Published on:

Robert FrandenPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that Oklahoma-based Raymond James & Associates broker/adviser Robert Franden has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Franden (CRD# 2402061).

Robert Franden has spent 24 years in the securities industry and has been registered with Raymond James & Associates in Tulsa, Oklahoma since June 2018. Previous registrations include Morgan Stanley in Tulsa, Oklahoma (2009-2018); Morgan Stanley & Company in Tulsa, Oklahoma (2007-2009); Morgan Stanley DW in Tulsa, Oklahoma (2003-2007) Citigroup Global Markets in New York, New York (1998-2003); and Merrill Lynch in New York, New York (1993-1998). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 16, 1993; Series 63 (Uniform Securities Agent State Law Examination Nov 23, 1993), which he obtained on November 23, 1993; and Series 7 (General Securities Representative Examination), which he obtained on November 9, 1993. He is a registered broker and investment adviser with 26 US states and territories: Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Florida, Georgia, Hawaii, Illinois, Kansas, Kentucky, Louisiana, Michigan, Minnesota, New Jersey, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, Tennessee, Texas, and Virginia. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American, Nasdaq PHLX, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Published on:

Joseph EschlemanPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that California-based Purshe Kaplan Sterling broker/adviser Joseph Eschleman has been sanctioned by FINRA in connection to alleged rule violations and issued a suspension from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Eschleman (CRD# 3237843).

Joseph Eschleman has spent 18 years in the securities industry and has been registered with Purshe Kaplan Sterling Investments in Sacramento, California since August 2017. Previous registrations include Wells Fargo Clearing Services in Sacramento, California (2003-2017) and Prudential Securities in New York, New York (1999-2003). He is a registered broker and investment adviser with two US states: California and Pennsylvania.

According to his BrokerCheck report, he was recently sanctioned by FINRA and has received one customer complaint.

Published on:

Jeffrey ParsonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that Florida-based Morgan Stanley broker/adviser Jeffrey Parson has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Parson (CRD# 2491626).

Jeffrey Parson has spent 36 years in the securities industry and has been registered with Morgan Stanley in Coral Springs, Florida since 2009. Previous registrations include Morgan Stanley & Company in Coral Springs, Florida (2007-2009); Wachovia Securities in Coral Springs, Florida (2003-2007); Prudential Securities in New York, New York (2000-2003); Painewebber in Weehawken, New Jersey (1995-2000); Kidder Peabody & Company in New York, New York (1994-1995); Smith Barney Shearson in New York, New York (1993-1994); and Lehman Brothers in New York, New York (1982-1993). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 13, 1985; Series 3 (National Commodity Futures Examination), which he obtained on October 4, 1983; and Series 7 (General Securities Representative Examination), which he obtained on August 21, 1982. He is a registered broker and investment adviser with 32 US states and territories.

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

Published on:

Jason BeemPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that former Kentucky-based Morgan Stanley broker/adviser Jason Beem was recently 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. Beem (CRD# 3083143).

Jason Beem has spent nineteen years in the securities industry and was most recently registered with Morgan Stanley in Louisville, Kentucky (2011-2018). He was previously registered with UBS Financial Services in Louisville, Kentucky (1998-2011). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 15, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 1, 1998; Series 31 (Futures Managed Funds Examination), which he obtained on March 31, 2006; and Series 7 (General Securities Representative Examination), which he obtained on August 25, 1998. He is currently not registered with any state or firm.

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

Published on:

Andre Davis

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that New Jersey-based First Standard Financial Company broker Andre Davis has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Davis (CRD# 1417097).

Andre Davis has spent 18 years in the securities industry and has been registered with First Standard Financial Company in Red Bank, New Jersey since 2015. Previous registrations include National Securities Corporation in Red Bank, New Jersey (2012-2015); Brookstone Securities in Staten Island, New York (2010-2012); Newbridge Securities in Red Bank, New Jersey (2004-2010); LH Ross & Company in Boca Raton, Florida (2004); First Montauk Securities Corporation in Red Bank, New Jersey (2000-2004); and JW Barclay & Company in Woodbridge, New Jersey (2000). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 7, 2000 and Series 7 (General Securities Representative Examination), which he obtained on March 7, 2000. He is a registered broker with 39 US states and territories.

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

Published on:

Jesse WebbPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that Texas-based Oppenheimer & Company broker/adviser Jesse Webb, who has received several customer disputes, was recently named in a pending complaint by state regulatory authorities. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Webb (CRD# 2298761).

Jesse Webb has spent 25 years in the securities industry and has been registered with Oppenheimer & Company in The Woodlands, Texas since 2012. Previous registrations include Merrill Lynch in The Woodlands, Texas (2007-2012); UBS Financial Services in The Woodlands, Texas (2001-2007); and Morgan Stanley DW in Purchase, New York (1993-2001). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 13, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 9, 1993; Series 31 (Futures Managed Funds Examination), which he obtained on April 13, 1996; and Series 7 (General Securities Representative Examination), which he obtained on December 18, 1992. He is a registered broker and investment adviser with nine US states: Arizona, Florida, Indiana, Louisiana, Minnesota, Mississippi, Nevada, South Carolina, and Texas.

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

Published on:

Craig Bonn

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that New York-based National Securities broker Craig Bonn has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bonn (CRD# 2280460).

Craig Bonn has spent 25 years in the securities industry and has been registered with National Securities Corporation in New York, New York since 2016. Previous registrations include Laidlaw & Company in New York, New York (2004-2016); Sands Brothers & Company in New York, New York (1994-2004); Painewebber in Weehawken, New Jersey (1993-1994); and Lehman Brothers in New York, New York (1993-1994). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 3, 1993, and Series 7 (General Securities Representative Examination), which he obtained on February 19, 1993. He is a registered broker with 47 US states and territories.

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

Published on:

Frederick RandahnPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that former Utah-based Sigma Financial Corporation broker/adviser Frederick Randahn 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 speaking to investors who have complaints regarding Mr. Randahn (CRD# 1338801).

Frederick Randahn has spent 32 years in the securities industry and was most recently registered with Sigma Financial Corporation in Ogden, Utah (2012-2018). Previous registrations include Ameriprise Financial Services in Midvale, Utah (2009-2012); Ameriprise Advisor Services in Midvale, Utah (2009); Merrill Lynch in Ogden, Utah (1996-2009); FIS Securities in Boston, Massachusetts (1995-1996); Cigna Financial Advisors in Radnor, Pennsylvania (1987-1994); and Pruco Securities Corporation (1985-1988). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 2, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 29, 1988; Series 7 (General Securities Representative Examination), which he obtained on December 20, 1986; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 31, 1985. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was discharged from his former employer in connection to alleged rule violations.

Published on:

Daniel Winger

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that former Washington-based PFS Investments broker Daniel Winger 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 hearing from investors who have complaints regarding Mr. Winger (CRD# 1542674).

Daniel Winger has spent thirty-one years in the securities industry and was registered with PFS Investments in Federal Way, Washington from 1986 until August 2018. He has no previous registrations. He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 12, 1986; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 13, 1986; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on November 8, 1988. He is currently not registered with any state or firm.

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

Published on:

Adam Moldof

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that Florida-based Wells Fargo Clearing Services broker/adviser Adam Moldof has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Moldof (CRD# 2657404).

Adam Moldof has spent 22 years in the securities industry and has been registered with Wells Fargo Clearing Services in Boca Raton, Florida since 2003. He was previously registered with Prudential Securities in New York, New York (1995-2003). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 20, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 4, 1995; Series 31 (Futures Managed Funds Examination), which he obtained on November 5, 2003; and Series 7 (General Securities Representative Examination), which he obtained on November 20, 1995. He is a registered broker and investment adviser with 22 US states and territories: Arizona, California, Connecticut, the District of Columbia, Florida, Georgia, Illinois, Indiana, Maryland, Massachusetts, Michigan, Minnesota, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, Texas, Virginia, and Washington.

According to his BrokerCheck report, he has received one pending customer complaint and one customer complaint that was closed with no action taken.