Articles Posted in Breached contract

Published on:

William KoenigPublic records published by the Financial Industry Regulatory Authority (FINRA) on May 16, 2018 indicate that Florida-based JW Cole Financial broker/adviser William Koenig has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Koenig (CRD# 1507868).

William Koenig has spent 31 years in the securities industry and has been registered with JW Cole Financial in Spring Hill, Florida since 2009. Previous registrations include Raymond James Financial Services in Spring Hill, Florida (2000-2009); AG Edwards & Sons in St. Louis, Missouri (1988-2000); Fitzgerald Dearman & Roberts (1987-1990); and the Stuart-James Company (1987). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 9, 1987; Series 7 (General Securities Representative Examination), which he obtained on May 16, 1987; and Series 24 (General Securities Principal Examination), which he obtained on February 21, 2001. He is a registered broker and investment adviser with four US states: Florida, Illinois, New Jersey, and New York.

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

Published on:

shutterstock_164764706-300x185Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 16, 2018 indicate that Florida-based Wells Fargo Clearing Services broker/adviser John Kellar has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kellar (CRD# 1436046).

John Kellar has spent 32 years in the securities industry and has been registered wth Wells Fargo Clearing Services in Fort Lauderdale, Florida since 2003. Previous registrations include Prudential Securities in New York, New York (1999-2003); Dean Witter Reynolds in Purchase, New York (1992-1999); Morgan Keegan & Company in Memphis, Tennessee (1990-1993); Raymond James & Associates in St. Petersburg, Florida (1987-1990); and Painewebber (1985-1987). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 18, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 9, 1986; Series 31 (Futures Managed Funds Examination), which he obtained on May 21, 2003; and Series 7 (General Securities Representative Examination), which he obtained on December 14, 1985. He is a registered broker and investment adviser with 16 US states and territories: Alabama, Florida, Georgia, Kansas, Maryland, Massachusetts, Missouri, New Jersey, New York, North Carolina, Ohio, Texas, Utah, Virginia, Washington, and West Virginia. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American 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 and four customer complaints that were withdrawn, denied or dismissed.

Published on:

Sam PiehPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 7, 2018 indicate that Oregon-based American Independent Securities Group broker/adviser Sam Pieh has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Pieh (CRD# 1321892).

Sam Pieh has spent 33 years in the securities industry and has been registered with American Independent Securities Group in Lake Oswego, Oregon since 2015. Previous registrations include JHD Capital Advisors in Portland, Oregon (2012-2015); Paulson Investment Company in Portland, Oregon (2002-2012); First Union Securities in St. Louis, Missouri (1998-2002); Dain Rauscher in New York, New York (1998-1998); Dain Rauscher (1995-1998); Painewebber in Weehawken, New Jersey (1990-1995); Prudential-Bache Securities in New York, New York (1988-1990); Kidder Peabody & company (1985-1988); and the Equitable Life Assurance Society of the United States (1985). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 24, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 20, 1985; Series 3 (National Commodity Futures Examination), which he obtained on December 11, 1985; and Series 7 (General Securities Representative Examination), which he obtained on December 15, 1984. He is a registered broker and investment adviser with eight US states: California, Colorado, Iowa, Montana, New York, Oregon, Utah, and Washington.

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

Published on:

Phil Scott

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 24, 2017 indicate that Washington-based Merrill Lynch broker/adviser Phil Scott, also known as Walter Schlaepfer, has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Scott (CRD# 1306585).

Phil Scott has spent 33 years in the securities industry and has been registered with Merrill Lynch in Bellevue, Washington since 1984. He has no previous registrations. he has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 31 (Futures Managed Funds Examination); Series 3 (National Commodity Futures Examination); Series 7 (General Securities Representative Examination); and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]). He is a registered broker and investment adviser with 51 US states and territories.

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