Articles Posted in Terminated

Robert KriegerPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 17, 2018 indicate that New York-based Investment Center broker/adviser Robert Krieger has been 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. Krieger (CRD# 2441634).

Robert Krieger has spent 24 years in the securities industry and has been registered with The Investment Center in New York, New York and Roseville, California since 2016. Previous registrations include LPL Financial in New York, New York (2009-2016); Merrill Lynch in Roseville, California (1997-2009); and Franklin/Templeton Distributors in San Mateo, California (1994-1996). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 26, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 26, 1997; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on February 3, 1997; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 22, 1994. He is a registered broker and investment adviser with 17 US states and territories: Arizona, California, Connecticut, Florida, Kentucky, Maryland, Missouri, Nevada, New Jersey, New York, North Carolina, North Dakota, Pennsylvania, South Carolina, Texas, Vermont, and Washington.

According to his BrokerCheck report, he has been discharged from two former employers in connection to alleged rule violations, was recently sanctioned by FINRA, and has received one customer complaint.

Peter BakalisPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 16, 2018 indicate that former Michigan-based Sigma Financial Corporation broker/adviser Peter Bakalis was recently terminated 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. Bakalis (CRD# 4587325).

Peter Bakalis has spent 15 years in the securities industry and was most recently registered with Sigma Financial Corporation in Trenton, Michigan (2013-2018). Previous registrations include Brokers International Financial Services in Trenton, Michigan (2011-2013); Royal Alliance Associates in Trenton, Michigan (2003-2011); and Raymond James Financial Services in St. Petersburg, Florida (2002-2003). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on November 21, 2011; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 19, 2002; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on October 1, 2002. He is currently not registered with any state or firm.

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

Herbert HafenPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 16, 2018 indicate that former New York-based Wells Fargo Clearing Services broker/adviser Herbert Hafen has received a pending customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hafen (CRD# 867068).

Herbert Hafen has spent 39 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in New York, New York (2018). Previous registrations include Morgan Stanley in New York, New York (2009-2018); Morgan Stanley & Company in New York, New York (2008-2009); Bear Stearns & Company in New York, New York (1990-2008); Bateman Eichler Hill Richards (1982-1990); Consolidated Capital Securities Corporation (1983-1984); Sutro & Company (1979-1982); and Merrill Lynch (1979). He has passed six securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 15, 2009; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 6, 1980; SIE (Securities Industry Essentials Examination), which he obtained on September 13, 2018; Series 3 (National Commodity Futures Examination), which he obtained on June 30, 2004; Series 7 (General Securities Representative Examination), which he obtained on May 19, 1979; and Series 4 (Registered Options Principal Examination), which he obtained on June 10, 1981. He is currently not registered with any state or firm.

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

Chris KubiakPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 16, 2018 indicate that former Wisconsin-based Calton & Associates broker Chris Kubiak was recently terminated from his former employer in connection to alleged rule violations and has been charged with felony theft. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kubiak (CRD# 1527367).

Chris Kubiak has spent 32 years in the securities industry and was most recently registered with Calton & Associates in Brookfield, Wisconsin (2017-2018). Previous registrations include American Global Wealth Management in McDonough, Georgia (2017); Freedom Investors Corporation in Brookfield, Wisconsin (1989-2017); and Dreher & Associates in Oakbrook Terrace, Illinois (1986-1989). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 7, 1986; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on February 21, 1987; Series 22 (Direct Participation Programs Representative Examination), which he obtained on August 1, 1986; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 24, 1986. He is currently not registered with any state or firm.

According to his BrokerCheck report, Chris Kubiak was recently discharged from his former employer and has received a criminal charge.

John TorresPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 16, 2018 indicate that former California-based JP Morgan Securities broker John Torres has received pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Torres (CRD# 6322231).

John Torres has spent four years in the securities industry and was most recently registered with JP Morgan Securities in Woodland Hills, California (2014-2018). He has no previous registrations. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 25, 2014; SIE (Securities Industry Essentials Examination), which he obtained on August 20, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 9, 2014. He is currently not registered with any state or firm.

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

Trevor Rahn

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 15, 2018 indicate that former California-based JP Morgan Securities broker/adviser Trevor Rahn was recently discharged from his former employer in connection to alleged rule violations and has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rahn (CRD# 2196155).

Trevor Rahn has spent 26 years in the securities industry and was most recently registered with JP Morgan Securities in Los Angeles, California (2010-2018). Previous registrations include Deutsche Bank Securities in Los Angeles, California (2008-2010); Morgan Stanley & Company in Beverly Hills, California (2007-2008); Morgan Stanley DW in Beverly Hills, California (1999-2007); and Merrill Lynch in New York, New York (1992-1999). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 16, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 16, 1992; SIE (Securities Industry Essentials Examination), which he obtained on September 27, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on April 27, 2004; and Series 7 (General Securities Representative Examination), which he obtained on January 7, 1992. 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 and has received one customer complaint.

Donald PadillaPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 15, 2018 indicate that former California-based National Securities Corporation and Kestra Investment Services broker/adviser Donald Padilla was recently discharged from his former employer in connection to alleged rule violations and has been named in a FINRA investigation. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Padilla (CRD# 3053711).

Donald Padilla has spent 20 years in the securities industry and was most recently registered with National Securities Corporation in Alhambra, California (2018). Previous registrations include Kestra Investment Services in Alhambra, California (2015-2018); LPL Financial in Alhambra, California (2009-2015); Wamu Investments in Alhambra, California (2000-2009); and Signator Investors in Boston, Massachusetts (1998-2001). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 23, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 24, 1998; SIE (Securities Industry Essentials Examination), which he obtained on September 20, 2018; Series 7 (General Securities Representative Examination), which he obtained on September 28, 2000; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 27, 1998; and Series 24 (General Securities Principal Examination), which he obtained on February 17, 2010. 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, resigned from another former employer in connection to alleged rule violations, and has been named in a FINRA investigation.

Bruce WorthingtonPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 15, 2018 indicate that former Massachusetts-based Founders Financial Securities broker/adviser Bruce Worthington was recently terminated from his former employer in connection to alleged rule violations and has been named in a pending SEC investigation. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Worthington (CRD# 2193895).

Bruce Worthington has spent 26 years in the securities industry and was most recently registered with Founders Financial Securities in Middleton, Massachusetts (2013-2018). Previous registrations include Commonwealth Financial Network in Rowley, Massachusetts (1999-2013) and PFS Investments in Duluth, Georgia (1992-1999). He has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on November 9, 2004; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 7, 1992; SIE (Securities Industry Essentials Examination), which he obtained on September 20, 2018; Series 7 (General Securities Representative Examination), which he obtained on July 18, 2000; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 3, 1992. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was recently terminated from his former employer and named in an SEC investigation into alleged rule violations. He has also received two unsatisfied tax liens.

Hector RamosPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 27, 2018 indicate that New York-based Westpark Capital broker/adviser Hector Ramos has received a customer dispute and a FINRA sanction. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ramos (CRD# 4172477).

Hector Ramos has spent 18 years in the securities industry and has been registered with Westpark Capital in New York, New York since 2016. Previous registrations include Bishop Rosen & Company in New York, New York (2014-2016); Morgan Stanley in New York, New York (2011-2014); Merrill Lynch in New York, New York (2008-2011); Morgan Stanley & Company in New York, New York (2007-2008); Morgan Stanley DW in New York, New York (2007); ING Financial Partners in New York, New York (2006-2007); AIG Financial Advisors in New York, New York (2005-2006); SunAmerica Securities in Phoenix, Arizona (2002-2005); and Prudential Securities in New York, New York (2000-2002). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 24, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 8, 2000; Series 31 (Futures Managed Funds Examination), which he obtained on February 23, 2007; and Series 7 (General Securities Representative Examination), which he obtained on June 17, 2000. He is a registered broker and investment adviser with three US states: California, New Jersey, and New York.

According to his BrokerCheck report, he has received one customer complaint, one FINRA sanction, and one unsatisfied civil judgment or lien, and he was discharged from a former employer in connection to alleged rule violations.

Tomas GiraldoPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 26, 2018 indicate that former California-based Merrill Lynch broker/adviser Jose Giraldo, also known as Tomas Giraldo, 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. Giraldo (CRD# 5429476).

Jose Giraldo has spent four years in the securities industry and was most recently registered with Merrill Lynch in Chula Vista, California (2013-2018). He was previously registered with David Lerner Associates in Princeton, New Jersey (2012). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on January 11, 2014; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 2, 2012; and Series 7 (General Securities Representative Examination), which he obtained on March 20, 2012. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was recently discharged from his former employer and he has received three unsatisfied tax liens.

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