Articles Posted in Terminated

Edward Conrekas Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2019 indicate that former California-based JW Cole Financial broker/adviser Edward Conrekas was recently 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. Conrekas (CRD# 2962132).

Edward Conrekas has spent 20 years in the securities industry and was most recently registered with JW Cole Financial in Eastvale, California (2018). Previous registrations include Morgan Stanley in Pasadena, California (2009-2017); Citigroup Global Markets in Whittier, California (2005-2009); and Morgan Stanley DW in Purchase, New York (1997-2005). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 21, 1997; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on November 13, 1997. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one FINRA sanction and was discharged from his former employer in connection to alleged rule violations.

Jack LowreyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 23, 2019 indicate that former Florida-based Ameriprise Financial Services broker/adviser Jack Lowrey 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 speaking to investors who have complaints regarding Mr. Lowrey (CRD# 1241746).

Jack Lowrey has spent 33 years in the securities industry and was most recently registered with Ameriprise Financial Services in Pensacola, Florida (2016-2018). Previous registrations include NBC Securities in Pensacola, Florida (2013-2016); Raymond James Financial Services in Pensacola, Florida (2009-2013); NBC Securities in Pensacola, Florida (2002-2009); UBS Painewebber in Weehawken, New Jersey (2000-2002); JC Bradford & Company in New York, New York (2000); Liberty Securities Corporation in Purchase, New York (1998-1999); Southtrust Securities in Birmingham, Alabama (1997-1998); Independent Financial Securities (1997-1998); Barnett Investments in Jacksonville, Florida (1989-1997); Prudential-Bache Securities in New York, New York (1989); and Merrill Lynch in New York, New York (1984-1989). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 16, 2004; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 7, 1998; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on February 18, 1984. He is currently not registered with any state or firm.

According to his BrokerCheck report, Jack Lowrey was recently discharged from a former employer in connection to alleged rule violations, and resigned from another former employer in connection to alleged rule violations.

Fernando LandichoPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 22, 2019 indicate that former California-based TransAmerica Financial Advisors broker Fernando Landicho, who recently 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 speaking to investors who have complaints regarding Mr. Landicho (CRD# 4448966).

Fernando Landicho has spent 15 years in the securities industry and was most recently registered with TransAmerica Financial Advisors in Burlingame, California (2012-2018). He was previously registered with World Group Securities in Burlingame, California (2003-2012). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 3, 2001; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 2, 2003. He is currently not registered with any state or firm.

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

Arnold MariampolskiPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 16, 2019 indicate that former New York-based AXA Advisors broker/adviser Arnold Mariampolski was recently terminated from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Mariampolski (CRD# 5490441).

Arnold Mariampolski has spent 10 years in the securities industry and was most recently registered with AXA Advisors in Woodbury, New York (2008-2018). He has no previous registrations. He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 3, 2008; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on June 3, 2008. He is currently not registered with any state or firm.

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.

David VolpePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 16, 2019 indicate that former Arizona-based LPL Financial broker/adviser David Volpe was recently discharged from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Volpe (CRD# 2543478).

David Volpe has spent 22 years in the securities industry and was most recently registered with LPL Financial in Scottsdale, Arizona (2017-2018). Previous registrations include National Planning Corporation in Scottsdale, Arizona (2009-2017); AIG Financial Advisors in Phoenix, Arizona (2005-2008); and SunAmerica Securities in Phoenix, Arizona (1996-2005. He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 5, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 20, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on May 26, 1999; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 27, 1995; and Series 24 (General Securities Principal Examination), which he obtained on June 17, 1999. 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.

Andrew ElsofferPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 9, 2019 indicate that former Ohio-based Stifel Nicolaus & Company broker/adviser Andrew Elsoffer, who has received several customer disputes, 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 speaking to investors who have complaints regarding Mr. Elsoffer (CRD# 2580009).

Andrew Elsoffer has spent twenty-three years in the securities industry and was most recently registered with Stifel Nicolaus & Company in Pepper Pike, Ohio (2011-2019). He was previously registered with Merrill Lynch in Pepper Pike, Ohio (1995-2011). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 21, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 24, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on March 15, 1995. He is currently not registered as a broker with any state or firm.

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

Robert TorciviaPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2018 indicate that former Arizona-based Moors & Cabot broker/adviser Robert Torcivia was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Torcivia (CRD# 700880).

Robert Torcivia has spent 44 years in the securities industry and was most recently registered with Moors & Cabot in Phoenix, Arizona (2015-2018). Previous registrations include Ameriprise Financial Services in Sun City, Arizona (2010-2015); Wells Fargo Advisors in Surprise, Arizona (2004-2010); Piper Jaffray & Company in Minneapolis, Minnesota (2000-2004); Painewebber in Weehawken, New Jersey (1994-2000); Dean Witter Reynolds in Purchase, New York (1988-1994); EF Hutton & Company (1984-1988); Boettcher & Company (1981-1984); Wedbush Noble Cooke (1979-1982); Shearson Loeb Rhoades (1977-1979); Shearson Hayden Stone (1975-1977); the Variable Annuity Marketing Company (1974-1975); and Shearson Hammill & Company (1974). He has passed ten securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 9, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 14, 1984; SIE (Securities Industry Essentials Examination), which he obtained on September 11, 2018; Series 3 (National Commodity Futures Examination), which he obtained on November 6, 1984; PC (AMEX Put and Call Exam), which he obtained on May 19, 1997; Series 000 (General Securities Principal Examination), which he obtained on May 23, 1974; Series 1 (Registered Representative Examination), which he obtained on May 23, 1974; Series 4 (Registered Options Principal Examination), which he obtained on December 16, 1980; Series 24 (General Securities Principal Examination), which he obtained on June 29, 1980; and Series 12 (NYSE Branch Manager Examination), which he obtained on May 23, 1974. He is currently not registered with any state or firm.

According to his BrokerCheck report, Robert Torcivia was recently sanctioned by FINRA and has been terminated from a former employer in connection to alleged rule violations.

Robert CohenPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2018 indicate that New York-based Stifel Nicolaus & Company broker/adviser Robert Cohen, who has received customer disputes, was recently discharged from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cohen (CRD# 1162192).

Robert Cohen has spent 35 years in the securities industry and has been registered with Stifel Nicolaus & Company in Garden City, New York since October 2018. Previous registrations include UBS Financial Services in Garden City, New York (2008-2018); Morgan Stanley & Company in Jericho, New York (2007-2008); Morgan Stanley DW in Jericho, New York (1990-2007); and Butcher & Singer (1983-1990). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 16, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 23, 1983; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on January 25, 1991; Series 7 (General Securities Representative Examination), which he obtained on August 20, 1983; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on August 16, 1994. He is a registered broker and investment adviser with 25 US states and territories: Arizona, California, Colorado, Connecticut, the District of Columbia, Florida, Georgia, Kansas, Maryland, Massachusetts, Michigan, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, Tennessee, Texas, Vermont, Virginia, Washington, and Wisconsin. He is registered with six self-regulatory organizations (SROs): Cboe BZX Exchange Inc., FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Joseph PrattePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former California-based Signator Investors broker Joseph Pratte was recently 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 hearing from investors who have complaints regarding Mr. Pratte (CRD# 818045).

Joseph Pratte has spent 35 years in the securities industry and was most recently registered with Signator Investors in Riverside, California (1982-2017). Previous registrations include John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1982-1997) and New York Life Securities Corporation (1982-1984). He has passed two securities industry examinations: SIE (Securities Industry Essentials Examination), which he obtained on December 31, 2017, and Series 1 (Registered Representative Examination), which he obtained on February 2, 1976. He is currently not registered with any state or firm.

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

Matthew WhitePublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former Arkansas-based MML Investors Services broker/adviser Matthew White has been sanctioned by state regulatory authorities in connection to alleged rule violations and is currently not registered as a broker with any state or firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. White (CRD# 5365185).

Matthew White has spent nine years in the securities industry and was most recently registered as a broker with MML Investors Services in Little Rock, Arkansas (2015-2018). He has been registered as an investment adviser with White McGowan in Little Rock, Arkansas since October 10, 2018. He was previously registered with Northwestern Mutual Investment Services in Little Rock, Arkansas (2009-2015). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 29, 2015; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 28, 2009; SIE (Securities Industry Essentials Examination), which he obtained on June 7, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 26, 2009. He is currently not registered as a broker with any state or firm.

According to his BrokerCheck report, Matthew White was terminated from a former employer in connection to alleged rule violations and was recently sanctioned by state regulators.