Articles Posted in Terminated

Gavin NatelliPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 17, 2018 indicate that New Jersey-based Oppenheimer & Company broker/adviser Gavin Natelli has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Natelli (CRD# 2218909).

Gavin Natelli has spent 25 years in the securities industry and has been registered with Oppenheimer & Company in Florham Park, New Jersey since 2014. Previous registrations include Morgan Stanley in Florham Park, New Jersey (2010-2014); Wells Fargo Advisors in Florham Park, New Jersey (2005-2010); UBS Financial Services in Weehawken, New Jersey (2000-2005); Salomon Smith Barney in New York, New York (1993-2000); and Lehman Brothers in New York, New York (1992-1993). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 27, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 28, 1992; and Series 7 (General Securities Representative Examination), which he obtained on April 8, 1992. He is a registered broker and investment adviser with 21 US states and territories: Arizona, California, Colorado, Connecticut, Delaware, Florida, Illinois, Indiana, Kentucky, Maryland, Massachusetts, Minnesota, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Puerto Rico, Vermont, and Virginia.

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

David ReynoldsPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that former California-based Allstate Financial Services broker/adviser David Reynolds 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. Reynolds (CRD# 4685302).

David Reynolds has spent ten years in the securities industry and was most recently registered with Allstate Financial Services in Modesto, California (2016-2017). Previous registrations include Princor Financial Services Corporation in Modesto, California (2008-2015); Merrill Lynch in Modesto, California (2008); and E*Trade Securities in New York, New York (2003-2004). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on April 21, 2008; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 25, 2008; and Series 7 (General Securities Representative Examination), which he obtained on January 8, 2008. He is currently not registered with any state or firm.

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

Dennis Hennessy

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 4, 2018 indicate that Iowa-based Client One Securities broker/adviser Dennis Hennessy 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. Hennessy (CRD# 1088298).

Dennis Hennessy has spent 35 years in the securities industry and has been registered with Mutual Securities in Clayton, Missouri since December 2017. Previous registrations include First Heartland Capital in Clayton, Missouri (1994-2017); WS Griffith & Company (1986-1999); WS Griffith & Company in Hartford, Connecticut (1984-1999); Home Life Insurance Company (1986-1992); Sentra Securities Corporation (1984-1986); and Home Life Equity Sales Corporation (1983-1984). He has passed five securities industry examination: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 12, 2018; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 23, 1983; Series 7 (General Securities Representative Examination), which he obtained on July 21, 1984; Series 22 (Direct Participation Programs Representative Examination), which he obtained on December 15, 1983; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 5, 1983. He is a registered broker and investment adviser with eight US states: Arizona, Arkansas, California, Florida, Missouri, South Carolina, Texas, and West Virginia.

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

Brian TraversPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 4, 2018 indicate that former New York-based MML Investors Services broker Brian Travers 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 hearing from investors who have disputes regarding Mr. Travers (CRD# 4767891).

Brian Travers has spent 12 years in the securities industry and was most recently registered with MML Investors Services in Melville, New York (2013-2017); Lincoln Financial Advisors Corporation in Syosset, New York (2011-2013); MetLife Securities in Hauppage, New York (2009-2011); MML investors Services in Melville, New York (2007-2009); MetLife Securities in Hauppage, New York (2004-2007); Metropolitan Life Insurance Company in Hauppage, New York (2004-2007); and LH Ross & Company in Boca Raton, Florida (2004). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 5, 2011, and Series 7 (General Securities Representative Examination), which he obtained on June 10, 2004. He is currently not registered with any state or firm.

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

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 30, 2018 indicate that New Jersey-based Kestra Investment Services of America broker/adviser Eric Rosenberger 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. Rosenberger (CRD# 4636157).

Eric Rosenberger has spent 14 years in the securities industry and has been registered with Kestra Investment Services in Morristown, New Jersey since January 2018. He was previously registered with Summit Equities in Parsippany, New Jersey. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 30, 2003; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 8, 2003; and Series 7 (General Securities Representative Examination), which he obtained on April 16, 2003. He is a registered broker and investment adviser with seven US states and territories: California, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, and Wisconsin. He is registered with one self-regulatory organization: FINRA.

According to his BrokerCheck report, Eric Rosenberger was terminated from a former employer in connection to alleged rule violations.

Suresh BasnetPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 19, 2018 indicate that former Michigan-based Corecap Investments broker/adviser Suresh Basnet has been named in a FINRA investigation into 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. Basnet (CRD# 4426976).

Suresh Basnet has spent twelve years in the securities industry and was most recently registered with Corecap Investments in Southfield, Michigan (2017-2018). Previous registrations include Voya Financial Advisors in Cedar Rapids, Iowa (2009-2017); Merrill Lynch in Cedar Rapids, Iowa (2008-2009); ING Financial Partners in Cedar Rapids, Iowa (2005-2008); and Diversified Investors Securities in Harrison, New York (2004-2005). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 28, 2008; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 3, 2005; Series 7 (General Securities Representative Examination), which he obtained on May 14, 2008; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 4, 2004. He is currently not registered with any state or firm.

According to his BrokerCheck report, Suresh Basnet was discharged from his former employer and has been named in a FINRA investigation into alleged rule violations.

Ricky Higgins

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 19, 2018 indicate that South Carolina-based First Heartland Capital broker/adviser Ricky Higgins 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. Higgins (CRD# 1726947).

Ricky Higgins has spent 30 years in the securities industry and has been registered with First Heartland Capital in Spartansburg, South Carolina since May 2016. Previous registrations include ProEquities in Spartansburg, South Carolina (2012-2016); First Heartland Capital in Spartansburg, South Carolina (1999-2012); and Pruco Securities Corporation (1987-1999). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 8, 2017; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 16, 1987; Series 7 (General Securities Representative Examination), which he obtained on December 23, 2013; Series 22 (Direct Participation Programs Representative Examination), which he obtained on December 28, 2012; Series 62 (Corporate Securities Limited Representative Examination), which he obtained on February 1, 2000; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 18, 1987. He is a registered broker and investment adviser with eight US states: Florida, Georgia, Nevada, New Mexico, North Carolina, South Carolina, Tennessee, and Virginia.

According to his BrokerCheck report, Ricky Higgins has been sanctioned by FINRA and was discharged from a former employer in connection to alleged rule violations.

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2018 indicate that former New Jersey-based Allstate Financial Services broker/adviser Ciro Santoro was recently sanctioned by FINRA 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. Santoro (CRD# 2149524).

Ciro Santoro has spent 17 years in the securities industry and was most recently registered with Allstate Financial Services in Cherry Hill, New Jersey (2010-2017). Previous registrations include Equity Services in Media, Pennsylvania (2009); Securities Service Network in Knoxville, Tennessee (1997-2002); Securities Service Network (1995-1997); Prudential Securities in New York, New York (1993-1995); Penn Center Investments in Atlanta, Georgia (1992-1993); and Hibbard Brown & Company in New York, New York (1991-1992). He has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 15, 2009; Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 1, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 2, 1991; Series 7 (General Securities Representative Examination), which he obtained on March 30, 2009; and Series 24 (General Securities Principal Examination), which he obtained on July 1, 1996. He is currently not registered with any state or firm.

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

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.

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.

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