Articles Tagged with Hennion & Walsh

Stephen KowalskiPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 111, 2018 indicate that New Jersey-based Hennion & Walsh broker/adviser Stephen Kowalski has received new pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kowalski (CRD# 1919574).

Stephen Kowalski has spent 28 years in the securities industry and has been registered with Hennion & Walsh in Parsippany, New Jersey since 1990. Previous registrations include Municipal Investment Service in Newark, New Jersey (1989-1990) and Halpert & Company in Millburn, New Jersey (1989). He is a registered broker and investment adviser with 36 US states and territories.

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

James MacKenzie

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 30, 2018 indicate that New Jersey-based Hennion & Walsh broker/adviser James MacKenzie has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. MacKenzie (CRD# 2981415).

James MacKenzie has spent 20 years in the securities industry and has been registered with Hennion & Walsh in Parsippany, New Jersey since 2006. Previous registrations include JB Hanauer & Company in Parsippany, New Jersey (2002-2006); RBC Dain Rauscher in New York, New York (2002); Tucker Anthony in Boston, Massachusetts (1999-2002); and Gibraltar Securities in Florham Park, New Jersey (1998-1999). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 15, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 2, 1998; and Series 7 (General Securities Representative Examination), which he obtained on February 5, 1998. He is a registered broker and investment adviser with 34 US states and territories: Arizona, Arkansas, California, Connecticut, Delaware, Florida, Georgia, Illinois, Iowa, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, South Carolina, Texas, Virginia, Washington, and West Virginia.

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

Richard HveemPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 7, 2018 indicate that New Jersey-based Hennion & Walsh broker/adviser Richard Hveem has received regulatory sanctions as well as resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hveem (CRD# 2622370).

Richard Hveem has spent 21 years in the securities industry and has been registered with Hennion & Walsh in Parsippany, New Jersey since 1995. He has no previous registrations. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 13, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 8, 1995; Series 7 (General Securities Representative Examination), which he obtained on November 11, 1996; and Series 52 (Municipal Securities Representative Examination), which he obtained on July 10, 1995. He is a registered broker and investment adviser with 36 US states and territories.

According to his BrokerCheck report, Richard Hveem has received two regulatory sanctions, three customer complaints, and one pending customer complaint.

Lauren FrahnPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2018 indicate that New Jersey-based Hennion & Walsh broker/adviser Lauren Frahn has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Frahn (CRD# 4565805).

Lauren Frahn has spent 15 years in the securities industry and has been registered with Hennion & Walsh in Parsippany, New Jersey since 2002. She has no previous registrations. She has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on August 22, 2007; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on September 11, 2002; and Series 7 (General Securities Representative Examination), which she obtained on August 12, 2002. She is a registered broker and investment adviser with 40 US states and territories.

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

Sean McElduffPublic records provided by the Financial Industry Regulatory Authority (FINRA) on May 5, 2017 indicate that New Jersey-based Hennion & Walsh broker Sean McElduff has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. McElduff (CRD# 5565355).

Sean McElduff has spent eight years in the securities industry and has been registered with Hennion & Walsh in Parsippany, New Jersey since 2008. He has no previous registrations. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker with 33 US states and territories.

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

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