Published on:

Charles Bloom

Public records provided by the Financial Industry Regulatory Authority (FINRA) on April 23, 2018 indicate that Florida-based Chelsea Financial Services broker Charles Bloom has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bloom (CRD# 4144108).

Charles Bloom has spent 17 years in the securities industry and has been registered with Chelsea Financial Services in Royal Palm Beach, Florida since 2016. Previous registrations include International Assets Advisory in West Palm Beach, Florida (2015); IAA Financial in West Palm Beach, Florida (2014-2015); US Brokerage in Wellington, Florida (2007-2014); 1st Discount Brokerage in Delray Beach, Florida (2002-2006); 1st Discount Brokerage in Lake Worth, Florida (2002); and Acument Securities in San Francisco, California (2000-2002). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 7, 2000; Series 7 (General Securities Representative Examination), which he obtained on March 16, 2000; and Series 24 (General Securities Principal Examination), which he obtained on December 2, 2003. He is a registered broker with two US states: Florida and Nevada.

According to his BrokerCheck report, he has received two regulatory sanctions, one customer complaint and one pending customer complaint, and he resigned from a former employer in connection to alleged rule violations.

Published on:

Cecil Byers

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 23, 2018 indicate that Texas-based Sunbelt Securities broker/adviser Cecil Byers 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. Byers (CRD# 809253).

Cecil Byers has spent 42 years in the securities industry and has been registered with Sunbelt Securities in Beaumont, Texas since 2015. Previous registrations include Wells Fargo Advisors in Beaumont, Texas (2010-2015); Morgan Stanley Smith Barney in Beaumont, Texas (2009-2011); Citigroup Global Markets in Beaumont, Texas (1996-2009); Merrill Lynch in New York, New York (1978-1996); and Merrill Lynch (1975-1978). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 29, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 18, 1988; Series 15 (Foreign Currency Options Examination), which he obtained on May 22, 1984; Series 5 (Interest Rate Options Examination), which he obtained on December 12, 1981; PC (AMEX Put and Call Exam), which he obtained on May 2, 1977; and Series 7 (General Securities Representative Examination), which he obtained on June 21, 1975. He is a registered broker and investment adviser with two US states: Louisiana and Texas.

According to his BrokerCheck report, he has received two customer complaints and one regulatory sanction, and he resigned from a former employer in connection to alleged rule violations.

Published on:

William Harvey

Public records published by the Financial Industry Regulatory Authority (FINRA) on April 23, 2018 indicate that Pennsylvania-based Janney Montgomery Scott broker/adviser William Harvey has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Harvey (CRD# 2398782).

William Harvey has spent 24 years in the securities industry and has been registered with Janney Montgomery Scott in Doylestown, Pennsylvania since 2002. Previous registrations include Legg Mason Wood Walker in Baltimore, Maryland (1994-2002) and LC Wegard & Company in New York, New York (1994). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 12, 1994, and Series 7 (General Securities Representative Examination), which he obtained on December 18, 1993. He is a registered broker and investment adviser with 32 US states and territories: Arizona, Arkansas, California, Colorado, Connecticut, Delaware, the District of Columbia, Florida, Georgia, Indiana, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.

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

Published on:

Chi-Hong ChuPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 23, 2018 indicate that New Jersey-based American Portfolios Financial Services broker/adviser Chi-Hong Chu has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Chu (CRD# 4615119).

Chi-Hong Chu has spent 15 years in the securities industry and has been registered with American Portfolios Financial Services in East Brunswick, Mt. Laurel, Sea Girt, and Princeton, New Jersey since 2016. Previous registrations include National Planning Corporation in El Segundo, California (2008-2016); American General Securities in East Brunswick, New Jersey (2004-2008); and PFS Investments in Duluth, Georgia (2003-2004). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 6, 2004; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 1, 2003; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 3, 2003; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on September 4, 2007. He is a registered broker and investment adviser with 15 US states and territories: Arizona, California, Delaware, Florida, Georgia, Maryland, Montana, New Jersey, New York, North Carolina, Oregon, Pennsylvania, South Carolina, Texas, and Washington.

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

Published on:

Bill DowningPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 20, 2018 indicate that former Texas-based Coastal Equities broker/adviser William Downing, also known as Bill Downing, has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Downing (CRD# 1529382).

William Downing has spent 31 years in the securities industry and was most recently registered with Coastal Equities in Wimberley, Texas (2017-2018). Previous registrations include JW Cole Financial in Wimberley, Texas (2012-2017); Merrill Lynch in Austin, Texas (2010-2012); Wells Fargo Advisors in Austin, Texas (2008-2010); AG Edwards & Sons in Austin, Texas (2000-2008); Morgan Keegan & Company in Memphis, Tennessee (1995-2001); Painewebber in Weehawken, New Jersey (1991-1995); Rotan Mosle (1989-1991); and Shearson Lehman Hutton in New York, New York (1986-1989). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and two pending customer complaints, and he has been terminated from two former employers in connection to alleged rule violations.

Published on:

Brittney SiasPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 20, 2018 indicate that former California-based Western International Securities broker Brittney Sias, also known as Rosalie Sias, has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Sias (CRD# 4274432).

Brittney Sias has spent 14 years in the securities industry and was most recently registered with Western International Securities in Westlake Village, California (2013-2017). Previous registrations include US Bancorp Investments in Culver City, California (2010-2011; 2012-2013); Primevest Financial Services in Los Angeles, California (2008-2010); Cuso Financial Services in Los Angeles, California (2008); Essex National Securities in West Hollywood, California (2007-2008); Cuna Brokerage Services in Los Angeles, California (2006-2007); Bancwest Investment Services in Culver City, California (2006); Financial West Group in Reno, Nevada (2003-2005); and Uboc Investment Services in Glendale, California (2001-2003). She has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on October 9, 2002, and Series 7 (General Securities Representative Examination), which she obtained on October 3, 2001. She is currently not registered with any state or firm.

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

Published on:

Mark SachsePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 20, 2018 indicate that former Kansas-based Ameriprise Financial Services broker/adviser Mark Sachse, who has received a pending customer dispute, was 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. Sachse (CRD# 5155260).

Mark Sachse has spent eleven years in the securities industry and was most recently registered with Ameriprise Financial Services in Overland Park, Kansas (2010-2018). He was previously registered with Robert W. Baird & Company in Kansas City, Missouri (2006-2010). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on August 25, 2008, and Series 7 (General Securities Representative Examination), which he obtained on July 28, 2006. He is currently not registered with any state or firm.

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

Published on:

James Clark

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 18, 2018 indicate that Texas-based Worth Financial Group broker/adviser James Clark has received customer disputes and regulatory sanctions. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Clark (CRD# 1225726).

James Clark has spent 34 years in the securities industry and has been registered with Worth Financial Group in Dallas and San Antonio, Texas since 2001. Previous registrations include Oxford Financial Group in Houston, Texas (1999-2003); Rushmore Securities Corporation in Dallas, Texas (1991-1999); Accredited Investors in Dallas, Texas (1986-1999); Anspacher Securities (1985-1986); PBS Securities (1984-1985); and Texas Securities (1984). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 28, 1992; Series 3 (National Commodity Futures Examination), which he obtained on April 19, 1984; Series 7 (General Securities Representative Examination), which he obtained on January 21, 1984; Series 28 (Introducing Broker/Dealer Financial Operations Principal Examination), which he obtained on June 5, 1991; and Series 24 (General Securities Principal Examination), which he obtained on August 15, 1984. He is a registered broker and investment adviser with seven US states: Arizona, Arkansas, Colorado, Kansas, Oklahoma, Texas, and Virginia.

According to his BrokerCheck report, he has received three customer complaints and four regulatory sanctions.

Published on:

Robert Abramowitz

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 18, 2018 indicate that New York-based National Securities Corporation broker/adviser Robert Abramowitz has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Abramowitz (CRD# 4437589).

Robert Abramowitz has spent 16 years in the securities industry and has been registered with National Securities Corporation in Melville, New York since September 2017. Previous registrations include Oppenheimer & Company in Jericho, New York (2016-2017); Raymond James Financial Services in Garden City, New York (2011-2016); Wells Fargo Advisors in Great Neck, New York (2005-2011); and David Lerner Associates in Syosset, New York (2001-2005). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 15, 2016; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 5, 2001; and Series 7 (General Securities Representative Examination), which he obtained on October 19, 2001. He is a registered broker and investment adviser with seven US states: California, Florida, New Jersey, New York, Tennessee, Texas, and Virginia. He is registered with two self-regulatory organizations (SROs): FINRA and the Nasdaq Stock Market.

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

Published on:

Joseph LudovicoPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 17, 2018 indicate that former New York-based Cantor Fitzgerald broker Joseph Ludovico recently resigned from his former employer in connection to alleged rule violations and was recently named in a state regulatory investigation. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ludovico (CRD# 3137825).

Joseph Ludovico has spent 18 years in the securities industry and was most recently registered with Cantor Fitzgerald in New York, New York (2000-2018). He has passed four securities industry examinations: Series 55 (Limited Representative-Equity Trader Exam), which he obtained on July 24, 2002; Series 7 (General Securities Representative Examination), which he obtained on March 13, 2000; and Series 24 (General Securities Principal Examination), which he obtained on May 12, 2016. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one regulatory sanction, was permitted to resign from his former employer, and was recently named in a regulatory investigation.