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Reynold Vaughan IIIPublic records published by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that New York-based SW Financial broker Reynold Vaughan III has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Vaughan (CRD# 1025788).

Reynold Vaughan has spent 24 years in the securities industry and has been registered with SW Financial in Melville, New York since 2009. Previous registrations include Prestige Financial Center in Garden City, New York (2008-2009); Maximum Financial Investment Group in Hicksville, New York (2007-2008); Great Eastern Securities in Syosset, New York (2004-2007); Kirlin Securities in Syosset, New York (1996-2004); Fahnestock & Company in New York, New York (1994); Reich & Company (1991-1994); Dean Witter Reynolds in Purchase, New York (1990-1991); Shearson Lehman Hutton in New York, New York (1988-1990); and Merrill Lynch (1982-1988). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 16, 1988; Series 5 (Interest Rate Options Examination), which he obtained on January 26, 1982; and Series 7 (General Securities Representative Examination), which he obtained on December 19, 1981. He is a registered broker with eleven US states: Arizona, California, Indiana, Iowa, Montana, New Jersey, New York, Pennsylvania, South Carolina, Texas, and West Virginia.

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

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Mel Hertz
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 23, 2018 indicate that Hawaii-based Strategic Financial Alliance broker/adviser Mel Hertz is involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hertz (CRD# 707875).

Mel Hertz has spent 37 years in the securities industry and has been registered with The Strategic Financial Alliance in Kailua, Hawaii since 2003. Previous registrations include IFG Network Securities in Atlanta, Georgia (1992-2003); Derand/Pennington/Bass (1988-1992); EA Company (1982-1988); R&E Investments (1982); and S&E Investments (1980-1981). He has passed seven securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 21, 1987; Series 7 (General Securities Representative Examination), which he obtained on September 15, 1984; Series 1 (Registered Representative Examination), which he obtained on April 18, 1980; Series 53 (Municipal Securities Principal Examination), which he obtained on February 1, 1985, Series 24 (General Securities Principal Examination), which he obtained on January 5, 1985; Series 39 (Direct Participation Programs Principal Examination), which he obtained on October 2, 1982; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on October 2, 1982. He is a registered broker and investment adviser with 16 US states and territories: Arizona, California, Colorado, the District of Columbia, Florida, Hawaii, Maryland, Massachusetts, Michigan, Nevada, New Mexico, North Carolina, Ohio, Oregon, Texas, and Washington.

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

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Marlyn McClainPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 23, 2018 indicate that Iowa and Nebraska-based NYLife Securities broker Marlyn McClain has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. McClain (CRD# 325415).

Marlyn McClain has spent 41 years in the securities industry and has been registered with NYLife Securities in Council Bluffs, Iowa and Omaha, Nebraska since 1982. She was previously registered with New York Life Variable Contracts Corporation (1974-1979). She has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on September 21, 1984, and Series 1 (Registered Representative Examination), which she obtained on May 10, 1974. She is a registered broker and investment adviser with 20 US states and territories: Arizona, Arkansas, California, Colorado, Florida, Georgia, Illinois, Iowa, Kansas, Minnesota, Missouri, Nebraska, New Jersey, New York, Oklahoma, South Carolina, South Dakota, Texas, Washington, and Wisconsin.

According to her BrokerCheck report, she has received two customer complaints and one pending customer complaint.

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Michael MarlowePublic records provided by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that New York-based Signator Investors broker Michael Marlowe has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Marlowe (CRD# 2246020).

Michael Marlowe has spent 25 years in the securities industry and has been registered with Signator Investors in Williamsville, New York since 2005. Previous registrations include NYLife Securities in New York, New York (2004-2005); Pruco Securities in Newark, New Jersey (2001-2003); NYLife Securities in New York, New York (1999-2001); and Pruco Securities in Newark, New Jersey (1992-1999). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 16, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 27, 1992; Series 7 (General Securities Representative Examination), which he obtained on February 19, 2002; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 27, 1992; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on June 27, 2001. He is a registered broker with four US states: Arizona, Florida, Nevada, and New York.

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

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Russell CappelenPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 23, 2018 indicate that Florida-based UBS Financial Services broker/adviser Russell Cappelen has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cappelen (CRD# 1261781).

Russell Cappelen has spent 34 years in the securities industry and has been registered with UBS Financial Services in Vero Beach, Florida 1999. Previous registrations include New York, New York (1988-1999) and Merrill Lynch (1984-1988). He has received five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 13, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 6, 1984; Series 3 (National Commodity Futures Examination), which he obtained on January 5, 1990; Series 7 (General Securities Representative Examination), which he obtained on May 19, 1984; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on July 25, 1994. He is a registered broker and investment adviser with 21 US states and territories: Alabama, California, Connecticut, Florida, Georgia, Illinois, Indiana, Kentucky, Maryland, Michigan, Missouri, Nevada, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Tennessee, Texas, Vermont, and Virginia.

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

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Bradley FordPublic records provided by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that Indiana-based USA Financial Securities Corporation broker/adviser Bradley Ford has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ford (CRD# 1649604).

Bradley Ford has spent 30 years in the securities industry and has been registered with USA Financial Securities Corporation in Evansville, Jasper, and Fishers, Indiana since 2006. Previous registrations include Investors Capital Corporation in Lynnfield, Massachusetts (2004-2005); Intersecurities in St. Petersburg, Florida (2000-2004); Park Avenue Securities in New York, New York (1999-2000); Guardian Investor Services Corporation in New York, New York (1993-1999); New England Securities in New York, New York (1987-1993); and the Saxon Group (1987). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 31, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 17, 1987; Series 7 (General Securities Representative Examination), which he obtained on April 14, 2006; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 16, 1987. He is a registered broker and investment adviser with nine US states: Florida, Illinois, Indiana, Kentucky, Missouri, North Carolina, Ohio, Tennessee, and Texas.

According to his BrokerCheck report, Bradley Ford has received three customer complaints, one pending customer complaint, and three regulatory sanctions.

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George DancePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that Alabama and Mississippi-based Wells Fargo Clearing Services broker/adviser George Dance is involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Dance (CRD# 2112036).

George Dance has spent 27 years in the securities industry and has been registered with Wells Fargo Clearing Services in Daphne, Alabama; Biloxi, Mississippi; Gulfport, Mississippi; Ocean Springs, Mississippi; and Pascagoula, Mississippi since 2012. Previous registrations include Morgan Stanley Smith Barney in Mobile, Alabama (2009-2012); Citigroup Global Markets in Mobile, Alabama (2006-2009); Amsouth Investment Services in Mobile, Alabama (2002-2006); Wachovia Securities in St. Louis, Missouri (2002); Wachovia Securities in Charlotte, North Carolina (1993-2002); First Union Brokerage Services in Charlotte, North Carolina (2000); and Edward D. Jones & Company in St. Louis, Missouri (1990-1993). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 29, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 14, 1990; Series 31 (Futures Managed Funds Examination), which he obtained on April 8, 1999; Series 7 (General Securities Representative Examination), which he obtained on December 11, 1990; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on December 12, 2000; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on October 26, 2000. He is a registered broker and investment adviser with Alabama, California, Connecticut, Florida, Georgia, Idaho, Kansas, Louisiana, Michigan, Mississippi, Nevada, New York, Oregon, and Texas.

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

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Eric Miller

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 21, 2018 indicate that Florida-based Oppenheimer & Company broker Eric Miller has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Miller (CRD# 2687217).

Eric Miller has spent twenty-one years in the securities industry and has been registered with Oppenheimer & Company in Palm Beach Gardens, Florida since 2013. He was previously registered with FMSbonds in Boca Raton, Florida (1996-2013). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 12, 1997, and Series 7 (General Securities Representative Examination), which he obtained on October 30, 1996. He is a registered broker with 26 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Georgia, Hawaii, Maine, Maryland, Massachusetts, Michigan, Minnesota, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, South Carolina, Texas, Virginia, Washington, and West Virginia. He is registered with nine self-regulatory organizations (SROs): Cboe Exchange, the Chicago Stock Exchange, FINRA, NYSE American LLC, NYSE Arca, 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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Michael SolomonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that New York-based Maxim Group broker Michael Solomon has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Solomon (CRD# 2024161).

Michael Solomon has spent 28 years in the securities industry and has been registered with Maxim Group in New York, New York since 2011. Previous registrations include HFP Capital Markets in New York, New York (2009-2011); Joseph Gunnar & Company in New York, New York (2007-2009); Oppenheimer & Company in New York, New York (2002-2007); Prime Charter in New York, New York (1997-2002); and DH Blair & Company in New York, New York (1990-1998). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 1, 1990; Series 7 (General Securities Representative Examination), which he obtained on January 20, 1990; and Series 24 (General Securities Principal Examination), which he obtained on December 21, 2009. He is a registered broker with 39 US states and territories.

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