Articles Posted in Unauthorized Trades

Ken CarterPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 19, 2018 indicate that Washington-based RBC Capital Markets broker/adviser Ken Carter is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Carter (CRD# 1351802).

Ken Carter has spent thirty-three years in the securities industry and has been registered with RBC Capital Markets in Seattle, Washington since 1998. Previous registrations include Piper Jaffray in Minneapolis, Minnesota (1987-1998); National Securities Corporation (1986-1987); and First Investors Corporation (1985-1986). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 26, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 5, 1985; Series 31 (Futures Managed Funds Examination), which he obtained on May 5, 2003; Series 7 (General Securities Representative Examination), which he obtained on July 19, 1986; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 2, 1985. He is a registered broker and investment adviser with 30 US states and territories, and with ten self-regulatory organizations (SROs): BOX Options Exchange, Cboe Exchange, FINRA, NYSE American, NYSE Arca, Nasdaq BX, Nasdaq ISE, Nasdaq PHLX, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Christopher ThompsonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 24, 2018 indicate that California-based Stifel Nicolaus & Company broker/adviser Christopher Thompson has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Thompson (CRD# 4631462).

Christopher Thompson has spent 15 years in the securities industry and has been registered with Stifel Nicolaus & Company in Walnut Creek, California since 2015. He was previously registered with Merrill Lynch in Walnut Creek, California. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 16, 2003, and Series 7 (General Securities Representative Examination), which he obtained on April 9, 2003. He is a registered broker and investment adviser with eight US states and territories: Arizona, California, Florida, Michigan, Ohio, Oregon, Texas, and Washington. He is registered with seven self-regulatory organizations (SROs): Cboe BZX Exchange, FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Stefan PastorPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 16, 2018 indicate that former Florida-based Raymond James Financial Services broker/adviser Stefan Pastor, who is involved in 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 hearing from investors who have complaints regarding Mr. Pastor (CRD# 5141819).

Stefan Pastor has spent eleven years in the securities industry and was most recently registered with Raymond James Financial Services in Fort Lauderdale, Florida (2013). He was previously registered with Walnut Street Securities in Fort Lauderdale, Florida (2011-2013) and Ameriprise Financial Services in Plantation, Florida (2006-2011). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on August 17, 2006, and Series 7 (General Securities Representative Examination), which he obtained on September 6, 2006. 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 his former employer in connection to alleged rule violations.

Debra BushmanPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 7, 2018 indicate that New York-based UBS Financial Services broker/adviser Debra Bushman has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mrs. Bushman (CRD# 870056).

Debra Bushman has spent 38 years in the securities industry and has been registered with UBS Financial Services in Garden City, New York since 2010. Previous registrations include Merrill Lynch in Garden City, New York (2006-2010); Janney Montgomery Scott in Garden City, New York (2003-2006); and Prudential Securities in New York, New York (1979-2003). She has passed nine securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on August 2, 1994; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on June 28, 1984; Series 5 (Interest Rate Options Examination), which she obtained on January 20, 1995; Series 15 (Foreign Currency Options Examination), which she obtained on August 14, 1991; Series 7 (General Securities Representative Examination), which she obtained on August 18, 1979; Series 24 (General Securities Principal Examination), which she obtained on July 16, 1987; Series 53 (Municipal Securities Principal Examination), which she obtained on October 14, 1985; Series 4 (Registered Options Principal Examination), which she obtained on May 22, 1984; and Series 12 (NYSE Branch Manager Examination), which she obtained on December 26, 1981. She is a registered broker and investment adviser with 27 US states and territories.

According to her BrokerCheck report, she has received five customer complaints and one pending customer complaint.

Herbert VossPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 3, 2018 indicate that California-based StockCross Financial Services broker/adviser Herbert Voss has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Voss (CRD# 1014475).

Herbert Voss has spent 33 years in the securities industry and has been registered with StockCross Financial Services in Beverly Hills, California since 2009. Previous registrations include UBS Financial Services in Beverly Hills, California (1998-2009); Waterhouse Securities in Omaha, Nebraska (1997-1998); Kennedy Cabot & Company in Beverly Hills, California (1988-1998); Professional Brokerage Services (1987); Investors Center (1985-1986); J. Alexander Securities (1984-1985); Donald & Company Securities (1985); Kennedy Cabot & Company (1983-1984); and Prudential-Bache Securities (1982-1983) He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 30, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 18, 1986; Series 7 (General Securities Representative Examination), which he obtained on March 20, 1982; Series 24 (General Securities Principal Examination), which he obtained on October 31, 1991; and Series 4 (Registered Options Principal Examination), which he obtained on September 26, 1990. He is a registered broker and investment adviser with 15 US states and territories: Arizona, California, Colorado, Illinois, Indiana, Maryland, Massachusetts, Nebraska, Nevada, New Mexico, Oregon, Pennsylvania, South Carolina, Texas, and Washington.

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

Meaghan JohnsonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that former Virginia-based Northwestern Mutual Investment Services broker/adviser Meaghan Johnson has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Johnson (CRD# 5754123).

Meaghan Johnson has spent six years in the securities industry and was most recently registered with Northwestern Mutual Investment Services in McLean, Virginia (2010-2017). She was previously registered with Signator Investors in Vienna, Virginia (2010). She has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on February 23, 2010, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on February 19, 2010. She is currently not registered with any state or firm.

According to her BrokerCheck report, she has received five customer complaints and three pending customer complaints.

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.

Publicly 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.

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.

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.

As Seen On
New York Post
abc News
Investment News
Daily News
The Huffington Post
Wall Street Journal