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Ken KavanaghPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2018 indicate that former New York-based Morgan Stanley broker Ken Kavanagh, who has received a customer dispute, recently resigned 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. Kavanagh (CRD# 4502223).

Ken Kavanagh has spent 16 years in the securities industry and was most recently registered with Morgan Stanley in New York, New York (2009-2018). Previous registrations include Citigroup Global Markets in New York, New York (2006-2009) and UBS Financial Services in Weehawken, New Jersey (2002-2006). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 2, 2002, and Series 7 (General Securities Representative Examination), which he obtained on April 11, 2002. He is currently not registered as a broker 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 misconduct.

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Christopher SinkulaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2018 indicate that Florida-based Janney Montgomery Scott broker/adviser Christopher Sinkula received several resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sinkula (CRD# 2001512).

Christopher Sinkula has spent 28 years in the securities industry and has been registered with Janney Montgomery Scott in Stuart, Florida since 2008. Previous registrations include Citigroup Global Markets in Stuart, Florida (1999-2008); AG Edwards & Sons in St. Louis, Missouri (1990-1999); and Blinder Robinson & Company (1989-1990). He is a registered broker and investment adviser with 22 US states and territories: California, Colorado, Connecticut, Florida, Georgia, Illinois, Indiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, and Virginia.

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

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Carlos Plaza-DomenechPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2018 indicate that former Texas-based Supreme Alliance broker Carlos Plaza-Domenech has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Plaza-Domenech (CRD# 3082565).

Carlos Plaza-Domenech has spent 18 years in the securities industry and was most recently registered with Supreme Alliance in Leander, Texas (2016-2017). Previous registrations include Kovack Securities in Fort Lauderdale, Florida (2015); UBS Financial Services in San Juan, Puerto Rico (2004-2015); UBS Financial Services in San Juan, Puerto Rico (2004-2015); and Oriental Financial Services in San Juan, Puerto Rico (1999-2004). He has passed one securities industry examination: Series 7 (General Securities Representative Examination), which he obtained on February 17, 1999. He is currently not registered as a broker with any state or firm.

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

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Mark SenofontePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2018 indicate that New Jersey-based Cetera Investment Services broker/adviser Mark Senofonte has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Senofonte (CRD# 2038108).

Mark Senofonte has spent 27 years in the securities industry and has been registered with Cetera Investment Services in Edison, New Jersey since 2007. Previous registrations include IFMG Securities in Toms River, New Jersey (2005-2007); The Investment Center in Bedminster, New Jersey (2004-2005); AXA Advisors in New York, New York (2004); IFMG Securities in Purchase, New York (2004); AllState Financial Services in Lincoln, Nebraska (2004); Quick & Reilly in New York, New York (2003-2004); IFMG Securities in Purchase, New York (1996-2003); United Planners’ Financial Services of America in Scottsdale, Arizona (1995-1996); Investnet Corporation in Pittsburgh, Pennsylvania (1993-1994); North American Management in Sioux Falls, South Dakota (1993); PFS Investments in Duluth, Georgia (1992-1993); Pruco Securities in Newark, New Jersey (1990-1992); and the Prudential Insurance Company of America in Newark, New Jersey (1990-1992). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 17, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 27, 1990; Series 7 (General Securities Representative Examination), which he obtained on June 26, 1997; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 10, 1990. He is a registered broker and investment adviser with 16 US states and territories: Arizona, California, Connecticut, Delaware, Florida, Kansas, Massachusetts, Nevada, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Vermont, Virginia, and West Virginia.

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

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Ronald Cameron

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2018 indicate that Arkansas-based Raymond James Financial Services broker/adviser Ronald Cameron is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cameron (CRD# 2551641).

Ronald Cameron has spent 23 years in the securities industry and has been registered with Raymond James Financial Services in Fayetteville, Arkansas since 2013. Previous registrations include Stephens in Fayetteville, Arkansas (2005-2013); Morgan Stanley in Rogers, Arkansas (2001-2005); Edward Jones in St Louis, Missouri (2000-2001); and AG Edwards & Sons in St. Louis, Missouri (1994-2000). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 27, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 28, 1994; Series 31 (Futures Managed Funds Examination), which he obtained on July 26, 2005; and Series 7 (General Securities Representative Examination), which he obtained on November 28, 1994. He is a registered broker and investment adviser with 11 US states and territories: Arkansas, California, Colorado, Delaware, Georgia, Kansas, Maryland, North Carolina, Oklahoma, South Carolina, and Texas.

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

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Marc SteinbergPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2018 indicate that Florida-based Westpark Capital broker/adviser Marc Steinberg has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Steinberg (CRD# 2549670).

Marc Steinberg has spent 23 years in the securities industry and has been registered with Westpark Capital in Boca Raton, Florida since 2016. Previous registrations include Dawson James Securities in Boca Raton, Florida (2006-2016); National Securities Corporation in Boca Raton, Florida (2003-2006); Gilford Securities in New York, New York (1998-2003); and Joseph Stevens & Company in Brooklyn, New York (1995-1998). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 1, 2015; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 27, 1994; Series 7 (General Securities Representative Examination), which he obtained on November 1, 1994; and Series 24 (General Securities Principal Examination), which he obtained on February 14, 1996. He is a registered broker and investment adviser with 12 US states and territories: California, Colorado, Connecticut, Florida, Georgia, New Jersey, New Mexico, New York, Oregon, Pennsylvania, Texas, and Wisconsin.

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

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Clifton Roberts

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2018 indicate that former Texas-based LPL Financial broker/adviser Clifton Roberts, who has received a customer dispute, was discharged from his former employer and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Roberts (CRD# 3201516).

Clifton Roberts has spent 14 years in the securities industry and was most recently registered with LPL Financial in Houston, Texas (2014-2018). Previous registrations include Wells Fargo Advisors in League City, Texas (2012-2014); Chase Investment Services Corporation in Houston, Texas (2006-2012); Walnut Street Securities in El Segundo, California (2004-2005); OppenheimerFunds Distributor in New York, New York (2001-2002); National Planning Corporation in Los Angeles, California (2002); Multi-Financial Securities Corporation in Denver, Colorado (2001); Morgan Stanley DW in Purchase, New York (2000-2001); and Charles Schwab & Company in San Francisco, California (2000). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 8, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 11, 2000; and Series 7 (General Securities Representative Examination), which he obtained on March 25, 2000. He is currently not registered with any state or firm.

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

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July Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 6, 2018 indicate that FINRA reported over 20 brokers and/or investment advisers in that month as suspended from association with member firms. The individuals enumerated below have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to these actions; they have not admitted to or denied the alleged underlying conduct. Some of these suspensions may have been lifted before or after the publication of FINRA’s report. Additionally, the fines listed may not represent the total financial penalties levied on the representatives, who may also have been ordered to pay disgorgement or other penalties to affected investors. For more information on these actions, visit FINRA’s disciplinary action homepage.

Name Current/Former Employers Fine Paid Length
Nicholas John Hoetmer Ameriprise Financial Services $7,500 9 months
James Otis Conaway USA Financial Securities Corporation $10,000 9 months
Lorraine Annette Conaway USA Financial Securities Corporation $10,000 9 months
Joshua Thomas Crossman Merrill Lynch $10,000 6 months
Michael Terry Swingle JW Cole Financial $5,000 18 months
Fatou Camara PFS Investments $5,000 3 months
Philip Orezio Fatta Spartan Capital Securities $5,000 4 months
Nas Adel Allan Merrill Lynch $2,500 1 month
Robert N. Newman Morgan Stanley $5,000 10 days
Gregory J. Anastos Windsor Street Capital n/a 4 months
Kelly Marvin Barnett FSC Securities Corporation $15,000 6 months
Andrew Lee Denney LPL Financial Network $5,000 12 months
Francisco Jose Ortiz Brickell Global Markets $5,000 1 month
Joshua David Stamm Merrill Lynch $5,000 6 months
Zachary Stuart Brodt First Financial Equity Corporation $10,000 3 months
Fuad Saad Habba Morgan Stanley $5,000 3 months
Peter David Holler Securities Service Network $10,000 2 years
Lawrence Eugene Murphy International Assets Advisory $7,500 20 days
Gerard Chandler Gremillion ProFinancial $20,000 2 years
Brian John Hussey Jr. Ameriprise Financial Services n/a 7 months
Louis Anthony Telerico Westminster Financial Services n/a 6 months
John Michael Krohn Principal Securities $10,000 3 months
Morey Herbert Goldberg M Holdings Securities $10,000 45 days
Kenneth K. Jobson Morgan Stanley $5,000 3 months
Carlos Velazquez Waddell & Reed $10,000 8 months

 

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July

Publicly available records published by the Financial Industry Regulatory Authority and accessed on August 6, 2018 indicate that FINRA reported more than twenty brokers and/or investment advisers in that month as barred from association with FINRA member firms. The individuals enumerated below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to these sanctions without admitting to or denying the alleged underlying conduct. For more information about these sanctions, visit FINRA’s disciplinary actions homepage.

 

 

Name Current/Former Employers
Joseph Glenn Pratt Signator Investors
Brian Joseph Panfil Paulson Investment Company
Vaughn Lee Andrews-McKay Pruco Securities
Stacy Elizabeth Cheney-Jamison Cuna Brokerage Services
Brian Keith Decker Worden Capital Management
James Edward Knee Voya Financial Advisors
Amy Elizabeth Pesina JP Morgan Securities
Brandon Carl Rudolph Wealthforge Securities
Norman R. Sicard Jr. Broker Dealer Financial Services
Emil John Skyba Westport Capital Markets
Ahmed Abdelmawla Gadelkareem Newport Coast Securities
Jonathan George Sweeney Navy Federal Brokerage Services
Harold Francis Couglar Montage Securities
Douglas Anthony Leone Salomon Whitney Financial
James Larkin Powers Celadon Financial Group
Meaghan Marie Johnson Northwestern Mutual Investment Services
Leona Lynn Parsons JP Morgan Securities
Herbert Voss Jr. Stockcross Financial Services
Sanjeev Sreetharan Deutsche Bank Securities
Anthony Bernard Didonato III Pruco Securities
Maria Nancy Tamburro Ameriprise Financial Services