Articles Posted in Customer Complaints

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Robert RotunnoPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 20, 2017 indicate that New York-based National Securities broker Robert Rotunno has received several resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rotunno (CRD# 4025263).

Robert Rotunno has spent 17 years in the securities industry and has been registered with National Securities in New York, New York since January 2016. Previous registrations include Laidlaw & Company in New York, New York; Sands Brothers in New York, New York; Global Capital in Englewood, Colorado; Murphy & Durieu in New York; New York; and American Investment Services in Oklahoma City, Oklahoma. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker with 37 US states and territories.

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

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Michael GoldbergPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 20, 2017 indicate that New Jersey-based Morgan Stanley broker/adviser Michael Goldberg has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Goldberg (CRD# 1526794).

Michael Goldberg has spent 30 years in the securities industry and has been registered with Morgan Stanley in Short Hills, New Jersey since 2009. Previous registrations include Citigroup Global Markets in Short Hills, New Jersey (1993-2009) and Lehman Brothers in New York, New York (1986-1993). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 3 (National Commodity Futures Examination). He is a registered broker and investment adviser with 23 US states and territories.

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

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Kim Love

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 20, 2016 indicate that Florida-based Summit Brokerage Services broker/adviser Kim Love has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Love (CRD# 1242426).

Kim Love has spent 33 years in the securities industry and has been registered with Summit Brokerage Services in Boca Raton, Florida since 2005. Previous registrations include Wachovia Securities Financial Network in St. Louis, Missouri; JWGenesis Securities in Boca Raton, Florida; JW Charles Securities in Boca Raton, Florida; EF Hutton & Company; and Painewebber. She has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 24 (General Securities Principal Examination). She is a registered broker and investment adviser with 30 US states and territories.

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

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Charles CorrealPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 20, 2017 indicate that Pennsylvania-based Harvest Financial Corporation broker/adviser Charles Correal has received several resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Correal (CRD# 1366202).

Charles Correal has spent 31 years in the securities industry and has been registered with Harvest Financial Corporation in Pittsburgh, Pennsylvania since May 2016. Previous registrations include Morgan Stanley in Upper St. Clair, Pennsylvania; Morgan Stanley & Company in Pittsburgh, Pennsylvania; Morgan Stanley DW in Pittsburgh, Pennsylvania; and Janney Montgomery Scott in Cannonsburg, Pennsylvania. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with nine US states and territories: Arizona, California, Florida, Maryland, Ohio, Pennsylvania, Texas, Virginia and West Virginia.

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

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Joe Buckner

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 19, 2017 indicate that former Texas-based Brazos Securities broker/adviser Joe Buckner has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Buckner (CRD# 2187957).

Joe Buckner has spent 21 years in the securities industry and was most recently registered with Brazos Securities in Dallas, Texas (1996-2015). Previous registrations include Maplewood Investment Advisors in Dallas, Texas; La Jolla Capital Corporation in San Diego, California; and Merrill Lynch in New York, New York. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one FINRA sanction and one pending customer complaint, and has been named in a pending regulatory investigation.

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Stuart Horowitz
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 19, 2017 indicate that former Florida-based Securities America broker/adviser Stuart Horowitz has received several dozen resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Horowitz (CRD# 2795019).

Stuart Horowitz has spent nineteen years in the securities industry and was most recently registered with Securities America in Coral Gables, Florida (2009-2016). Previous registrations include NFP Securities in Coral Springs, Florida; Commonwealth Financial Network in Waltham, Massachusetts; Investacorp. in Miami, Florida; and Linsco/Private Ledger Corporation in Boston, Massachusetts. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received 33 customer complaints, five pending customer complaints, and one regulatory sanction.

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Joseph FarahPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2017 indicate that former California-based Gold Coast Securities broker Joseph Farah has been named in a pending FINRA complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Farah (CRD# 2978633).

Joseph Farah has spent seventeen years in the securities industry and was most recently registered with Gold Coast Securities in Irvine, California (2002-2015). Previous registrations include National Planning Corporation in El Segundo, California (1998-2002) and Financial Network Investment Corporation in El Segundo, California (1998). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), Series 6 (Investment Company Products/Variable Contracts Representative Examination) and Series 7 (General Securities Representative Examination). He is currently not affiliated with any broker-dealer firm.

According to his BrokerCheck report, Joseph Farah has received one pending customer complaint and one pending FINRA complaint.

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Peter Doyle

Public records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2017 indicate that former Maryland-based H. Beck broker/adviser Peter Doyle has received several customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Doyle (CRD# 2370593).

Peter Doyle has spent 21 years in the securities industry and was most recently registered with H. Beck in Bethesda, Maryland (2016-2017). Previous registrations include Morgan Stanley in Washington, DC; Morgan Stanley & Company in Washington, DC (2008-2009); Wachovia Securities in Washington, DC (2003-2008); and Prudential Securities in New York, New York (1995-2003). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received three customer complaints and was discharged from a former employer.

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Joseph ThurnherrPublic records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2017 indicate that New York-based Spartan Capital Securities broker Joseph Thurnherr has received several pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Thurnherr (CRD# 5045624).

Joseph Thurnherr has spent eight years in the securities industry and has been registered with Spartan Capital Securities in New York, New York since January 2017. Previous registrations include Windsor Street Capital in New York, New York; First Standard Financial Compliance Company in Staten Island, New York; National Securities Corporation in New York, New York; Obsidian Fianncial Group, which has been expelled by FINRA, in Red Bank, New Jersey; Legend Securities in New York, New York; National Securities in Iselin, New Jersey; and JP Turner & Company in Staten Island, New York. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker with ten US states and territories: California, the District of Columbia, Idaho, Iowa, Michigan, New Jersey, New York, Ohio, Pennsylvania, and Texas.

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

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Douglas LeonePublic records published by the Financial Industry Regulatory Authority (FINRA) on May 17, 2017 indicate that former New York-based Salomon Whitney Financial broker Douglas Leone has been sanctioned by FINRA and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Leone (CRD# 2453784).

Douglas Leone has spent 22 years in the securities industry and was most recently registered with Salomon Whitney Financial in Farmingdale, New York (2013-2017). Previous registrations include Newport Coast Securities in New York, New York; Basic Investors in Hicksville, New York; Joseph Stevens & Company in Brooklyn, New York; Advanced Planning Securities in Smithtown, New York; and Whitehall Wellington Investments in Port Washington, New York. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination).

According to his BrokerCheck report, Douglas Leone has received five customer complaints and one FINRA sanction.