Articles Posted in Customer Complaints

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Jason FreemanPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 25, 2018 indicate that Florida-based Wells Fargo Clearing Services broker/adviser Jason Freeman has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Freeman (CRD# 2339472).

Jason Freeman has spent 24 years in the securities industry and has been registered with Wells Fargo Clearing Services in Boca Raton, Florida since 2009. Previous registrations include Banc of America Investment Services in Boca Raton, Florida (2003-2009); Citigroup Global Markets in New York, New York (1993-2003); Salomon Brothers in New York, New York (1997-1998); and Lehman Brothers in New York, New York (1993). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 20, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 13, 1993; and Series 7 (General Securities Representative Examination), which he obtained on May 5, 1993. He is a registered broker and investment adviser with 16 US states and territories: Alabama, California, Colorado, Delaware, Florida, Georgia, Illinois, Iowa, Massachusetts, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, and 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, two denied customer complaints, and one closed customer complaint.

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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.

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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.

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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.

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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.

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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.

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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.

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Joan NortonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 18, 2018 indicate that Florida-based International Assets Advisory broker/adviser Joan Norton has received resolved or pending customer disputes and a regulatory sanction. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Norton (CRD# 1777913).

Joan Norton has spent 30 years in the securities industry and has been registered with International Assets Advisory in Orlando, Florida since 2016. Previous registrations include Ausdal Financial Partners in Woburn, Massachusetts (2009-2016); Waterstone Financial Group in Woburn, Massachusetts (2003-2009); FSC Securities Corporation in Atlanta, Georgia (2001-2003); and Waddell & Reed in Overland Park, Kansas (1987-2001). She has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on March 11, 1997; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on December 15, 1987; Series 7 (General Securities Representative Examination), which she obtained on June 3, 1997; Series 22 (Direct Participation Programs Representative Examination), which she obtained on August 2, 1988; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on December 10, 1987. She is a registered broker and investment adviser with ten US states: Connecticut, Florida, Massachusetts, Michigan, New Hampshire, New Jersey, New York, North Carolina, Rhode Island, and Virginia.

According to her BrokerCheck report, she has received one customer complaint, one pending regulatory complaint and one regulatory sanction.

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John ForsterPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 17, 2018 indicate that DC-based Merrill Lynch broker/adviser John Forster has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Forster (CRD# 1303832).

John Forster has spent 33 years in the securities industry and has been registered with Merrill Lynch in Washington, DC since 2012. Previous registrations include Morgan Stanley in Washington, DC (2009-2012); Citigroup Global Markets in Washington, DC (1993-2009); Lehman Brothers in New York, New York (1988-1993); and EF Hutton & Company (1984-1988). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 12, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 28, 1984; Series 7 (General Securities Representative Examination), which he obtained on September 15, 1984; and Series 3 (National Commodity Futures Examination), which he obtained on May 11, 1984. He is a registered broker and investment adviser with 31 US states and territories.

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

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Joel Weber

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 17, 2018 indicate that former Minnesota-based Securities America broker Joel Weber has received customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Weber (CRD# 1717681).

Joel Weber has spent 30 years in the securities industry and has been registered with Securities America in Saint Cloud, Minnesota since October 2017. Previous registrations include SII Investments in Saint Cloud, Minnesota (2002-2017) and Franklin Financial Services Corporation in Houston, Texas (1987-2002). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 7, 1987; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 10, 1987; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on June 6, 2001. He is a registered broker with six US states: Arizona, Iowa, Minnesota, Oregon, Washington, and Wisconsin.

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