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Jerome PoolePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 16, 2018 indicate that former Delaware-based Berthel Fisher & Company broker/adviser Jerome Poole was recently discharged 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. Poole (CRD# 847756).

Jerome Poole has spent 40 years in the securities industry and was most recently registered with Berthel Fisher & Company in Wilmington, Delaware (2017-2018). Previous registrations include Kovack Securities in Wilmington, Delaware (2008-2017); Invest Financial Corporation in Wilmington, Delaware (2007-2008); Wharton Equity Corporation in Wilmington, Delaware (2004-2007); Mony Securities Corporation in New York, New York (2002-2004); Wharton Equity Corporation in Wayne, Pennsylvania (1989-2002); Manequity in Boston, Massachusetts (1978-1989); and Capital Placement Service (1976-1981). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 3, 1987; Series 7 (General Securities Representative Examination), which he obtained on September 15, 1984; and Series 1 (Registered Representative Examination), which he obtained on January 9, 1978. He is currently not registered with any state or firm.

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

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Michael BarnettPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 16, 2018 indicate that Illinois-based JJB Hilliard WL Lyons broker/adviser Michael Barnett has received new pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Barnett (CRD# 5792242).

Michael Barnett has spent eight years in the securities industry and has been registered with JJB Hilliard WL Lyons in Marion, Illinois since 2012. He was previously registered with Edward Jones in Herrin, Illinois (2010-2012). He is a registered broker and investment adviser with 32 US states and territories and with three self-regulatory organizations: FINRA, NYSE American LLC, and the New York Stock Exchange.

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

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Henry GrinbergPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 16, 2018 indicate that Florida-based Raymond James & Associates broker/adviser Henry Grinberg recently resigned from his former employer in connection to alleged rule violations and has been the subject of a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Grinberg (CRD# 4605039).

Henry Grinberg has spent 15 years in the securities industry and has been registered with Raymond James & Associates in Aventura, Florida since June 2018. Previous registrations include Morgan Stanley in Aventura, Florida (2009-2018); Citigroup Global Markets in Aventura, Florida (2009); and UBS Financial Services in Aventura, Florida (2003-2009). He has passed three securities industry examination: Series 66 (Uniform Combined State Law Examination), which he obtained on February 6, 2003; Series 31 (Futures Managed Funds Examination), which he obtained on June 19, 2004; and Series 7 (General Securities Representative Examination), which he obtained on January 14, 2003. He is a registered broker and investment adviser with ten US states: California, Connecticut, Florida, Illinois, New Jersey, New York, North Carolina, Oregon, Pennsylvania, and Texas. 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 two denied customer complaints, and he recently resigned from his former employer in connection to alleged rule violations.

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https://images.unsplash.com/photo-1512850183-6d7990f42385?ixlib=rb-0.3.5&ixid=eyJhcHBfaWQiOjEyMDd9&s=bb095116a8cfd26cec5c171f8438a213&dpr=1&auto=format&fit=crop&w=1000&q=80&cs=tinysrgbPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 11, 2018 indicate that Texas-based Merrill Lynch broker/adviser Erik Littlejohn has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Littlejohn (CRD# 1910841).

Erik Littlejohn has spent 29 years in the securities industry and has been registered with Merrill Lynch in Houston, Texas since 2015. Previous registrations include UBS Financial Services in Houston, Texas (2009-2015); Morgan Stanley Smith Barney in Houston, Texas (2009); Morgan Stanley & Company in Houston, Texas (2007-2009); Morgan Stanley DW in Houston, Texas (2004-2007); Citigroup Global Markets in New York, New York (1993-2004); and Lehman Brothers in New York, New York (1989-1993). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 27, 1989; Series 3 (National Commodity Futures Examination), which he obtained on February 27, 1989; Series 7 (General Securities Representative Examination), which he obtained on January 21, 1989. He is a registered broker and investment adviser with 14 US states: Arizona, California, Colorado, Delaware, Florida, Louisiana, Missouri, Nevada, New York, Rhode Island, Tennessee, Texas, Virginia, and Washington.

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

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William Rossi III

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 11, 2018 indicate that Florida-based Valmark Securities broker/adviser William Rossi III has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rossi (CRD# 2909610).

William Rossi has spent twenty-one years in the securities industry and has been registered with Valmark Securities in Gainesville, Florida since 2000. He was previously registered with Raymond James Financial Services in St. Petersburg, Florida (1997-2000). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 2, 1997, and Series 7 (General Securities Representative Examination), which he obtained on July 8, 1997. He is a registered broker and investment adviser with six US states and territories: Alabama, Arizona, Florida, Georgia, Massachusetts, Minnesota, Ohio, Pennsylvania, Tennessee, Texas, Virginia, and Wisconsin.

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

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Willie BrooksPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 10, 2018 indicate that Michigan-based Questar Capital Corporation broker Willie Brooks is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Brooks (CRD# 4487223).

Willie Brooks has spent 16 years in the securities industry and has been registered with Questar Capital Corporation in Rochester Hills, Michigan since 2002. He has no previous registrations. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 8, 2002; Series 7 (General Securities Representative Examination), which he obtained on April 11, 2007; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 8, 2002. He is a registered broker with two US states: Georgia and Michigan. He is registered with one self-regulatory organization (SRO): FINRA.

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

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Justin FletchallPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 10, 2018 indicate that Wisconsin-based RBC Capital Markets broker/adviser Justin Fletchall is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Fletchall (CRD# 4636321).

Justin Fletchall has spent 12 years in the securities industry and has been registered with RBC Capital Markets in Madison, Wisconsin since 2006. He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on March 3, 2006, and Series 7 (General Securities Representative Examination), which he obtained on February 2, 2006. He is a registered broker and investment adviser with 43 US states and territories and with ten self-regulatory organizations (SROs): BOX Options Exchange LLC, Cboe Exchange Inc., FINRA, NYSE American LLC, NYSE Arca Inc., Nasdaq BX Inc., Nasdaq ISE LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

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Dana DavisPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 10, 2018 indicate that New York-based Newbridge Securities broker Dana Davis has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Davis (CRD# 1707708).

Dana Davis has spent 29 years in the securities industry and has been registered with Newbridge Securities Corporation in New York, New York since 2006. Previous registrations include First Montauk Securities in Hauppage, New York (2002-2006); Global Capital Securities Corporation in Englewood, Colorado (2000-2002); Gilford Securities in New York, New York (1995-2000); Josephtal Lyons & Ross in New York, New York (1993-1995); Robert Todd Financial Corporation in New York, New York (1990-1993); Global Capital Securities (1990); and the Stuart-James Company in Denver, Colorado (1989-1990). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 13, 1989; Series 7 (General Securities Representative Examination), which he obtained on March 18, 1989; Series 24 (General Securities Principal Examination), which he obtained on April 27, 2001; and Series 4 (Registered Options Principal Examination), which he obtained on February 16, 2000. He is a registered broker with 24 US states and territories.

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