August 16, 2006; and Series 24 (General Securities Principal Examination), which he obtained on January 31, 1985. He is currently not registered with any state or firm.

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

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2018 indicate that New York-based Key Investment Services broker Joseph Badolato has received a customer complaint that was denied. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Badolato (CRD# 4769496).

Joseph Badolato has spent 13 years in the securities industry and has been registered with Key Investment Services in Delmar, New York since January 2016. Previous registrations include Citizens Securities in Loudonville, New York (2008-2016) and AXA Advisors in Clifton, Park, New York (2004-2008). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 6, 2004, and Series 7 (General Securities Representative Examination), which he obtained on June 3, 2004. He is a registered broker with 31 US states and territories and one self-regulatory organization (SRO): FINRA.

According to his BrokerCheck report, he has received a customer complaint that was denied.

Gerald Pitz

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 2, 2018 indicate that New York-based Edward Jones broker Gerald Pitz has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pitz (CRD# 2489786).

Gerald Pitz has spent 23 years in the securities industry and has been registered with Edward Jones in Delmar, New York since 1994. 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 22, 1994, and Series 7 (General Securities Representative Examination), which he obtained on June 16, 1994. He is a registered broker with 35 US states and territories and with four self-regulatory organizations: 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 and one denied customer complaint.

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 1, 2018 indicate that Maryland-based Morgan Stanley broker/adviser Alan Hess has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hess (CRD# 734166).

Alan Hess has spent 36 years in the securities industry and has been registered with Morgan Stanley in Baltimore, Maryland since 2009. Previous registrations include Citigroup Global Markets in Pikesville, Maryland (2006-2009); Legg Mason Wood Walker in Baltimore, Maryland (1987-2006); Legg Mason Masten (1987); Legg Mason Wood Walker (1981-1987); and Shearson Loeb Rhoades (1981-1982). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 23, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 20, 1986; and Series 7 (General Securities Representative Examination), which he obtained on July 18, 1981. He is a registered broker and investment adviser with 15 US states and territories: California, the District of Columbia, Florida, Georgia, Illinois, Louisiana, Maryland, Michigan, New York, North Carolina, Pennsylvania, South Carolina, Texas, Utah, and Virginia. He is registered with three self-regulatory organization (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

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