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Jeffrey Delaney

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2017 indicate that former South Carolina-based Pruco Securities broker Jeffrey Delaney has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Delaney (CRD# 4199148).

Jeffrey Delaney has spent 2 years in the securities industry and was most recently registered with Pruco Securities in Columbia, South Carolina (2015-2016). He was previously registered with Sagepoint Financial in Columbus, Georgia (2014-2015). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 6 (Investment Company Products/Variable Contracts Representative Examination).

According to his BrokerCheck report, Jeffrey Delaney has been sanctioned by FINRA, has received one customer complaint, and was discharged from his former employer.

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Matthew BarrettPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2017 indicate that former Massachusetts-based Rothschild Lieberman broker Matthew Barrett has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Barrett (CRD# 3277609).

Matthew Barrett has spent 15 years in the securities industry and was most recently registered with Rothschild Lieberman in Boston, Massachusetts (2016). Previous registrations include Newport Coast Securities in Boston, Massachusetts; White Weld & Company Securities in Boston, Massachusetts; Seven Points Capital in Boston, Massachusetts; Avian Securities in Boston, Massachusetts; BTIG LLC in Boston, Massachusetts; Raymond James & Associates in St. Petersburg, Florida; AdVest in Hartford, Connecticut; and Dain Rauscher in New York, New York. He is currently not registered with any state or firm.

According to his BrokerCheck report, Matthew Barrett was recently sanctioned by FINRA and has previously been sanctioned by the State of Massachusetts.

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Donald BergeronPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2017 indicate that former North Carolina-based Capital Guardian broker/adviser Donald Bergeron has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bergeron (CRD# 2653896).

Donald Bergeron has spent 20 years in the securities industry and was most recently registered with Capital Guardian LLC in Charlotte, North Carolina (2009-2016). Previous registrations include Merrill Lynch in Charlotte, North Carolina; JJB Hilliard WL Lyons in Louisville, Kentucky; American Frontier Financial Corporation in Denver, Colorado; Painewebber in Weehawken, New Jersey; and RAF Financial Corporation in Denver, Colorado. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has been sanctioned by FINRA and was discharged from two former employers.

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Christopher PollardPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2017 indicate that former Georgia-based Morgan Stanley broker/adviser Christopher Pollard has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pollard (CRD# 6143750).

Christopher Pollard has spent 3 years in the securities industry and was most recently recently registered with Morgan Stanley in Atlanta, Georgia (2013-2016). He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has been sanctioned by FINRA and was discharged from his former employer.

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Jason Likens

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2017 indicate that former Florida-based International Assets Advisory broker/adviser Jason Likens has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Likens (CRD# 4716661).

Jason Likens has spent 11 years in the securities industry and was most recently registered with International Assets Advisory in Orlando, Florida (2016-2017). Previous registrations include Oppenheimer & Company in Asheville, North Carolina; Stanford Group Company in Asheville, North Carolina; UBS Financial Services in Asheville, North Carolina; and Wachovia Securities in St. Louis, Missouri. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one FINRA sanction and one customer complaint, and was terminated from two former employers.

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Frank TeggePublicly available records published by the Financial Industry Regulatoyr Authority (FINRA) and accessed on August 15, 2017 indicate that former Michigan-based Wells Fargo Advisors broker/adviser Frank Tegge has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Tegge (CRD# 443782).

Frank Tegge has spent 45 years in the securities industry and was most recently registered with Wells Fargo Advisors in East Lansing, Michigan (2008-2015). Previous registrations include Ferris Baker Watts in East Lansing, Michigan; McDonald Investments in Cleveland, Ohio; Thomson McKinnon Securities in New York, New York; and Manley Bennett McDonald & Company. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has been sanctioned by FINRA and was terminated from his former employer.

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Frank Tegge

Publicly available records published by the Financial Industry Regulatoyr Authority (FINRA) and accessed on August 15, 2017 indicate that former Michigan-based Wells Fargo Advisors broker/adviser Frank Tegge has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Tegge (CRD# 443782).

Frank Tegge has spent 45 years in the securities industry and was most recently registered with Wells Fargo Advisors in East Lansing, Michigan (2008-2015). Previous registrations include Ferris Baker Watts in East Lansing, Michigan; McDonald Investments in Cleveland, Ohio; Thomson McKinnon Securities in New York, New York; and Manley Bennett McDonald & Company. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has been sanctioned by FINRA and was terminated from his former employer.

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Murray MonroePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2017 indicate that former California-based Western International Securities broker/adviser Murray Monroe has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Monroe (CRD# 2337934).

Murray Monroe has spent 24 years in the securities industry and was most recently registered with Western International Securities in Pasadena, California (2010-2017). Previous registrations include Crowell Weedon & Company in West Covina, California and Atlas Securities in San Leandro, California. He is currently not registered with any state or firm.

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

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John GunnipPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 14, 2017, indicate that representatives of Morgan Stanley’s Texas-based consulting group The Gunnip Group have been the subject of customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding The Gunnip Group.

The Gunnip Group at Morgan Stanley is a consulting group based on Southlake, Texas. John Gunnip is Senior Vice President, Wealth Management; Wealth Advisor; Senior Institutional Consultant; and Portfolio Manager. Kevin Gunnip is Senior Vice President, Wealth Management and Wealth Advisor. Matthew Gunnip is Senior Vice President, Wealth Management; Wealth Advisor; and Senior Portfolio Manager. Lina Cuales is Senior Client Service Associate. Rayeann Ison is Wealth Management Associate.

According to their FINRA BrokerCheck reports, both John Gunnip and Kevin Gunnip have received customer complaints.

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John RandolphPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 14, 2017 indicate that Texas-based Morgan Stanley broker/adviser John Randolph has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gunnip (CRD# 1398442).

John Gunnip has spent 27 years in the securities industry and has been registered with Morgan Stanley, where he is Senior Vice President, Wealth Management of the Gunnip Group, in Southlake, Texas since 2009. Previous registrations include Morgan Stanley & Company in Fort Worth, Texas and Morgan Stanley DW in Fort Worth, Texas. He is a registered broker and investment adviser with 27 US states and territories.

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