Articles Posted in Unauthorized Trades

Donnell BowenPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2018 indicate that former Washington DC-based Northwestern Mutual Investment Services broker/adviser Donnell Bowen has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bowen (CRD# 5641822).

Donnell Bowen has spent seven years in the securities industry and was registered with Northwestern Mutual Investment Services in Washington, DC from 2009 through 2017. He has no previous registrations. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 23, 2010, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 1, 2009. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received eight customer complaints and four pending customer complaints, and resigned from his former employer in connection to alleged rule violations.

Ronald LamPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 25, 2018 indicate that Oregon-based Ameriprise Financial Services broker Ronald Lam has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lam (CRD# 3067765).

Ronald Lam has spent nineteen years in the securities industry and has been registered with Ameriprise Financial Services in Lake Oswego, Oregon since 2015. Previous registrations include Wells Fargo Advisors in Wilsonville, Oregon (2011-2015); Wells Fargo Investments in Portland, Oregon (2009-2011); Wamu Investments in Tigard, Oregon (2002-2009); and Phillips & Company Securities in Portland, Oregon (1998-2002). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 22, 1998, and Series 7 (General Securities Representative Examination), which he obtained on June 17, 1998. He is a registered broker and investment adviser with eight US states: Arizona, California, Hawaii, Illinois, Oregon, Texas, Utah and Washington.

According to his BrokerCheck report, Ronald Lam has received two customer complaints and was discharged form a former employer in connection to alleged rule violations.

Richard Juracka

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 16, 2018 indicate that New York-based Morgan Stanley broker/adviser Richard Juracka has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Juracka (CRD# 708735).

Richard Juracka has spent 37 years in the securities industry and has been registered with Morgan Stanley in New York, New York since 2009. Previous registrations include Morgan Stanley & Company in New York, New York (2007-2009) and Morgan Stanley DW in New York, New York (1980-2007). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 20, 1991; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 16, 1980; Series 3 (National Commodity Futures Examination), which he obtained on July 13, 1990; Series 7 (General Securities Representative Examination), which he obtained on May 17, 1980; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on February 26, 1987. He is a registered broker and investment adviser with 30 US states and territories and with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one customer complaint and one denied customer complaint.

James Lowther

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 16, 2018 indicate that Florida-based Merrill Lynch broker/adviser James Lowther has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lowther (CRD# 2043169).

James Lowther has spent 27 years in the securities industry and has been registered with Merrill Lynch in Sarasota, Florida since 2010. Previous registrations include Morgan Keegan & Company in Bradenton, Florida (2004-2010); Citigroup Global Markets in New York, New York (1993-2004); Lehman Brothers in New York, New York (1992-1993); and Painewebber in Weehawken, New Jersey (1990-1992). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 19, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 9, 1990; and Series 7 (General Securities Representative Examination), which he obtained on March 17, 1990. He is a registered broker and investment adviser with 33 US states and territories. His self-regulatory organization (SRO) registrations include BOX Options Exchange, Bats BYX Exchange, Bats EDGA Exchange, the Chicago Board Options Exchange, FINRA, MIAX PEARL LLC, the Miami International Securities Exchange, NYSE Arca, Nasdaq ISE LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.

Jens Poulsen

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 25, 2017 indicate that former Washington-based LPL Financial broker/adviser Jens Poulsen has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Poulsen (CRD# 4824573).

Jens Poulsen has spent 12 years in the securities industry and was most recently registered with LPL Financial in Wenatchee, Washington (2006-2016). He was previously registered with Edward Jones in Cashmere, Washington (2004-2006). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on June 12, 2008; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 29, 2004; and Series 7 (General Securities Representative Examination), which he obtained on September 7, 2004. He is currently not registered with any state, firm or self-regulatory organization.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.

Michael BarnettPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 18, 2017 indicate that Illinois-based JJB Hilliard WL Lyons broker/adviser Michael Barnett has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Barnett (CRD# 5792242).

Michael Barnett has spent seven years in the securities industry and has been registered with JJB Hilliard WL Lyons in Marion, Illinois since 2012. He was previously registered with Edward Jones in Herrin, Illinois (2010-2012). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 13, 2010, and Series 7 (General Securities Representative Examination), which he obtained on June 25, 2010. He is a registered broker and investment adviser with 32 US states and territories.

According to his BrokerCheck report, he has received one customer complaint and two pending customer complaints.

Steven Richardson

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 1, 2017 indicate that former New Jersey-based Wells Fargo Advisors broker/adviser Steven Richardson has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Richardson (CRD# 1074713).

Steven Richardson has spent 33 years in the securities industry and was most recently registered with Wells Fargo Advisors in Westfield, New Jersey (1999-2016). Previous registrations include First Union Capital Markets in Charlotte, North Carolina (1991-1999); Butcher & Singer (1990-1991); Smith Barney Harris Upham & Company in New York, New York (1989-1990); Drexel Burnham Lambert (1985-1989); Bevill Bresler & Schulman (1983-1985); and Hanauer Stern & Company (1982-1983). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 10, 2003; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 25, 1983; and Series 7 (General Securities Representative Examination), which he obtained on November 20, 1982. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two customer complaints and two pending customer complaints.

Richard WestermanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 29, 2017 indicate that Washington-based Northwest Investment Advisors broker/adviser Richard Westerman has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Westerman (CRD# 826562).

Richard Westerman has spent 41 years in the securities industry and has been registered with Northwest Investment Advisors in Spokane, Washington since 2008. Previous registrations include AIG Financial Advisors in Spokane, Washington (2007); Raymond James Financial Services in Spokane, Washington (1998-2007); Everen Securities in St. Louis, Missouri (1993-1998); Piper Jaffray in Minneapolis, Minnesota (1980-1993); and Merrill Lynch (1976-1980). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 6, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 9, 1989; PC (AMEX Put and Call Exam), which he obtained on September 8, 1977; Series 7 (General Securities Representative Examination), which he obtained on August 21, 1976; Series 51 (Municipal Fund Securities Principal Examination), which he obtained on September 10, 2003; and Series 24 (General Securities Principal Examination), which he obtained on August 27, 1998. He is a registered broker and investment adviser with two US states: California and Washington.

According to his BrokerCheck report, he has received four customer complaints, two regulatory sanctions and one pending customer complaint.

Robert DavisPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on November 13, 2017 indicate that former Indiana-based LPL Financial broker/adviser Robert Davis has received a 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. Davis (CRD# 4662922).

Robert Davis has spent 14 years in the securities industry and was most recently registered with LPL Financial in Richmond, Florida (2008-2017). Previous registrations include Wachovia Securities in Richmond, Indiana (2008); and AG Edwards & Sons in Richmond, Indiana (2003-2008). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 18, 2003, and Series 7 (General Securities Representative Examination), which he obtained on July 9, 2003. He is currently not registered with any broker-dealer firm.

According to his BrokerCheck report, Robert Davis has received one customer complaint and was discharged from a former employer in connection to 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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