Articles Posted in Customer Complaints

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Sandra McKoyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 21, 2017 indicate that Florida-based Citigroup Global Markets broker/adviser Sandra McKoy has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. McKoy (CRD# 2954755).

Sandra McKoy has spent 19 years in the securities industry and has been registered with Citigroup Global Markets in Tamarac, Florida since May 2017. She was previously registered with Suntrust Investment Services in Lauderdale Lakes, Florida (1997-2017). She has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), Series 63 (Uniform Securities Agent State Law Examination), Series 26 (Investment Company Products/Variable Contracts Principal Examination) and Series 7 (General Securities Representative Examination). She is a registered broker and investment adviser with seven US states and territories: California, Connecticut, Florida, Georgia, Massachusetts, New Jersey and New York.

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

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Keith Fontenot

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 21, 2017 indicate that Louisiana-based Wells Fargo Clearing Services broker/adviser Keith Fontenot has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Fontenot (CRD# 2296303).

Keith Fontenot has spent 24 years in the securities industry and has been registered with Wells Fargo Clearing Services in Lafayette, Louisiana since 2003. He was previously registered with Prudential Securities in New York, New York (1993-2003). 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 thirteen US states and territories: Alabama, Arizona, California, Florida, Georgia, Kentucky, Louisiana, Mississippi, Ohio, Oklahoma, Tennessee, Texas and Utah.

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

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Dominic TropianoPublic records provided by the Financial Industry Regulatory Authority (FINRA) on June 21, 2017 indicate that former Ohio-based America Northcoast Securities broker Dominic Tropiano has received several 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. Tropiano (CRD# 4761462).

Dominic Tropiano has spent 10 years in the securities industry and was most recently registered with America Northcoast Securities in Cleveland, Ohio (2016). Previous registrations include Key Investment Services in Chagrin Falls, Ohio; Natcity Investments in Cleveland, Ohio; and McDonald Investments in Cleveland, Ohio. Series 66 (Uniform Combined State Law Examination); Series 31 (Futures Managed Funds Examination); and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

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

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Patrick HowellPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 21, 2017 indicate that Connecticut-based MML Investors Services broker/adviser Patrick Howell has been named in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Howell (CRD# 4759452).

Patrick Howell has spent 11 years in the securities industry and has been registered with MML Investors Services in Hamden, Connecticut since May 2017. Previous registrations include Ameriprise Financial Services in Troy, Michigan (2014-2015); Royal Alliance Associates in Birmingham, Michigan (2009-2014); Sigma Financial Corporation in Birmingham, Michigan (2009); National Planning Corporation in Novi, Michigan (2006-2009); and Investors Capital Corporation in Bingham Farms, Michigan (2004-2006). He has passed three securities industry examinations: Series 66 (Uniform Combined State 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 two US states: Connecticut and Michigan.

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

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Scott OlsonPublic records provided by the Financial Industry Regulatory Authority (FINRA) on June 21, 2017 indicate that Florida-based Financial West Group broker/adviser Scott Olson has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Olson (CRD# 711256).

Scott Olson has spent 36 years in the securities industry and has been registered with Financial West Group in Melbourne, Florida since 2014. Previous registrations include Merrimac Corporate Securities in Melbourne, Florida World Equity Group in Melbourne, Florida; Mutual Service Corporation in Melbourne, Florida; Eisner Securities in St. Louis, Missouri; SunAmerica Securities in Phoenix, Arizona; Cambridge Investment Research in Fairfield, Iowa; and Securities Service Network in Knoxville, Tennessee. He is a registered broker and investment adviser with 15 US states and territories.

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

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Alex MuscatiPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 21, 2017 indicate that Florida-based Morgan Stanley broker/adviser Alex Muscati has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Muscati (CRD# 2311373).

Alex Muscati has spent 23 years in the securities industry and has been registered with Morgan Stanley in Palm Harbor, Florida since 2012. Previous registrations include Merrill Lynch in Clearwater, Florida; Wachovia Securities in St. Louis, Missouri; Prudential Securities in New York, New York; Salomon Smith Barney in New York, New York; American Express Financial Advisors in Minneapolis, Minnesota; IDS Life Insurance Company in Minneapolis, Minnesota; and Chatfield Dean & Company in Greenwood Village, Colorado. He is a registered broker and investment adviser with 29 US states and territories.

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

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Joseph CotterPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on June 20, 2017 indicate that former North Carolina-based Petersen Investments broker Joseph Cotter has been named in a FINRA investigation and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Cotter (CRD# 1263122).

Joseph Cotter has spent 32 years in the securities industry and was most recently registered with Petersen Investments in Charlotte, North Carolina (2016-2017). Previous registrations include Next Financial Group in Charlotte, North Carolina; American Municipal Securities in Charlotte, North Carolina; Scott & Stringfellow in Richmond, Virginia; Wachovia Securities in Charlotte, North Carolina; Prudential Securities in New York, New York; Painewebber in Weehawken, New Jersey; and Dean Witter Reynolds. He is currently not affiliated with any broker-dealer firm.

According to his BrokerCheck report, Joseph Cotter has received two customer complaints and was named in a pending FINRA investigation.

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Heath BowenPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 20, 2017 indicate that Idaho-based Allegis Investment Services broker/adviser Heath Bowen has been named in a pending regulatory complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bowen (CRD# 4824684).

Heath Bowen has spent 12 years in the securities industry and has been registered with Allegis Investment Services in Idaho Falls, Idaho since 2014. Previous registrations include Signator Financial Services in Idaho Falls, Idaho; LPL Financial in Idaho Falls, Idaho; Beneficial Investment Services in Salt Lake City, Utah; and Equity Services in Idaho Falls, Idaho. He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 6 (Investment Company Products/Variable Contracts Representative Examination); and Series 24 (General Securities Principal Examination). He is a registered broker and investment adviser with eleven US states.

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

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Laurence PierronPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 15, 2017 indicate that Texas-based Morgan Stanley broker/adviser Laurence Pierron, also known as Chip Pierron, has been named in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pierron (CRD# 1465942).

Laurence Pierron has spent 31 years in the securities industry and has been registered with Morgan Stanley in Plano, Texas since 2011. Previous registrations include Southwest Securities in Plano, Texas; Merrill Lynch in McKinney, Texas; Fiserv Investor Services in Houston, Texas; Tradestar Investments in Houston, Texas; GR Phelps & Company; and Dean Witter Reynolds in Purchase, New York. He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 15 (Foreign Currency Options Examination); and Series 31 (Futures Managed Funds Examination). He is a registered broker and investment adviser with 11 US states and territories: Alabama, Arizona, Arkansas, California, Colorado, Indiana, Kansas, Ohio, Oklahoma, Pennsylvania, and Texas.

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

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Steven PagartanisPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 14, 2017 indicate that former New York-based Cadaret Grant & Company broker Steven Pagartanis has received 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. Pagartanis (CRD# 1958879).

Steven Pagartanis has spent 27 years in the securities industry and was most recently registered with Cadaret Grant & Company in Setauket, New York (2012-2017). Previous registrations include Woodbury Financial Services in East Setauket, New York; Cadaret Grant & Company in East Setauket, New York; Invest Financial Corporation in South Setauket, New York; Cadaret Grant & Company in Syracuse, New York; Yankee Financial Group in Melville, New York; Park Avenue Securities in New York, New York; Guardian Investor Services in New York, New York; Tower Square Securities in El Segundo, California; John Hancock Distributors in Boston, Massachusetts; John Hancock Mutual Life Insurance Company in Boston, Massachusetts; Pruco Securities Corporation in Newark, New Jersey; and the Prudential Life Insurance Company of America in Newark, New Jersey. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and one pending complaint, and resigned from his former employer.