Articles Posted in Customer Complaints

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John CasimirPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 14, 2018 indicate that New Hampshire-based Citizens Securities broker/adviser John Casimir has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Casimir (CRD# 5019141).

John Casimir has spent eleven years in the securities industry and has been registered with Citizens Securities in Bedford and Hooksett, New Hampshire since 2010. Previous registrations include TD Wealth Management Services in Nashua, New Hampshire (2009-2010); Bancnorth Investment Group in Nashua, New Hampshire (2008-2009); and Banc of America Investment Services in Manchester, New Hampshire (2006-2008). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on June 23, 2006; Series 7 (General Securities Representative Examination), which he obtained on June 7, 2006; and Series 24 (General Securities Principal Examination), which he obtained on October 10, 2006. He is a registered broker and investment adviser with five US states—Florida, Hawaii, Maine, Massachusetts, and New Hampshire—and one self-regulatory organization (SRO): FINRA.

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

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Thomas BelvinPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 13, 2018 indicate that Virginia-based Edward Jones broker/adviser Thomas Belvin has received several resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Belvin (CRD# 17778).

Thomas Belvin has spent 45 years in the securities industry and has been registered with Edward Jones in Newport News, Virginia since 1982. Previous registrations include FSC Securities Corporation (1981-1982); Waddell & Reed (1979-1981); Anchor National Financial Services (1978-1980); PLA Securities Corporation (1976-1977); and CG Equity Sales Company (1972-1976). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 2, 2009; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 8, 1982; and Series 1 (Registered Representative Examination), which he obtained on June 7, 1972. He is a registered broker and investment adviser with 27 US states and territories.

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

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Brian HusseyPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 13, 2018 indicate that former Florida-based Ameriprise Financial Services broker/adviser Brian Hussey has been sanctioned by FINRA 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. Hussey (CRD# 4640067).

Brian Hussey has spent ten years in the securities industry and was most recently registered with Ameriprise Financial Services in Tampa, Florida (2008-2018). He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 15, 2008, and Series 7 (General Securities Representative Examination), which he obtained on February 15, 2008. He is currently not registered with any state or firm.

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

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Steve BaptistPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 13, 2018 indicate that former New York-based Joseph Gunnar & Company broker Steve Baptist 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. Baptist (CRD# 5885870).

Steve Baptist has spent seven years in the securities industry and was most recently registered with Joseph Gunnar & Company in New York, New York (2014-2018). Previous registrations include MetLife Securities in Roseland, New Jersey (2013-2014) and Investors Capital in Greenwich, Connecticut (2011-2013). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 18, 2011, and Series 7 (General Securities Representative Examination), which he obtained on February 18, 2011. He is currently not registered with any state or firm.

According to his BrokerCheck report, Steve Baptist has received one denied customer complaint and was recently discharged from his former employer.

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Cara PaynterPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 8, 2018 indicate that California-based Wells Fargo Clearing Services broker/adviser Cara Paynter is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Paynter (CRD# 4687406).

Cara Paynter has spent 14 years in the securities industry and has been registered with Wells Fargo Clearing Services in Foothill Ranch, California since 2011. Previous registrations include Wells Fargo Clearing Advisors in Newport Beach, California (2010-2011); Northern Trust Securities in Newport Beach, California (2006-2010); Wells Fargo Investments in San Francisco, California (2004-2006); and Banc of America Investment Services in Boston, Massachusetts (2004). She has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on May 3, 2004, and Series 7 (General Securities Representative Examination), which she obtained on February 17, 2004. She is a registered broker and investment adviser with four US states: Arizona, California, Florida, and Indiana. 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 one pending customer complaint and one denied customer complaint.

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Terance PowerPublic records published by the Financial Industry Regulatory Authority (FINRA) on June 8, 2018 indicate that California-based Merrill Lynch broker/adviser Terance Power has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Power (CRD# 3259997).

Terance Power has spent 18 years in the securities industry and has been registered with Merrill Lynch in Beverly Hills, California since 2008. Previous registrations include UBS Financial Services in Beverly Hills, California (2001-2008) and Morgan Stanley in Purchase, New York (1999-2001). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 2, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 21, 1999; and Series 7 (General Securities Representative Examination), which he obtained on August 10, 1999. He is a registered broker and investment adviser with 13 US states and territories: Arizona, California, the District of Columbia, Florida, Hawaii, Nevada, New Jersey, New York, Oregon, Pennsylvania, Texas, Vermont, and Washington.

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

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Carol Chiarito

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 8, 2018 indicate that former Colorado-based Mutual of Omaha Investor Services broker Carol Chiarito was discharged from her 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 Ms. Chiarito (CRD# 4718887).

Carol Chiarito has spent 13 years in the securities industry and was most recently registered with Mutual of Omaha Investment Services Services in Pueblo, Colorado (2017-2018). Previous registrations include Signator Investors in Pueblo, Colorado (2016-2017); Transamerica Financial Advisors in Pueblo, Colorado (2012-2016); and New England Securities in Colorado Springs, Colorado (2004-2012). She has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on March 13, 2007, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on June 5, 2004. She is currently not registered with any state, firm or self-regulatory organization.

According to her BrokerCheck report, she was recently discharged from her former employer in connection to alleged rule violations and she has received one customer complaint that was closed with no action taken.

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Cory BataanPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 8, 2018 indicate that New York-based Aegis Capital broker Cory Bataan, who has received several customer disputes, has been sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bataan (CRD# 2755223).

Cory Bataan has spent 15 years in the securities industry and has been registered with Aegis Capital in Melville, New York since 2012. Previous registrations include Empire Asset Management in New York, New York (2008-2012); Ameritas Investment Corporation in New Hyde Park, New York (2007-2008); and Joseph Stevens & Company in Brooklyn, New York (1996-2001). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on February 11, 2008; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 30, 1996; Series 7 (General Securities Representative Examination), which he obtained on December 3, 2007; and Series 24 (General Securities Principal Examination), which he obtained on October 12, 2010. He is a registered broker with 25 US states and territories.

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

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William BlackfordPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 8, 2018 indicate that New York-based LPL Financial Services and Financial Resources Group Investment Services broker William Blackford has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Blackford (CRD# 1828411).

William Blackford has spent 28 years in the securities industry and has been registered with Financial Resources Group Investment Services and LPL Financial in Valley Stream, New York since 2018 and 2014. Previous registrations include Citigroup Global Markets in Rockville Centre, New York (2013-2014); Capital One Investment Services in Melville, New York (2010-2013); Citigroup Global Markets in Plainview, New York (2007-2010); Citicorp Investment Services in Plainview, New York (2007); HSBC Securities in Melville, New York (2005-2007); Citicorp Investment Services in Long Island City, New York (2004-2005); Park Avenue Securities in New York, New York (2003-2004); MetLife Securities in Springfield, Massachusetts (1999-2003); Metropolitan Life Insurance in New York, New York (1999-2003); Mony Securities in New York, New York (1994-1999); and NYLife Securities in New York, New York (1989-1994). He has passed six securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 13, 1988; Series 7 (General Securities Representative Examination), which he obtained on April 30, 2001; Series 22 (Direct Participation Programs Representative Examination), which he obtained on January 15, 1990; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 17, 1989; Series 24 (General Securities Principal Examination), which he obtained on May 25, 2001; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on February 23, 2001. He is a registered broker in New York.

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

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Sergio Rovner
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 6, 2018 indicate that New York-based Aegis Capital Corporation broker Sergio Rovner has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rovner (CRD# 2884441).

Sergio Rovner has spent 19 years in the securities industry and has been registered with Aegis Capital Corporation in New York, New York since 2014. Previous registrations include Rockwell Securities in New York, New York (2007-2014); Andrew Garrett Inc. in Uniondale, New York (2007); SW Bach & Company in Port Washington, New York (2000-2007); Morgan Taylor & Associates in Mineola, New York (1999); Capital International Securities Group in Miami, Florida (1998-1999); Wolff Investment Group in New York, New York (1998); WJ Nolan & Company in New York, New York (1997); and First United Equities Corporation in New York, New York (1997). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 3, 1997; Series 7 (General Securities Representative Examination), which he obtained on August 26, 1997; and Series 24 (General Securities Principal Examination), which he obtained on January 19, 1999. He is a registered broker with 27 US states and territories.

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