Articles Posted in Customer Complaints

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Daniel Schapiro

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that New York-based Aegis Capital broker Daniel Schapiro has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Schapiro (CRD# 2335244).

Dan Schapiro has spent 23 years in the securities industry and has been registered with Aegis Capital Corporation in New York, New York since August 2017. Previous registrations include National Securities Corporation in Seattle, Washington; JP Turner & Company in Atlanta, Georgia; Northeast Securities in Mitchelfield, New York; Broadband Capital Management in New York, New York; Dalton Kent Securities Group in New York, New York; Argent Securities in Atlanta, Georgia; Monroe Parker Securities in Purchase, New York; and Biltmore Securities in Fort Lauderdale, Florida. He is a registered broker with four US states: California, Florida, New Jersey and New York.

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

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Joseph Caselle

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that California-based UBS Financial Services broker/adviser Joseph Caselle has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Caselle (CRD# 2277521).

Joseph Caselle has spent 24 years in the securities industry and has been registered with UBS Financial Services in Walnut Creek, California since August 2017. Previous registrations include Merrill Lynch in Walnut Creek, California; Banc of America Investment Services in Walnut Creek, California; WM Financial Services in Irvine, California; ASB Financial Services in Irvine, California; Wells Fargo Securities in San Francisco, California; ASB Financial Services in Irvine, California; Great Western Financial Services in Northridge, California; and Griffin Financial Services. 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 6 (Investment Company Products/Variable Contracts Representative Examination). He is a registered broker with 17 US states and territories: Arizona, California, Connecticut, the District of Columbia, Florida, Illinois, Michigan, Nevada, New Hampshire, New Mexico, New York, North Carolina, North Dakota, Oregon, South Carolina, Virginia and Washington.

According to his BrokerCheck report, Joseph Caselle has received one customer complaint.

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Jason ColesPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that California-based Centaurus Financial broker/adviser Jason Coles has received a FINRA sanction and several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Coles (CRD# 2632270).

Jason Coles has spent 21 years in the securities industry and has been registered with Centaurus Financial in Irvine, California since August 2017. Previous registrations include Financial West Group in Irvine, California; Torrey Pines Securities in San Diego, California; Securities America in Irvine, California; Wells Fargo Investments in Costa Mesa, California; and Fidelity Brokerage Services in Smithfield, Rhode Island. He is a registered broker and investment adviser with nine US states and territories: Arizona, California, Colorado, Florida, Louisiana, Nevada, Oregon, Texas, and Washington.

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

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Judy BatPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that former Colorado-based Waddell & Reed broker Judy Bat, also known as Judy Kaffenberger, has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Bat (CRD# 2933022).

Judy Bat has spent 16 years in the securities industry and was most recently registered with Waddell & Reed in Denver, Colorado (2006-2017). Previous registrations include AG Edwards & Sons in St. Louis, Missouri (2000-2003) and Dean Witter Reynolds in Purchase, New York (1997-2000). She has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she passed on September 1, 2016, and Series 7 (General Securities Representative Examination), which she passed on August 8, 2006. Ms. Bat is currently not registered with any state or firm.

According to her BrokerCheck report, Judy Bat has received one customer complaint.

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Patrick MaddrenPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that Florida-based Westpark Capital broker Patrick Maddren has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Maddren (CRD# 4665903).

Patrick Maddren has spent 13 years in the securities industry and has been registered with Westpark Capital in Fort Lauderdale, Florida since August 2017. Previous registrations include Laidlaw & Company in Fort Lauderdale, Florida (2012-2017); Dawson James Securities in Boca Raton, Florida (2009-2012); Prestige Financial Center in New York, New York (2007-2009); Great Eastern Securities in New York, New York (2005-2007); Sky Capital in New York, New York (2004-2005); and SW Bach & Company in Port Washington, New York (2004). 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 in Florida.

According to his BrokerCheck report, he has received one customer complaint and two unsatisfied tax liens.

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Hanh WilliamsPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that former Louisiana-based Morgan Stanley broker/adviser Hanh Williams was terminated 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. Williams (CRD# 2236266).

Hanh Williams has spent 23 years in the securities industry and was most recently registered with Morgan Stanley in Shreveport, Louisiana (2014-2017). Previous registrations include JP Morgan Securities in Shreveport, Louisiana (2012-2014); Chase Investment Services in Shreveport, Louisiana (2010-2012); the Leaders Group in Littleton, Colorado (2010); Lincoln Financial Securities Corporation in Shreveport, Louisiana (1998-2008); EQ Financial Consultants in New York, New York; and the Equitable Life Assurance Society in New York, New York (1992-1998). She has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). She is currently not registered with any state or firm.

According to her BrokerCheck report, she was terminated from a former employer and has received one customer complaint.

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Scott WallachPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that New Jersey-based Wells Fargo Clearing Services broker/adviser Scott Wallach has been sanctioned by FINRA and issued a suspension from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wallach (CRD# 3108314).

Scott Wallach has spent 19 years in the securities industry and has been registered with Wells Fargo Clearing Services in Paramus, New Jersey since 2003. Previous registrations include Prudential Securities in New York, New York; Painewebber in Weehawken, New Jersey; and Continental Broker-Dealer in Carle Place, New York. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 39 US states and territories.

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

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Randall Caruso

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 29, 2017 indicate that New York-based Morgan Stanley broker/adviser Randall Caruso has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Caruso (CRD# 2479432).

Randall Caruso has spent 23 years in the securities industry and has been registered with Morgan Stanley in New York, New York since 2010. He was previously registered with Merrill Lynch in New York, New York (1994-2010). 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 eleven US states and territories: California, Connecticut, Delaware, Florida, Georgia, Kansas, Michigan, Minnesota, New Jersey, New York and Texas.

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

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Neil NapoleonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 28, 2017 indicate that California-based Morgan Stanley broker/adviser Neil Napoleon received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Napoleon (CRD# 1493708).

Neil Napoleon has spent 30 years in the securities industry and has been registered with Morgan Stanley in Los Angeles and El Segundo, California since 2011. Previous registrations include RBC Capital Markets in Beverly Hills, California; UBS Painewebber in Weehawken, New Jersey; Wealth Resource Capital Corporation in Newport Beach, California; and Coast Financial Advisors. 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 22 (Direct Participation Programs Representative Examination). He is a registered broker and investment adviser with seven US states: Arizona, California, Florida, Massachusetts, Nevada, New York and Texas.

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

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Michael Sperlinga

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 29, 2017 indicate that California-based Morgan Stanley broker/adviser Michael Sperlinga has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sperlinga (CRD# 2471775).

Michael Sperlinga has spent 23 years in the securities industry and has been registered with Morgan Stanley in Carlsbad, California since 2011. He was previously registered with Merrill Lynch in Boston, Massachusetts (1994-2011). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 39 US states and territories.

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