Articles Posted in Variable Annuity

William KaczmarekPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 19, 2018 indicate that former Wisconsin-based Questar Capital Corporation broker/adviser William Kaczmarek has been named in an investigation by state regulatory authorities into alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kaczmarek (CRD# 1434947).

William Kaczmarek has spent 32 years in the securities industry and was most recently registered with Questar Capital Corporation in Delavan, Wisconsin (2013-2018). Previous registrations include Cetera Advisor Networks in Delavan, Wisconsin (2010-2013); Ameritas Investment Corporation in Elkhorn, Wisconsin (2008-2010); ING Financial Partners in Elkhorn, Wisconsin (2002-2008); New England Securities in New York, New York (2000-2002); Financial Network Investment Corporation in El Segundo, California (1999-2000); SII Investments in Appleton, Wisconsin (1998-1999); H. Beck in Bethesda, Maryland (1998); Harbour Investments in Madison, Wisconsin (1997); WMA Securities in Duluth, Georgia (1994-1997); Harbour Investments in Madison, Wisconsin (1994); Wellington Investment Services Corporation in Brookfield, Wisconsin (1990-1994); and Pruco Securities Corporation in Newark, New Jersey (1985-1990). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 14, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 21, 1986; Series 7 (General Securities Representative Examination), which he obtained on August 9, 1993; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on December 6, 1985; and Series 24 (General Securities Principal Examination), which he obtained on February 14, 1997. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has been named in an investigation by state regulatory authorities and has received three denied customer complaints.

ronald mccookPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that Arizona-based First Allied Securities broker/adviser Ronald McCook is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McCook (CRD# 4155186).

Ronald McCook has spent 17 years in the securities industry and has been registered with First Allied Securities in Scottsdale, Arizona since 2014. Previous registrations include National Planning Corporation in Scottsdale, Arizona (2009-2014); Sagepoint Financial in Scottsdale, Arizona (2005-2009); SunAmerica Securities in Phoenix, Arizona (2001-2005); and Washington Square Securities in Des Moines, Iowa (2000-2001). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 8, 2000, and Series 7 (General Securities Representative Examination), which he obtained on July 22, 2000. He is a registered broker and investment adviser with 15 US states and territories: Arizona, California, Colorado, Florida, Illinois, Iowa, Kansas, Michigan, Nevada, New York, Oklahoma, Oregon, Texas, Utah, and Washington.

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

Michael Gisonda

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 3, 2018 indicate that Florida-based NYLife Securities broker/adviser Michael Gisonda has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gisonda (CRD# 2730740).

Michael Gisonda has spent 20 years in the securities industry and has been registered with NYLife Securities in Boca Raton, Florida since 2000. Previous registrations include Argus Securities in Hallandale, Florida (2000); First Colonial Securities Group in Boca Raton, Florida (1998-1999); WJ Nolan & Company in New York, New York (1998); EC Capital in Mineola, New York (1997-1998); the Hamilton-Shea Group in Pompano Beach, Florida (1997); Josephthal Lyon & Ross in New York, New York (1997); the Boston Group in Los Angeles, California (1996-1997); Robert M. Cohen & Company in Great Neck, New York (1996); and Royce Investment Group in Woodbury, New York (1996). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 29, 2001; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 24, 1996; and Series 7 (General Securities Representative Examination), which he obtained on April 18, 1996. He is a registered broker and investment adviser with 20 US states and territories: Alabama, Arizona, California, Colorado, Florida, Georgia, Illinois, Indiana, Minnesota, Nevada, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, South Carolina, Tennessee, Texas, and Washington.

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

calvin finn Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2018 indicate that Kansas-based Northwestern Mutual Investment Services broker Calvin Finn is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Finn (CRD# 2190788).

Calvin Finn has spent 26 years in the securities industry and has been registered with Northwestern Mutual Investment Services in Hoisington, Kansas since 1992. He was previously registered with Robert W. Baird & Company in Milwaukee, Wisconsin (1999-2002). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 16, 1999; Series 7 (General Securities Representative Examination), which he obtained on December 14, 2006; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 14, 1992. He is registered with eight US states: Colorado, Iowa, Kansas, Maryland, Missouri, Oklahoma, Oregon, and Texas.

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

Richard MatoffPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 21, 2018 indicate that Washington-based Cetera Advisors broker/adviser Richard Matoff has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Matoff (CRD# 322918).

Richard Matoff has spent 35 years in the securities industry and has been registered with Cetera Advisors in Redmond, Washington since 2012. Previous registrations include Pacific West Securities in Renton, Washington (2008-2012); Geneos Wealth Management in Kirkland, Washington (2006-2008); Securities America in Spokane, Washington (1998-2006); Financial Network Investment Corporation in El Segundo, California (1995-1998); United California Securities in Encino, California (1990-1995); Smith Barney Harris Upham & Company in New York, New York (1989-1990); Sutro & Company in San Francisco, California (1987-1989); Drexel Burnham Lambert (1984-1987); Becker Paribas (1984); and Oppenheimer & Company (1981-1984). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 28, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 20, 1983; and Series 1 (Registered Representative Examination), which he obtained on September 15, 1981. He is a registered broker and investment adviser with eight US states and territories: Arizona, California, Florida, Idaho, Kentucky, Oregon, Texas, and Washington.

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

robert furrevigPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 2, 2018 indicate that former New Jersey-based Invest Financial Corporation broker/adviser Robert Furrevig has received a 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. Furrevig (CRD# 1109292).

Robert Furrevig has spent 29 years in the securities industry and was most recently registered with Invest Financial Corporation in Lanoka Harbor, New Jersey (2010-2016). Previous registrations include PNC Investments in Toms River, New Jersey (2007-2010); HSBC Securities in New York, New York (2005-2007); HSBC Brokerage in New York, New York (2004-2005); Wachovia Securities in St. Louis, Missouri (2000-2004); Salomon Smith Barney in New York, New York (1993-2000); Lehman Brothers in New York, New York (1991-1993); Richard Blackman & Company (1985-1989); and Bevill Bresler & Schulman (1983-1984). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 7, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 20, 1983; Series 7 (General Securities Representative Examination), which he obtained on March 19, 1983; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on November 15, 2005; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on October 17, 2005. He is currently not registered with any state or firm.

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

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2017 indicate that Washington-based MML Investors Services broker/adviser Robert Ahrendt has been named in a pending regulatory complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ahrendt (CRD# 5183328).

Robert Ahrendt has spent eleven years in the securities industry and has been registered with MML Investors’ Services in Bellevue, Washington since March 2017. Previous registrations include MSI Financial Services in Bellevue, Washington and Edward Jones in Kirkland, Washington (2006-2013). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 7, 2006, and Series 7 (General Securities Representative Examination), which he obtained on August 29, 2006. He is a registered broker and investment adviser with seven US states and territories: Alaska, Arizona, California, Florida, Oregon, Texas and Washington.

According to his BrokerCheck report, Robert Ahrendt has received one pending regulatory complaint and one denied customer complaint.

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