Articles Posted in Terminated

Earl MidgettePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 15, 2019 indicate that former North Carolina-based LPL Financial broker Earl Midgette 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. Trowbridge (CRD# 2332439).

Earl Midgette has spent 25 years in the securities industry and was most recently registered with LPL Financial in Huntersville, North Carolina (2016-2019). Previous registrations include National Securities Corporation in Cornelius, North Carolina (2016); Ridgeway & Conger in New Woodstock, New York (2013-2016); Cantella & Company in Huntersville, North Carolina (2008-2013); Coburn & Meredith in Hartford, Connecticut (2004-2008); Janney Montgomery Scott in Philadelphia, Pennsylvania (1999-2004); Dean Witter Reynolds in Purchase, New York (1993-1999); and Chatfield Dean & Company in Greenwood Village, Colorado (1993). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 23, 1993; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on September 22, 1993; and Series 7 (General Securities Representative Examination), which he obtained on May 20, 1993. 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.

Eric RosenbergPublic records provided by the Financial Industry Regulatory Authority (FINRA) on December 26, 2016 indicate that New York-based Oppenheimer & Company broker/adviser Eric Rosenberg has received resolved or pending customer complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rosenberg (CRD# 1027041).

Eric Rosenberg has spent 37 years in the securities industry and has been registered with Oppenheimer & Company in New York, New York since 2013. Previous registrations include RBC Capital Markets in Parsippany, New Jersey (2009-2013) and JB Hanauer & Company in Parsippany, New Jersey (1982-1009). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 20, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 28, 1982; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on January 16, 1982. He is a registered broker and investment adviser with seven US states and territories: California, Connecticut, Florida, New Jersey, New York, Pennsylvania, and Virginia. His self-regulatory organization (SRO) registrations include Cboe Exchange, FINRA, NYSE Arca, Nasdaq ISE, the Nasdaq Stock Market and the New York Stock Exchange.

According to his BrokerCheck report, Eric Rosenberg has received three customer complaints and was terminated from one former employer.

Stephen TrowbridgePublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2019 indicate that Florida-based Newbridge Securities Corporation broker Stephen Trowbridge has received a customer complaint and 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. Trowbridge (CRD# 2153891).

Stephen Trowbridge has spent 25 years in the securities industry and has been registered with Newbridge Securities in Boca Raton, Florida since May 2019. Previous registrations include Kestra Investment Services in Hoover, Alabama (2015-2019); Securities America in Hoover, Alabama (2014-2015); Sterne Agee in Hoover, Alabama (2009-2014); Merrill Lynch in Birmingham, Alabama (2008-2009); Colonial Brokerage in Clanton, Alabama (2003-2008); Raymond James Financial Services in St. Petersburg, Florida (2003); Frank Chappelle & Company in Birmingham, Alabama (2003); Compass Brokerage in Birmingham, Alabama (1998-2003); SunAmerica Securities in Phoenix, Arizona (1997-1998); John Hancock Distributors in Boston, Massachusetts (1995-1997); John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1995-1997); MetLife Securities in Springfield, Massachusetts (1993-1995); and Metropolitan Life Insurance Company in New York, New York (1993-1995). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 17, 1993; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on August 10, 2000; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 18, 1993. He is currently not registered with any US state or territory.

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

Kirk BadiiPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that Massachusetts-based Cantella & Company broker/adviser Kirk Badii has received a pending customer complaint and was discharged from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Badii (CRD# 5829768).

Kirk Badii has spent seven years in the securities industry and has been registered with Cantella & Company in Malden, Massachusetts; Los Angeles, California; and Irvine, California since 2018. Previous registrations include Raymond James Financial Services in Torrance, California (2018); UBS Financial Services in Los Angeles, California (2012-2018); and Credit Suisse Securities in Los Angeles, California (2011-2012). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 2, 2011; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on August 22, 2011. He is a registered broker and investment adviser with 19 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Georgia, Hawaii, Michigan, Minnesota, Nevada, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, Texas, Utah, and Wisconsin.

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

Kenneth Schmidle

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that Ohio-based Key Investment Services broker/adviser Kenneth Schmidle has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Schmidle (CRD# 2367487).

Kenneth Schmidle has spent 25 years in the securities industry and has been registered with Key Investment Services in South Euclid, Ohio since 2014. Previous registrations include LPL Financial in South Euclid, Ohio (2010-2014); AmTrust Investment Services in South Euclid, Ohio (1996-2010); American Express Financial Advisors in Minneapolis, Minnesota (1993-1996); and IDS Life Insurance Company in Minneapolis, Minnesota (1993-1996). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 30, 2014; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 19, 1994; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on July 2, 1993. He is a registered broker and investment adviser with 14 US states and territories: Arizona, Arkansas, California, Connecticut, Florida, Georgia, Illinois, Indiana, Michigan, Montana, New York, North Carolina, Ohio, and Washington.

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

Craig NelsonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 1, 2019 indicate that former Utah-based LPL Financial broker/adviser Craig Nelson, who has received 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 hearing from investors who have complaints regarding Mr. Nelson (CRD# 2536023).

Craig Nelson has spent 24 years in the securities industry and was most recently registered with LPL Financial in St. George, Utah (2012-2019). Previous registrations include Financial Network Investment Corporation in Salt Lake City, Utah (2008-2011); Royal Alliance Associates in Salt Lake City, Utah (2002-2008); Signator Investors in Boston, Massachusetts (1994-2002); and John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1994-1997). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 20, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 13, 1994; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on November 8, 2007; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 2, 1994. He is currently not registered with any state or firm.

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

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.