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Patrick DeverPublic records provided by the Financial Industry Regulatory Authority (FINRA) on July 17, 2018 indicate that Pennsylvania-based Stifel Nicolaus & Company broker/adviser Patrick Dever has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Dever (CRD# 2202204).

Patrick Dever has spent 26 years in the securities industry and has been registered with Stifel Nicolaus & Company in West Chester, Pennsylvania since 2014. Previous registrations include Morgan Stanley in West Chester, Pennsylvania (2009-2014); Morgan Stanley & Company in West Chester, Pennsylvania (2007-2009); Morgan Stanley DW in West Chester, Pennsylvania (2006-2007); Citigroup Global Markets in Media, Pennsylvania (1993-2006); and Lehman Brothers in New York, New York (1992-1993). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 22, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 6, 1992; and Series 7 (General Securities Representative Examination), which he obtained on January 22, 1992. He is a registered broker and investment adviser with seven US states and territories: Delaware, Maryland, New Jersey, New York, Pennsylvania, Virginia, and West Virginia. He is registered with six 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 customer complaint and one pending customer complaint.

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Suhail KhanPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 17, 2018 indicate that former Illinois-based LPL Financial broker/adviser Suhail Khan, who has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm, is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Khan (CRD# 3168241).

Suhail Khan has spent 14 years in the securities industry and was most recently registered with LPL Financial in Chicago, Illinois (2013-2017). Previous registrations include Vision in Chicago, Illinois (2009-2011); US Financial Investments in Chicago, Illinois (2008-2009); World Group Securities in Duluth, Georgia (2002-2006); and WMA Securities in Duluth, Georgia (1999-2002). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 26, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 17, 1999; Series 3 (National Commodity Futures Examination), which he obtained on June 1, 2010; Series 7 (General Securities Representative Examination), which he obtained on May 18, 2010; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on March 17, 1999; Series 30 (NFA Branch Manager Examination), which he obtained on September 22, 2010; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on May 31, 2000. He is currently not registered with any state or firm.

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

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Craig WakefieldPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 17, 2018 indicate that Texas-based Merrill Lynch broker/adviser Craig Wakefield is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wakefield (CRD# 2957545).

Craig Wakefield has spent 18 years in the securities industry and has been registered with Merrill Lynch in Houston, Texas since 2010. Previous registrations include Condera Securities in Houston, Texas (2004-2010); Neuberger Berman in New York, New York (2003-2004); Managers Distributors in Greenwich, Connecticut (2002-2003); and Merrill Lynch in New York, New York (1997-2000). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 4, 1997, and Series 7 (General Securities Representative Examination), which he obtained on November 18, 1997. He is a registered broker and investment adviser with 34 US states and territories.

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

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Larry TemplinPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 17, 2018 indicate that former Texas-based Centaurus Financial broker/adviser Larry Templin was recently 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. Templin (CRD# 2440316).

Larry Templin has spent 20 years in the securities industry and was most recently registered with Centaurus Financial in Temple, Texas (2006-2018). Previous registrations include USAllianz Securities in Temple, Texas (2001-2006) and 1st Global Capital in Dallas, Texas (1997-2001). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 23, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 13, 1997; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 12, 1997. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was discharged from his former employer in connection to alleged rule violations.

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Joel LagorePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 17, 2018 indicate that Michigan-based Sigma Financial Corporation broker/adviser Joel Lagore has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lagore (CRD# 4133514).

Joel Lagore has spent 17 years in the securities industry and has been registered with Sigma Financial Corporation in Flint and Livonia, Michigan since 2009. Previous registrations include Citigroup Global Markets in Flint, Michigan (2005-2009) and the Huntington Investment Company in Columbus, Ohio (2001-2005). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 15, 2003; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 17, 2001; Series 7 (General Securities Representative Examination), which he obtained on September 24, 2002; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 1, 2001. He is a registered broker and investment adviser with 30 US states and territories.

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

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Stephen HurtukPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 17, 2018 indicate that former Ohio-based Stifel Nicolaus & Company broker/adviser Stephen Hurtuk has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hurtuk (CRD# 848484).

Stephen Hurtuk has spent 39 years in the securities industry and was most recently registered with Stifel Nicolaus in Boardman, Ohio (2007-2017). Previous registrations include Citigroup Global Markets in Canfield, Ohio (2001-2007) and Merrill Lynch in New York, New York (1978-2001). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 4, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 9, 1980; and Series 7 (General Securities Representative Examination), which he obtained on January 21, 1978. He is currently not affiliated with any broker-dealer firm.

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

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Dale SeagravePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 16, 2018 indicate that former Florida-based SunTrust Investment Services broker/adviser Dale Seagrave recently resigned from his former employer in connection to alleged rule violations and has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Seagrave (CRD# 2457013).

Dale Seagrave has spent 16 years in the securities industry and was most recently registered with SunTrust Investment Services in Coral Gables, Florida (2015-2018). Previous registrations include Wells Fargo Advisors in Hallandale, Florida (2009-2015); PFIC Securities Corporation in Franklin, Tennessee (2002-2003); Banc of America Investment Services in Boston, Massachusetts (2001-2002); SunTrust Securities in Atlanta, Georgia (2001); Mesirow Financial in Chicago, Illinois (2001); H. Beck in Bethesda, Maryland (2000); Citicorp Investment Services in Long Island City, New York (1998-1999); Painewebber in Weehawken, New Jersey (1998); Shay Financial Services in Irving, Texas (1995-1997); and Suncoast Capital Group in Fort Lauderdale, Florida (1994). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 13, 2009; Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 16, 2007; and Series 7 (General Securities Representative Examination), which he obtained on March 5, 2009. He is currently not registered with any state or firm.

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

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John GreenePublic records published by the Financial Industry Regulatory Authority (FINRA) on July 17, 2018 indicate that Washington-based UBS Financial Services broker/adviser John Greene has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Greene (CRD# 1871171).

John Greene has spent 27 years in the securities industry and has been registered with UBS Financial Services in Bellevue, Washington since 2014. Previous registrations include Merrill Lynch in Bellevue, Washington (2009-2014); Banc of America Investment Services in Bellevue, Washington (2006-2009); Wells Fargo Investments in Bellevue, Washington (2001-2006); Wells Fargo Securities in San Francisco, California (1997-2001); Essex National Securities in Napa, California (1993-1995); and Merrill Lynch in New York, New York (1988-1993). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 1, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 4, 1988; Series 7 (General Securities Representative Examination), which he obtained on October 15, 1988. He is a registered broker and investment adviser with 18 US states and territories: Arizona, California, Colorado, Delaware, Florida, Georgia, Illinois, Michigan, Montana, Nevada, New Jersey, New Mexico, New York, Oregon, South Carolina, Texas, Utah, and Washington.

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

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Xavier PatinoPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 16, 2018 indicate that Illinois-based Newbridge Securities Corporation broker/adviser Xavier Patino, also known as Javier Patino, has been sanctioned by FINRA in connection to alleged rule violations and received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Patino (CRD# 5528139).

Xavier Patino has spent ten years in the securities industry and has been registered with Newbridge Securities in Oakbrook Terrace, Illinois since June 2017. Previous registrations include JP Morgan Securities in Elmhurst, Illinois (2012-2017) and Chase Investment Services Corporation in North Riverside, Illinois (2008-2012). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 22, 2012; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 8, 2008; Series 7 (General Securities Representative Examination), which he obtained on January 18, 2012; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 29, 2008. He is a registered broker and investment adviser with five US states: California, Illinois, Indiana, South Carolina, and Wisconsin.

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