Articles Posted in Variable Annuity

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.

Publicly 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.

Public 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.

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 30, 2017 indicate that Ohio-based MML Investors Services broker/adviser Rod Skaf has been involved in several denied customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Skaf (CRD# 2822001).

Rod Skaf has spent 20 years in the securities industry and has been registered with MML Investors Services in Dublin, Ohio since March 2017. Previous registrations include MSI Financial Services in Dublin, Ohio (2002-2017); Metropolitan Life Insurance Company in Dublin, Ohio (2002-2007); and Mony Securities Corporation in New York, New York (1996-2002). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 17, 1996; Series 7 (General Securities Representative Examination), which he obtained on August 5, 2002; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on November 12, 1996. He is a registered broker and investment adviser with eleven US states and territories: California, Florida, Georgia, Illinois, Maryland, Massachusetts, Michigan, New Jersey, New York, Ohio, Pennsylvania, Texas and Washington.

According to his BrokerCheck report, he has received four denied customer complaints.

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