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Howard NiemoellerPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that California-based Ameriprise Financial Services broker/adviser Howard Niemoeller has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Niemoeller (CRD# 4744450).

Howard Niemoeller has spent 13 years in the securities industry and has been registered with Ameriprise Financial Services in Irvine, California since 2004. He was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota (2004-2006). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with eight US states and territories: Alabama, Arizona, California, Colorado, Kansas, Oregon, Texas and Washington.

According to his FINRA BrokerCheck report, he has received one pending customer complaint in connection to his employment at Ameriprise Financial Services.

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Felipe ArrietaPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that Florida-based Dakota Securities International broker/adviser Felipe Arrieta has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Arrieta (CRD# 4142123).

Felipe Arrieta has spent 14 years in the securities industry and has been registered with Dakota Securities International in Miami, Florida since July 2016. Previous registrations include Revere Securities in Boca Raton, Florida; Westpark Capital in Boca Raton, Florida; Bolton Global Capital in Miami, Florida; Capital Guardian in Miami, Florida; Jesup & Lamont Securities in Fort Lauderdale, Florida; VFinance Investments in Boca Raton, Florida; Newbridge Securities Corporation in Boca Raton, Florida; AXA Advisors in New York, New York; and JB Oxford & Company in Sherman Oaks, California. He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is registered as a broker and investment adviser in Florida.

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

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James McCloskeyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that California-based Securian Financial Services broker/adviser James McCloskey has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McCloskey (CRD# 2844851).

James McCloskey has spent 20 years in the securities industry and has been registered with Securian Financial Services in Newport Beach, California since 1997. He was previously registered with NSHD Financial and Insurance Services in Newport Beach, California (2001-2005). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 6 (Investment Company Products/Variable Contracts Representative Examination); and Series 24 (General Securities Principal Examination). He is registered as a broker and investment adviser in California.

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

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Karen Degro

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that California and Puerto Rico-based UBS Financial Services broker/adviser Karen Degro has received several resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Degro (CRD# 5048237).

Karen Degro has spent eleven years in the securities industry and has been registered with UBS Financial Services in Palo Alto, California; Mayaguez, Puerto Rico; San Juan, Puerto Rico; and Ponce, Puerto Rico since 2006. She has also registered with UBS Financial Services Incorporated of Puerto Rico in Ponce, Puerto Rico since 2006. She has no previous registrations. She is a registered broker and investment adviser with three US states and territories: California, Florida and Puerto Rico.

According to her BrokerCheck report, she has received four customer complaints and three pending customer complaints.

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Charles MarstonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that Ohio-based UBS Financial Services broker/adviser Charles Marston has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Marston (CRD# 320926).

Charles Marston has spent 47 years in the securities industry and has been registered with UBS Financial Services in Cleveland, Ohio since 1995. Previous registrations include Kidder Peabody in New York, New York and Clark Dodge & Company. He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); PC (AMEX Put and Call Exam); Series 1 (Registered Representative Examination); Series 4 (Registered Options Principal Examination); Series 12 (NYSE Branch Manager Examination); and Series 40 (Registered Principal Examination). He is a registered broker and investment adviser with 32 US states and territories. He is registered with nine self-regulatory organizations, including: the Chicago Board Options Exchange, FINRA, NYSE American LLC, NYSE Arca, Inc., 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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Justin Deiter

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that New York-based Aegis Capital broker Justin Deiter has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Deiter (CRD# 5225102).

Justin Deiter has spent ten years in the securities industry and has been registered with Aegis Capital Corporation in Melville, New York since 2011. Previous registrations include Global Arena Capital Corporation in New York, New York (2010-2011) and Prestige Financial Center in Melville, New York (2007-2010). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker with 23 US states and territories: Alabama, Arizona, Arkansas, California, Colorado, Connecticut, Florida, Illinois, Kansas, Maryland, Massachusetts, Minnesota, Mississippi, Missouri, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Washington and Wisconsin. He is registered with FINRA and the Nasdaq Stock Market.

According to his BrokerCheck report, he has received one pending customer complaint in connection to his employment at Aegis Capital.

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Leslie Koonce

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that California-based EK Riley Investments broker/adviser Leslie Koonce has been sanctioned by state authorities and named in a pending FINRA investigation. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Koonce (CRD# 1131758).

Leslie Koonce has spent 32 years in the securities industry and has been registered with EK Riley Investments in Menlo Park, California since 2015. Previous registrations include Cetera Advisor Networks in Menlo Park, California (2015); LPL Financial in Menlo Park, California (2009-2015); Associated Securities Corporation in Menlo Park, California (2004-2009); Main Street Management Company in Boston, Massachusetts (1999-2004); and Hornor Townsend & Kent in Horsham, Pennsylvania (1984-1998). He is a registered broker and investment adviser with 14 US states and territories: Alabama, Arizona, California, Colorado, Florida, Idaho, Illinois, Kansas, Massachusetts, New York, North Carolina, Oregon, Tennessee, and Washington.

According to his BrokerCheck report, he was recently sanctioned by state authorities and has been named in a pending FINRA investigation.

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Kenneth Neuner

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that former California-based TCFG Wealth Management broker/adviser Kenneth Neuner has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Neuner (CRD# 2719529).

Kenneth Neuner has spent 21 years in the securities industry and was most recently registered with TCFG Wealth Management in Laguna Niguel, California (2017). Previous registrations include Summit Brokerage Services in Dallas, Texas (2016-2017); VSR Financial Services in Dallas, Texas (1996-2016); and Dominion Capital Corporation in Dallas, Texas (1996). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent 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 a former employer in connection to alleged rule violations.

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Terrence Diehl

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that former Boston-based LPL Financial broker Terrence Diehl 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. Diehl (CRD# 2335297).

Terrence Diehl has spent 10 years in the securities industry and was most recently registered with LPL Financial in Boston, Massachusetts (2015-2016). Previous registrations include Joseph Gunnar & Company in New York, New York; Morgan Stanley in Purchase, New York; and Prudential Securities in New York, New York. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 65 (Uniform Investment Adviser Law Examination); and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Terrence Diehl has received one FINRA sanction and was terminated from a former employer.

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Dominic SaccaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 13, 2017 indicate that former Michigan-based Ameriprise Financial Services broker/adviser Dominic Sacca has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sacca (CRD# 2241670).

Dominic Sacca has spent 25 years in the securities industry and was most recently registered with Ameriprise Financial Services in Northville, Michigan (1992-2017). He was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota (1992-2006). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent 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 received three customer complaints and one pending customer complaint.