Articles Posted in Terminated

Robert Gunning

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 21, 2017 indicate that California-based Principal Securities broker/adviser Robert Gunning was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gunning (CRD# 1782016).

Robert Gunning has spent 30 years in the securities industry and was most recently registered with Principal Securities in Fresno, California (2010-2018). Previous registrations include Wedbush Morgan Securities in Fresno, California (2009-2010); UBS Financial Services in Fresno, California (2003-2009); Citigroup Global Markets in New York, New York (1993-2003); Lehman Brothers in New York, New York (1992-1993); and Painewebber in Weehawken, New Jersey (1988-1992). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 25, 1991; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 29, 1987; Series 3 (National Commodity Futures Examination), which he obtained on December 13, 1996; Series 7 (General Securities Representative Examination), which he obtained on December 12, 1987; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on December 20, 1994. He is currently not registered with any state, firm, or self-regulatory organization (SRO).

According to his BrokerCheck report, he has received two denied customer complaints and was discharged from his former employer in connection to alleged rule violations.

Joshua Bradley

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 5, 2018 indicate that former South Carolina-based Merrill Lynch broker/adviser Joshua Bradley has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bradley (CRD# 5174430).

Joshua Bradley has spent nine years in the securities industry and was most recently registered with Merrill Lynch in Columbia, South Carolina (2015-2016). Previous registrations include Voya Financial Advisors in Columbia, South Carolina (2008-2015); Gunnallen Financial in Lexington, South Carolina (2008); First Allied Securities in Lexington, South Carolina (2007-2008); and Edward Jones in Hopkins, South Carolina (2006). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 16, 2011; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 3, 2006; and Series 7 (General Securities Representative Examination), which he obtained on September 12, 2006. He is currently not registered with any state or firm.

According to his BrokerCheck report, Joshua Bradley has been sanctioned by FINRA in connection to alleged rule violations and was discharged from his position at Merrill Lynch in connection to alleged rule violations.

Dennis ContrestanoPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2018 indicate that California-based Independent Financial Group broker/adviser Dennis Contrestano was discharged from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Contrestano (CRD# 1582393).

Dennis Contrestano has spent thirty-one years in the securities industry and has been registered with Independent Financial Group in Fresno, California since December 2017. Previous registrations include RBC Capital Markets in Fresno, California (2006-2017); UBS Financial Services in Fresno, California (2006); Piper Jaffray & Company in Fresno, California (1997-2006); and Prudential Securities in New York, New York (1986-1997). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 6, 2008; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 6, 1987; and Series 7 (General Securities Representative Examination), which he obtained on November 15, 1986. He is a registered broker and investment adviser with 13 US states and territories: Arizona, California, Colorado, Hawaii, Iowa, Missouri, New Mexico, North Carolina, South Carolina, Tennessee, Texas and Wisconsin.

According to his BrokerCheck report, he was discharged from a former employer in connection to alleged rule violations.

Peter HollerPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 16, 2018 indicate that former Tennessee-based Securities Service Network broker/adviser Peter Holler was recently discharged from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Holler (CRD# 838897).

Peter Holler has spent 40 years in the securities industry and was most recently registered with Securities Service Network in Bristol, Tennessee (2001-2017). Previous registrations include Lincoln Financial Advisors Corporation in Fort Wayne, Indiana (1992-2001); the Lincoln National Life Insurance Company in Fort Wayne, Indiana (1992-2001); Chubb Securities Corporation in Fort Wayne, Indiana (1978-1992); and Western Reserve Financial Services (1977-1978). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 16, 2004; Series 7 (General Securities Representative Examination), which he obtained on December 9, 1997; and Series 1 (Registered Representative Examination), which he obtained on June 14, 1977. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was recently discharged from his former employer in connection to alleged rule violations.

Kenneth South

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that California-based Oppenheimer & Company broker/adviser Kenneth South has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. South (CRD# 1387390).

Kenneth South has spent 32 years in the securities industry and has been registered with Oppenheimer & Company in Newport Beach, California since 2006. Previous registrations include Citigroup Global Markets in Newport Beach, California (1993-2006); Lehman Brothers in New York, New York (1988-1993); and EF Hutton & Company (1985-1988). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 30, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 5, 1985; Series 3 (National Commodity Futures Examination), which he obtained on August 30, 1985; and Series 7 (General Securities Representative Examination), which he obtained on July 20, 1985. He is a registered broker and investment adviser with 31 US states and territories and with nine self-regulatory organizations (SROs): the Chicago Board Options Exchange, the Chicago Stock Exchange, FINRA, NSYE American LLC, NYSE Arca Inc., Nasdaq ISE LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, Kenneth South has received two customer complaints and one pending customer complaint, and was discharged from a former employer in connection to alleged rule violations.

Eli Sanchez

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 18, 2017 indicate that former Texas-based Edward Jones broker/adviser Eli Sanchez, who has received a pending customer dispute, was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sanchez (CRD# 5103663).

Eli Sanchez has spent ten years in the securities industry and was most recently registered with Edward Jones in San Antonio, Texas from 2006 through 2017. He has no previous registrations. He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on June 25, 2009; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 27, 2006; and Series 7 (General Securities Representative Examination), which he obtained on April 24, 2006. He is currently not registered with any state or firm.

According to his BrokerCheck report, Eli Sanchez has received one pending customer complaint and was discharged from his former employer in connection to alleged rule violations.

Damian SerretPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 1, 2017 indicate that former Florida-based PFS Investments broker/adviser Damian Serret was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Serret (CRD# 6016488).

Damian Serret has spent five years in the securities industry and was most recently registered with PFS Investments in Miami Lakes, Florida (2012-2017). He has no previous registrations. He has passed one securities industry examination: Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 22, 2012. He is currently not affiliated with any broker-dealer firm.

According to his BrokerCheck report, he was discharged from his former employer in connection to alleged rule violations and has received two unsatisfied judgments or liens.

Mitchell Bloom

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 30, 2017 indicate that former Colorado-based Cetera Advisor Networks broker/adviser Mitchell Bloom was terminated from his former employer and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bloom (CRD# 1682361).

Mitchell Bloom has spent 26 years in the securities industry and was most recently registered with Cetera Advisor Networks in Westminster, Colorado (2011-2017). Previous registrations include QA3 Financial Corporation in Broomfield, Colorado (2009-2011); Multi-Financial Securities Corporation in Westminster, Colorado (1996-2009); FSC Securities Corporation in Atlanta, Georgia (1995-1996); WMA Securities in Duluth, Georgia (1995); First Associated Securities Group in Chico, California (1995); Consolidated Investment Services in Littleton, Colorado (1994-1995); Schneider Securities in Denver, Colorado (1992-1993); Geldermann Securities in New York, New York (1989-1991); and Marshall Davis, Incorporated (1987). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 28, 1987; Series 3 (National Commodity Futures Examination), which he obtained on February 8, 1988; and Series 7 (General Securities Representative Examination), which he obtained on August 15, 1987. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was recently discharged from a former employer in connection to alleged rule violations.

Ellen DonnellyPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2017 indicate that New Jersey-based International Assets Advisory broker Ellen Donnelly has been involved in a customer dispute and was discharged from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Donnelly (CRD# 2357999).

Ellen Donnelly has spent 24 years in the securities industry and has been registered with International Assets Advisory in Spring Lake, New Jersey since January 2017. Previous registrations include Morgan Stanley in Red Bank, New Jersey (2010-2017); Merrill Lynch in Staten Island, New York (2004-2010); Goldman Sachs & Company in New York, New York (1995-2004); Smith Barney in New York, New York (1993-1995); and Lehman Brothers in New York, New York (1993). She has passed four securities industry examinations: Series 7 (General Securities Representative Examination); 65 (Uniform Investment Adviser Law Examination), which she obtained on October 1, 2004; Series 31 (Futures Managed Funds Examination), which she obtained on October 25, 1993; and Series 63 (Uniform Securities Agent State Law Examination), which she obtained on June 1, 1993. She is a registered broker and investment adviser with six US states: Connecticut, Florida, Maryland, New Jersey, New York, and North Carolina.

According to her BrokerCheck report, she has received one customer complaint and was discharged from a former employer following alleged rule violations

Stephen Kelbick

Public records published by the Financial Industry Regulatory Authority (FINRA) on November 13, 2017 indicate that former Pennsylvania-based Wells Fargo Clearing Services broker/adviser Stephen Kelbick was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kelbick (CRD# 1429133).

Stephen Kelbick has spent 31 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in Villanova, Pennsylvania (2013-2017). Previous registrations include Morgan Stanley in Blue Bell, Pennsylvania (2009-2013); Citigroup Global Markets in Blue Bell, Pennsylvania (1993-2009); Lehman Brothers in New York, New York (1991-1993); and Prudential-Bache Securities in New York, New York (1985-1991). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 28, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 22, 1985; Series 3 (National Commodity Futures Examination), which he obtained on February 11, 1986; Series 7 (General Securities Representative Examination), which he obtained on November 16, 1985; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on August 16, 2000; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on June 20, 2000. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two customer complaints, one denied customer complaint, and he was terminated from a former employer in connection to alleged rule violations.

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