Articles Posted in Customer Complaints

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Pete KlaasPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 15, 2017 indicate that Nevada-based Allegis Investment Services broker/adviser Pete Klaas has been named in a pending regulatory complaint as well as resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Klaas (CRD# 2381681).

Pete Klaas has spent 23years in the securities industry and has been registered with Allegis Investment Services in Las Vegas, Nevada since April 2017. Previous registrations include Allegis Investment Services in Idaho Falls, Idaho (2014-2017); Signator Financial Services in Idaho Falls, Idaho (2011-2014); LPL Financial in Idaho Falls, Idaho (2007-2011); Financial Network Investment Corporation in Idaho Falls, Idaho (2003-2007); Edward Jones in St. Louis, Missouri (2002-2003); Cuna Brokerage Services in Waverly, Iowa (1995-2002); WMA Securities in Duluth, Georgia (1994-1995); and Fidelity Brokerage Services in Smithfield, Rhode Island (1993-1994). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 1, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 25, 2017; Series 7 (General Securities Representative Examination), which he obtained on December 13, 1993; and Series 24 (General Securities Principal Examination), which he obtained on November 6, 2007. He is a registered broker and investment adviser with four US states and territories: Arizona, Idaho, Nevada and Utah..

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

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Delores KirkpatrickPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2018 indicate that Kansas-based Wells Fargo Clearing Services broker/adviser Delores Kirkpatrick, also known as Dee Kirkpatrick, has been involved in customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Caldwell (CRD# 725305).

Delores Kirkpatrick has spent 36 years in the securities industry and has been registered with Wells Fargo Clearing Services in Topeka, Kansas since 1990. Previous registrations include Blunt Ellis & Loewi (1983-1990) and BC Christopher Securities (1981-1983). She has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on July 8, 1999; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on March 18, 1981; Series 3 (National Commodity Futures Examination), which she obtained on October 4, 1982; and Series 7 (General Securities Representative Examination), which she obtained on February 21, 1981. She is a registered broker and investment adviser with 22 US states and territories: Arkansas, California, Colorado, Florida, Georgia, Illinois, Iowa, Kansas, Kentucky, Maryland, Missouri, Nebraska, New Jersey, New Mexico, North Carolina, Oklahoma, Oregon, Pennsylvania, Tennessee, Texas, Washington, and Wisconsin. She 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 her BrokerCheck report, she has received two customer complaints and two denied customer complaints.

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Levert CaldwellPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2018 indicate that New Jersey-based First Standard Financial Company broker Levert Caldwell, also known as Lee Caldwell, has received customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Caldwell (CRD# 4302934).

Levert Caldwell has spent 14 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 Corporation in Red Bank, New Jersey (2007-2010); Morgan Stanley DW in Purchase, New York (2005); LH Ross & Company in Boca Raton, Florida (2004); First Montauk Securities Corporation in Red Bank, New Jersey (2003-2004); and TD Waterhouse Investor Services in Omaha, Nebraska (2001-2003). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 10, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 24, 2001; Series 31 (Futures Managed Funds Examination), which he obtained on May 19, 2005; and Series 7 (General Securities Representative Examination), which he obtained on April 27, 2001. He is a registered broker with 32 US states and territories.

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

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George HalladPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2018 indicate that former Arizona-based Union Capital Company broker/adviser George Hallad has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hallad (CRD# 234371).

George Hallad has spent 45 years in the securities industry and was most recently registered with Union Capital Company in Tucson, Arizona (2009-2017). Previous registrations include Wedbush Morgan Securities in Palm Desert, California (2003-2009); Torrey Pines Securities in San Diego, California (1999-2003); JW Charles Securities in Boca Raton, Florida (1998); Whale Securities Company in New York, New York (2997-1998); Prudential Securities Company in New York, New York (1969-1996); Bache Halsey Stuart (1976); and Bache & Company (1969-1976). He has passed eight securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 27, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 21, 1983; Series 5 (Interest Rate Options Examination), which he obtained on November 19, 1981; Series 000 (General Securities Principal Examination), which he obtained on April 21, 1969; Series 1 (Registered Representative Examination), which he obtained on April 21, 1969; Series 4 (Registered Options Principal Examination), which he obtained on September 13, 1977; Series 40 (Registered Principal Examination), which he obtained on December 5, 1974; and Series 12 (NYSE Branch Manager Examination), which he obtained on November 21, 1974. He is currently not registered with any state or firm.

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

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Francisco AlmadaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2018 indicate that Arizona-based Union Capital Company broker/adviser Francisco Almada has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Almada (CRD# 1575694).

Francisco Almada has spent 26 years in the securities industry and has been registered with Union Capital Company in Tucson, Arizona since 2001. Previous registrations include Northeast Securities in Tucson, Arizona (2015-2016); Torrey Pines Securities in San Diego, California (1999-2001); Bench Securities Corporation in Fort Lee, New Jersey (1996-1997); WestAmerica Investment Group in Scottsdale, Arizona (1996); Wells Fargo Securities in San Francisco, California (1994); Banc One Arizona Investment Services Corporation (1993-1994); Lehman Brothers in New York, New York (1992-1993); Prudential-Bache Securities in New York, New York (1989-1990); and Dean Witter Reynolds in Purchase, New York (1986-1989). He has passed six securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on March 2, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 19, 1987; Series 3 (National Commodity Futures Examination), which he obtained on January 20, 2009; Series 7 (General Securities Representative Examination), which he obtained on November 15, 1986; Series 28 (Introducing Broker/Dealer Financial Operations Principal Examination), which he obtained on March 28, 2002; and Series 24 (General Securities Principal Examination), which he obtained on April 4, 1997. He is a registered broker and investment adviser with six US states: Arizona, California, Colorado, Georgia, Hawaii, and Indiana.

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

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Peter FentonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2018 indicate that Massachusetts-based Detwiler Fenton & Company broker Peter Fenton has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Fenton (CRD# 2334505).

Peter Fenton has spent 24 years in the securities industry and has been registered with Detwiler Fenton & Company in Boston, Massachusetts since 1993. He was previously registered with Detwiler Fenton Wealth Management in Boston, Massachusetts (2011-2015). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 15, 1993; Series 87 (Research Analyst Exam – Part II Regulations Module), which he obtained on February 1, 2005; Series 7 (General Securities Representative Examination), which he obtained on May 26, 1993; and Series 24 (General Securities Principal Examination), which he obtained on May 31, 2001. He is a registered broker with three US states: Massachusetts, New York, and Virginia.

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

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Douglas ChapmanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 11, 2018 indicate that New Jersey-based Securian Financial Services broker/adviser Douglas Chapman has received customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Chapman (CRD# 2230482).

Douglas Chapman has spent 25 years in the securities industry and has been registered with Securian Financial Services in Clark, New Jersey since 2004. He was previously registered with WS Griffith Securities in Hartford, Connecticut (1992-2004). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 4, 1993; Series 7 (General Securities Representative Examination), which he obtained on October 28, 1997; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 22, 1992. He is a registered broker and investment adviser with 22 US states and territories: California, Connecticut, Delaware, Florida, Georgia, Illinois, Maryland, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, South Carolina, Texas, Vermont, and Virginia.

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

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Mark Sachse

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 8, 2018 indicate that Oklahoma-based Purshe Kaplan Sterling broker/adviser Mark Sachse has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sachse (CRD# 2198070).

Mark Sachse has spent 20 years in the securities industry and has been registered with Purshe Kaplan Sterling Investments in Oklahoma City, Oklahoma since October 2017. Previous registrations include Wunderlich Securities in Dallas, Texas (2012-2017); Southwest Securities in Dallas, Texas (2002-2012); RBC Dain Rauscher in New York, New York (1998-2002); Dain Rauscher (1998); and Rauscher Pierce Refsnes in Dallas, Texas (1997-1998). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 5, 1997; Series 7 (General Securities Representative Examination), which he obtained on July 16, 1997; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on May 29, 2003; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on. He is a registered broker with eight US states: Alabama, Arkansas, Georgia, Illinois, Kansas, Oklahoma, Tennessee, and Texas.

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

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Mark JanowiakPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 8, 2018 indicate that Georgia-based Equity Services broker Mark Janowiak is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Janowiak (CRD# 1159663).

Mark Janowiak has spent 34 years in the securities industry and has been registered with Equity Services in Atlanta, Georgia since 2003. Previous registrations include New England Securities in New York, New York (1987-2003) and Penn Mutual Equity Services (1983-1987). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 6, 1983, and Series 7 (General Securities Representative Examination), which he obtained on September 17, 1983. He is a registered broker and investment adviser with four US states—Florida, Georgia, Montana, and Texas—and one self-regulatory organizations: FINRA.

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

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Gerald Repasz

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 8, 2018 indicate that Illinois-based Ausdale Financial Partners broker/adviser Gerald Repasz has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Repasz (CRD# 1273452).

Gerald Repasz has spent 32 years in the securities industry and has been registered with Ausdal Financial Partners in Peoria, Illinois since 2013. Previous registrations include Berthel Fisher & Company Financial Services in Peoria, Illinois (2002-2013); SII Investments in Appleton, Wisconsin (1998-2002); Fortis Investors in Oakdale, Minnesota (1992-1998); and MidAmerica Management Corporation in Cedar Rapids, Iowa (1985-1992). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 21, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 6, 1985; Series 7 (General Securities Representative Examination), which he obtained on November 9, 1994; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on March 6, 1985. He is a registered broker and investment adviser with 17 US states and territories: Arizona, Florida, Illinois, Indiana, Iowa, Kentucky, Louisiana, Michigan, Mississippi, Missouri, New Hampshire, New Mexico, Ohio, Pennsylvania, Tennessee, Texas and Wisconsin.

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