Articles Tagged with Wells Fargo Clearing Services

Robert Lyons

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that Texas-based Wells Fargo Clearing Services broker/adviser Robert Lyons has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lyons (CRD# 2243975).

Robert Lyons has spent 26 years in the securities industry and has been registered with Wells Fargo Clearing Services in Houston, Texas since 2003. Previous registrations include Prudential Securities in New York, New York (2000-2003); Painewebber in Weehawken, New Jersey (2000); JC Bradford & Company in New York, New York (1997-2000); and Rauscher Pierce Refsnes in Dallas, Texas (1992-1997). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 15, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 23, 1992; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on July 20, 1992. He is a registered broker and investment adviser with 18 US states and territories: Arizona, California, Colorado, Florida, Hawaii, Illinois, Kansas, Michigan, Minnesota, Mississippi, New Jersey, New York, Oklahoma, Tennessee, Texas, Utah, Virginia, and Washington. He is registered with five self-regulatory organizations (SROs): 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 customer complaint and one pending customer complaint.

John Johnston

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that Oklahoma-based Wells Fargo Clearing Services broker/adviser John Johnston has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Johnston (CRD# 2799351).

John Johnston has spent 22 years in the securities industry and has been registered with Wells Fargo Clearing Services in Tulsa, Oklahoma since June 2017. Previous registrations include BOK Financial Services in Broken Arrow, Oklahoma (2001-2017); Primevest Financial Services in St. Cloud, Minnesota (1999-2001); Investment Professionals in San Antonio, Texas (1999); and Dean Witter Reynolds in Purchase, New York (1996-1999). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 13, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 13, 1996; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on November 13, 1996; and Series 7 (General Securities Representative Examination), which he obtained on October 22, 1996. He is a registered broker and investment adviser with nine US states and territories: Arkansas, California, Florida, Kansas, Missouri, Nevada, Oklahoma, Texas, and Utah. He is registered with five self-regulatory organizations (SROs): 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 two customer complaints and one pending customer complaint.

Paul KennedyPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 23, 2018 indicate that California-based Wells Fargo Clearing Services broker/adviser Paul Kennedy has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kennedy (CRD# 1040789).

Paul Kennedy has spent 36 years in the securities industry and has been registered with Wells Fargo Clearing Services in Westlake Village, California since 2014. Previous registrations include DA Davidson & Company in Westlake Village, California (2013-2014); Crowell Weedon & Company in Westlake Village, California (2003-2013); AG Edwards & Sons in St. Louis, Missouri (1992-2003); The Investment Center in Bedminster, New Jersey (1990-1992); Prudential-Bache Securities in New York, New York (1987-1990); and Painewebber (1982-1987). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 10, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 14, 1985; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on April 17, 1982. He is a registered broker and investment adviser with eight US states: Arizona, California, Colorado, Hawaii, Idaho, Missouri, Oregon, and Washington. He is registered with five self-regulatory organizations (SROs): 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 customer complaint and one pending customer complaint.

Herbert HafenPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 16, 2018 indicate that former New York-based Wells Fargo Clearing Services broker/adviser Herbert Hafen has received a pending 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. Hafen (CRD# 867068).

Herbert Hafen has spent 39 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in New York, New York (2018). Previous registrations include Morgan Stanley in New York, New York (2009-2018); Morgan Stanley & Company in New York, New York (2008-2009); Bear Stearns & Company in New York, New York (1990-2008); Bateman Eichler Hill Richards (1982-1990); Consolidated Capital Securities Corporation (1983-1984); Sutro & Company (1979-1982); and Merrill Lynch (1979). He has passed six securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 15, 2009; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 6, 1980; SIE (Securities Industry Essentials Examination), which he obtained on September 13, 2018; Series 3 (National Commodity Futures Examination), which he obtained on June 30, 2004; Series 7 (General Securities Representative Examination), which he obtained on May 19, 1979; and Series 4 (Registered Options Principal Examination), which he obtained on June 10, 1981. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one pending customer complaint and was recently discharged from his former employer in connection to alleged rule violations.

John JenkinsPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that Tennessee-based Wells Fargo Clearing Services broker/adviser John Jenkins has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Jenkins (CRD# 1473998).

John Jenkins has spent 32 years in the securities industry and has been registered with Wells Fargo Clearing Services in Memphis, Tennessee since 2011. He was previously registered with Morgan Keegan & Company in Memphis, Tennessee (1986-2011). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 27, 1986, and Series 7 (General Securities Representative Examination), which he obtained on May 17, 1986. He is a registered broker and investment adviser with 17 US states and territories: Alabama, Arkansas, Colorado, Florida, Georgia, Kentucky, Louisiana, Michigan, Mississippi, New York, North Carolina, Pennsylvania, South Carolina, Tennessee, Texas, Utah, and Washington.

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

don goodsonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 4, 2018 indicate that Arkansas-based Wells Fargo Clearing Services broker/adviser Don Goodson has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have disputes regarding Mr. Goodson (CRD# 1355873).

Don Goodson has spent 32 years in the securities industry and has been registered with Wells Fargo Clearing Services in Russellville, Arkansas since 2008. Previous registrations include AG Edwards & Sons in Russellville, Arkansas (1986-2008) and Swink & Company (1985-1986). He has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on August 31, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 31, 1985; Series 7 (General Securities Representative Examination), which he obtained on May 18, 1985; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on August 26, 2009; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on April 24, 2009. He is a registered broker and investment adviser with 18 US states and territories: Alaska, Arizona, Arkansas, California, Florida, Georgia, Kansas, Louisiana, Maryland, Missouri, Nevada, North Carolina, North Carolina, Oklahoma, Oregon, South Carolina, Texas, Virginia, and Wyoming. He is registered with five self-regulatory organizations (SROs): 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 customer complaint and one pending customer complaint.

Jeffrey Palish Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2018 indicate that former New Jersey-based Wells Fargo Clearing Services broker/adviser Jeffrey Palish has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Palish (CRD# 1464054).

Jeffrey Palish has spent 31 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in Paramus, New Jersey (2010-2017). Previous registrations include Morgan Stanley Smith Barney in Paramus, New Jersey (2009-2010); Citigroup Global Markets in Paramus, New Jersey (2006-2009); Morgan Stanley DW in Paramus, New Jersey (2002-2006); UBS Painewebber in Weehawken, New Jersey (1993-2002); and McLaughlin Piven Vogel Securities in New York, New York (1986-1993). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 14, 1986, and Series 7 (General Securities Representative Examination), which he obtained on March 15, 1986. He is currently not registered with any state or firm.

According to his BrokerCheck report, Jeffrey Palish has been sanctioned by FINRA and was discharged from a former employer in connection to alleged rule violations.

Andrea Frezza

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 2, 2018 indicate that Connecticut-based Wells Fargo Clearing Services broker/adviser Andrea Frezza has received a pending customer dispute in connection to investments in Puerto Rico municipal bonds. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Frezza (CRD# 1067271).

Andrea Frezza has spent 35 years in the securities industry and has been registered with Wells Fargo Clearing Services in Old Greenwich, Connecticut since 2015. Previous registrations include JP Morgan Securities in Darien, Connecticut (2012-2015); Chase Investment Services in Westport, Connecticut (2012); Citigroup Global Markets in New Canaan, Connecticut (2007-2012); Citicorp Investment Services in New Canaan, Connecticut (2006-2007); Merrill Lynch in Stamford, Connecticut (1999-2006); CIBC World Markets in New York, New York (1994-1999); and Painewebber in Weehawken, New Jersey (1982-1994). She has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on December 26, 2001; Series 7 (General Securities Representative Examination), which she obtained on September 18, 1982; Series 10 (General Securities Sales Supervisor – General Module Examination), which she obtained on October 14, 1999; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which she obtained on October 14, 1999. She is a registered broker and investment adviser with ten US states: Connecticut, Florida, Georgia, Maine, Missouri, New Jersey, New York, North Carolina, Oregon, and Washington. She is registered with five self-regulatory organizations: FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

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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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 30, 2017 indicate that New York-based Wells Fargo Clearing Services broker/adviser Michael Ledva is involved in pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ledva (CRD# 1372401).

Michael Ledva has spent 32 years in the securities industry and has been registered with Wells Fargo Clearing Services in Port Jefferson, New York since 2011. He was previously registered with Janney Montgomery Scott in Hauppage, New York (1985-2011). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 26, 1985; Series 31 (Futures Managed Funds Examination), which he obtained on November 21, 2011; Series 7 (General Securities Representative Examination), which he obtained on July 20, 1985; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on May 20, 1997. He is a registered broker and investment adviser with 14 US states and territories: Arkansas, Connecticut, Florida, Indiana, Maryland, Massachusetts, Mississippi, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, Utah and Virginia. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.