Articles Posted in Customer Complaints

John Young

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that Maryland-based UBS Financial Services broker/adviser John Young has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Young (CRD# 2626571).

John Young has spent 23 years in the securities industry and has been registered with UBS Financial Services in Bethesda, Maryland since 2009. Previous registrations include Citigroup Global Markets in Bethesda, Maryland (2006-2009) and Legg Mason Wood Walker in Baltimore, Maryland (1995-2006). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 31, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 25, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on June 30, 2008; Series 7 (General Securities Representative Examination), which he obtained on July 19, 1995; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on January 3, 2000; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on December 3, 1999. He is a registered broker and investment adviser with 23 US states and territories: Arizona, California, Colorado, Connecticut, Delaware, the District of Columbia, Florida, Georgia, Kansas, Kentucky, Maine, Maryland, Massachusetts, Michigan, New Jersey, New Mexico, New York, North Carolina, Pennsylvania, Rhode Island, South Carolina, Tennessee, and Virginia.

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

Michael Greenfield Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that Florida-based Newbridge Securities broker/adviser Michael Greenfield has received several resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Greenfield (CRD# 5406611).

Michael Greenfield has spent 10 years in the securities industry and has been registered with Newbridge Securities Corporation in Boca Raton, Florida since 2017. Previous registrations include Oppenheimer & Company in Boca Raton, Florida (2013-2016); Morgan Stanley & Company in Boca Raton, Florida (2013); and The GMS Group in Boca Raton, Florida (2008-2013). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 23, 2009; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on February 6, 2008. He is a registered broker and investment adviser with seven US states and territories: California, Florida, Georgia, Maryland, Michigan, New York, and Texas.

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

Jonathan PynePublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that Minnesota-based Berthal Fisher & Company Financial Services broker/adviser Jonathan Pyne has received several resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pyne (CRD# 2580510).

Jonathan Pyne has spent 23 years in the securities industry and has been registered with Berthel Fisher & Company Financial Services in Minneapolis, Minnesota since 2007. Previous registrations include United Planners’ Financial Services of America in Minneapolis, Minnesota (2003-2007); Clearing Services of America in St. Louis, Missouri (1999-2003); 1717 Capital Management Company in Newark, Delaware (1997-1999); and WS Griffith & Company in Hartford, Connecticut (1995-1997). He is a registered broker and investment adviser with 18 US states and territories.

According to his BrokerCheck report, Mr. Pyne has received two customer complaints and two pending customer complaints.

Owen Hayes

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that former Texas-based Wells Fargo Clearing Services broker/adviser Owen Hayes has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hayes (CRD# 2940457).

Owen Hayes has spent 21 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in Dallas, Texas (2011-2019). Previous registrations include Wells Fargo Investments in Plano, Texas (2002-2011); Hibernia Investments in New Orleans, Louisiana (1997-2001); and Pruco Securities Corporation in Newark, New Jersey (1997). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 2, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 18, 1997; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on June 17, 1999; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 2, 1997. He is currently not registered with any state or firm.

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

Jeffrey LarsonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that Missouri-based Arete Wealth Management broker/adviser Jeffrey Larson has received pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Larson (CRD# 4836889).

Jeffrey Larson has spent 14 years in the securities industry and has been registered with Arete Wealth Management in Kirkwood, Missouri since August 2017. Previous registrations include Larson Financial Securities in Saint Louis, Missouri (2010-2017); Financial Network Investment Corporation in Minneapolis, Minnesota (2006-2010); CRI Securities in Minneapolis, Minnesota (2004-2006); and Securian Financial Services in St. Louis, Missouri (2004-2006). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 16, 2004; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on October 16, 2004. He is a registered broker and investment adviser with 35 US states and territories.

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

Petar ArizanovPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that New York-based Oppenheimer & Company broker/adviser Petar Arizanov has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Arizanov (CRD# 4804419).

Petar Arizanov has spent 14 years in the securities industry and has been registered with Oppenheimer & Company in New York, New York since 2013. Previous registrations include Fidelity Brokerage Services in New York, New York (2009-2013); National Securities Corporation in New York, New York (2007-2008); and Gunnallen Financial in Westbury, New York (2004-2007). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 3, 2013; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 2, 2004; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on June 23, 2004; and Series 24 (General Securities Principal Examination), which he obtained on June 2, 2008. He is a registered broker and investment adviser with 13 US states and territories: California, Connecticut, the District of Columbia, Florida, Georgia, Illinois, Maryland, Massachusetts, Michigan, New Jersey, New York, Pennsylvania, and Texas. He is registered with self-regulatory organizations (SROs): Cboe Exchange Inc., FINRA, NYSE American LLC, NYSE Arca Inc., NYSE Chicago Inc., 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 customer complaint, one pending customer complaint, and one customer complaint that was closed with no action taken.

Christopher CavallaroPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that Massachusetts-based LPL Financial broker/adviser Christopher Cavallaro has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cavallaro (CRD# 2125009).

Christopher Cavallaro has spent 28 years in the securities industry and has been registered with LPL Financial in Waltham, Massachusetts since 2016. Previous registrations include Lincoln Financial Advisors Corporation in Waltham, Massachusetts (2003-2006); The Lincoln National Life Insurance Company in Waltham, Massachusetts (2003-2006); and Veravest Investments in Worcester, Massachusetts (1991-2003). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 18, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 8, 1991; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on August 15, 1996; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 23, 1991. He is a registered broker and investment adviser with 22 US states and territories: Alaska, California, Colorado, Connecticut, Florida, Georgia, Idaho, Maine, Maryland, Massachusetts, Michigan, Minnesota, New Hampshire, New Jersey, New York, North Carolina, Rhode Island, South Carolina, South Dakota, Texas, Vermont, and Virginia.

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

Mark ZaharskiPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 26, 2018 indicate that Illinois-based UBS Financial Services broker/adviser Mark Zaharski is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Zaharski (CRD# 1345372).

Mark Zaharski has spent thirty-three years in the securities industry and has been registered with UBS Financial Services in Chicago, Illinois since 1990. He was previously registered with Shearson Lehman Hutton in New York, New York (1985-1990). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 13, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 25, 1985; Series 3 (National Commodity Futures Examination), which he obtained on April 22, 1985; Series 7 (General Securities Representative Examination), which he obtained on March 16, 1985; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on December 16, 1992. He is a registered broker and investment adviser with 39 US states and territories and with nine self-regulatory organizations (SROs): BOX Exchange LLC, Cboe Exchange Inc., FINRA, NYSE American LLC, NYSE Arca Inc., 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.

Thomas NorthPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 26, 2018 indicate that California-based Wells Fargo Clearing Services broker/adviser Thomas North has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. North (CRD# 723949).

Thomas North has spent 37 years in the securities industry and has been registered with Wells Fargo Clearing Services in Carmel, California since 2012. Previous registrations include Merrill Lynch in Carmel, California (2005-2012) and Morgan Stanley DW in Purchase, New York (1980-2005). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 8, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 8, 1980; Series 5 (Interest Rate Options Examination), which he obtained on April 30, 1982; and Series 7 (General Securities Representative Examination), which he obtained on October 18, 1980. He is a registered broker and investment adviser with 15 US states and territories: Arizona, Arkansas, California, Colorado, Hawaii, Maryland, Massachusetts, Montana, Nevada, New York, Oklahoma, Oregon, Pennsylvania, Texas, 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 pending customer complaint and two denied customer complaints.

William Riley

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 25, 2018 indicate that a current Riley Wealth Advisor and former Texas-based Silver Oak Securities broker/adviser William Riley, who has received resolved or pending customer disputes, recently resigned 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. Riley (CRD# 1493287).

William Riley has spent 32 years in the securities industry and was most recently registered as a broker with Silver Oak Securities in Fort Worth, Texas (2008-2018); he is currently registered as an investment adviser with Riley Wealth Advisors in Fort Worth, Texas, where he has been registered since 2008. Previous registrations include Raymond James & Associates in Fort Worth, Texas (2002-2008); UBS Painewebber in Weehawken, New Jersey (2000-2002); JC Bradford & Company in New York, New York (1998-2000); Merrill Lynch in New York, New York (1993-1998); Jefferson-Pilot Investor Services in Fort Wayne, Indiana (1991-1993); Amev Investors in Oakdale, Minnesota (1990-1991); USLife Equity Sales Corporation in New York, New York (1986-1990); and Philadelphia Life Asset Planning Company (1986). He has passed six securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 9, 1986; Series 3 (National Commodity Futures Examination), which he obtained on August 31, 2001; Series 7 (General Securities Representative Examination), which he obtained on June 8, 1993; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 13, 1986; Series 24 (General Securities Principal Examination), which he obtained on January 6, 2003; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on November 26, 1996. He is currently not registered as a broker with any state or firm.

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