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John Young

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that Maryland-based UBS Financial Services broker/adviser John Young has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Young (CRD# 2626571).

John Young has spent 23 years in the securities industry and has been registered with UBS Financial Services in Bethesda, Maryland since 2009. Previous registrations include Citigroup Global Markets in Bethesda, Maryland (2006-2009) and Legg Mason Wood Walker in Baltimore, Maryland (1995-2006). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 31, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 25, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on June 30, 2008; Series 7 (General Securities Representative Examination), which he obtained on July 19, 1995; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on January 3, 2000; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on December 3, 1999. He is a registered broker and investment adviser with 23 US states and territories: Arizona, California, Colorado, Connecticut, Delaware, the District of Columbia, Florida, Georgia, Kansas, Kentucky, Maine, Maryland, Massachusetts, Michigan, New Jersey, New Mexico, New York, North Carolina, Pennsylvania, Rhode Island, South Carolina, Tennessee, and Virginia.

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

Michael Greenfield Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that Florida-based Newbridge Securities broker/adviser Michael Greenfield has received several resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Greenfield (CRD# 5406611).

Michael Greenfield has spent 10 years in the securities industry and has been registered with Newbridge Securities Corporation in Boca Raton, Florida since 2017. Previous registrations include Oppenheimer & Company in Boca Raton, Florida (2013-2016); Morgan Stanley & Company in Boca Raton, Florida (2013); and The GMS Group in Boca Raton, Florida (2008-2013). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 23, 2009; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on February 6, 2008. He is a registered broker and investment adviser with seven US states and territories: California, Florida, Georgia, Maryland, Michigan, New York, and Texas.

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

Jonathan PynePublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that Minnesota-based Berthal Fisher & Company Financial Services broker/adviser Jonathan Pyne has received several resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pyne (CRD# 2580510).

Jonathan Pyne has spent 23 years in the securities industry and has been registered with Berthel Fisher & Company Financial Services in Minneapolis, Minnesota since 2007. Previous registrations include United Planners’ Financial Services of America in Minneapolis, Minnesota (2003-2007); Clearing Services of America in St. Louis, Missouri (1999-2003); 1717 Capital Management Company in Newark, Delaware (1997-1999); and WS Griffith & Company in Hartford, Connecticut (1995-1997). He is a registered broker and investment adviser with 18 US states and territories.

According to his BrokerCheck report, Mr. Pyne has received two customer complaints and two pending customer complaints.

Owen Hayes

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that former Texas-based Wells Fargo Clearing Services broker/adviser Owen Hayes has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hayes (CRD# 2940457).

Owen Hayes has spent 21 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in Dallas, Texas (2011-2019). Previous registrations include Wells Fargo Investments in Plano, Texas (2002-2011); Hibernia Investments in New Orleans, Louisiana (1997-2001); and Pruco Securities Corporation in Newark, New Jersey (1997). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 2, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 18, 1997; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on June 17, 1999; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 2, 1997. He is currently not registered with any state or firm.

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

Jason Nye Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that former Ohio-based ON Equity Sales Company broker Jason Nye has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Nye (CRD# 2394082).

Jason Nye has spent 20 years in the securities industry and was most recently registered with The ON Equity Sales Company in Centerville, Ohio (2003-2018). Previous registrations include UBS Painewebber in Weehawken, New Jersey (1999-2002); American Express Financial Advisors in Minneapolis, Minnesota (1997-1999); and IDS Life Insurance in Minneapolis, Minnesota (1997-1999). He is currently not registered as a broker with any state or firm.

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

Jeffrey LarsonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that Missouri-based Arete Wealth Management broker/adviser Jeffrey Larson has received pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Larson (CRD# 4836889).

Jeffrey Larson has spent 14 years in the securities industry and has been registered with Arete Wealth Management in Kirkwood, Missouri since August 2017. Previous registrations include Larson Financial Securities in Saint Louis, Missouri (2010-2017); Financial Network Investment Corporation in Minneapolis, Minnesota (2006-2010); CRI Securities in Minneapolis, Minnesota (2004-2006); and Securian Financial Services in St. Louis, Missouri (2004-2006). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 16, 2004; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on October 16, 2004. He is a registered broker and investment adviser with 35 US states and territories.

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

Petar ArizanovPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that New York-based Oppenheimer & Company broker/adviser Petar Arizanov has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Arizanov (CRD# 4804419).

Petar Arizanov has spent 14 years in the securities industry and has been registered with Oppenheimer & Company in New York, New York since 2013. Previous registrations include Fidelity Brokerage Services in New York, New York (2009-2013); National Securities Corporation in New York, New York (2007-2008); and Gunnallen Financial in Westbury, New York (2004-2007). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 3, 2013; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 2, 2004; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on June 23, 2004; and Series 24 (General Securities Principal Examination), which he obtained on June 2, 2008. He is a registered broker and investment adviser with 13 US states and territories: California, Connecticut, the District of Columbia, Florida, Georgia, Illinois, Maryland, Massachusetts, Michigan, New Jersey, New York, Pennsylvania, and Texas. He is registered with self-regulatory organizations (SROs): Cboe Exchange Inc., FINRA, NYSE American LLC, NYSE Arca Inc., NYSE Chicago 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 customer complaint, one pending customer complaint, and one customer complaint that was closed with no action taken.

Christopher CavallaroPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that Massachusetts-based LPL Financial broker/adviser Christopher Cavallaro has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cavallaro (CRD# 2125009).

Christopher Cavallaro has spent 28 years in the securities industry and has been registered with LPL Financial in Waltham, Massachusetts since 2016. Previous registrations include Lincoln Financial Advisors Corporation in Waltham, Massachusetts (2003-2006); The Lincoln National Life Insurance Company in Waltham, Massachusetts (2003-2006); and Veravest Investments in Worcester, Massachusetts (1991-2003). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 18, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 8, 1991; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on August 15, 1996; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 23, 1991. He is a registered broker and investment adviser with 22 US states and territories: Alaska, California, Colorado, Connecticut, Florida, Georgia, Idaho, Maine, Maryland, Massachusetts, Michigan, Minnesota, New Hampshire, New Jersey, New York, North Carolina, Rhode Island, South Carolina, South Dakota, Texas, Vermont, and Virginia.

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

Securities AmericaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 4, 2018 indicate that Nebraska-based brokerage firm Securities America was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Securities America (CRD# 10205).

Established in Delaware in 1984, Securities America is headquartered in La Vista, Nebraska and registered with 53 US states and territories. According to the firm’s BrokerCheck report, it has been involved in 53 regulatory events and 27 customer complaints that evolved into arbitration.

In September 2018 FINRA sanctioned the firm in connection to allegations it failed to maintain and enforce a supervisory system and written supervisory procedures that were reasonably designed to ensure that its representatives recommendations of variable annuity investments were in compliance with relevant laws, rules and regulations. FINRA’s findings stated additionally that though the firm sold variable annuity contracts with options for different share classes, its procedures “did not specifically address the suitability issues pertaining to the fees and costs or surrender periods of the different variable annuity share classes,” and that they also failed to address when “additional scrutiny” might be necessary during the firm’s principal review and approval process for variable annuity transactions. In connection with these and other findings, the firm was censured and issued a fine of $175,000.

BrokerBank Securities Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 4, 2018 indicate that Minnesota-based broker-dealer firm BrokerBank Securities was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints BrokerBank Securities (CRD# 10641).

Established in Minnesota in 2003, BrokerBank Securities is headquartered in Minnetonka, Minnesota and registered with nine US states and territories: Arizona, California, Florida, Georgia, Michigan, Minnesota, Ohio, Texas, and Utah. According to the firm’s BrokerCheck report, it has been involved in three regulatory events.

In September 2108 FINRA sanctioned BrokerBank Securities in connection to allegations it failed to perform and record reasonable due diligence of a private placement security sold by a firm representative and additional allegations that its supervisory system was not reasonably designed to ensure compliance with due diligence obligations. According to FINRA’s findings, the firm’s written supervisory procedures required it to meet certain due diligence standards that assessed an issuer’s offering prior to the firm’s agreement to participated in that offering. The findings go on to state that the firm “served as a placement agent for a Regulation D private placement offering of securities issued by a corporation,” and the corporation raised a little more than $2.5 million in that offering, “of which $2,220,000 was raised by the firm’s sales to 24 accredited investors.” However, the firm allegedly “failed to conduct a reasonable due diligence investigation of the corporation, and also failed to document the findings of its due diligence investigation.” It also allegedly failed to obtain and document certain customer information which it was required to obtain. In connection with these and other findings, the firm was censured and issued a fine of $5,000.