Articles Posted in Customer Complaints

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Laurence RossbachPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 6, 2017 indicate that former New York-based Morgan Stanley broker/adviser Laurence Rossbach has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rossbach (CRD# 405296).

Laurence Rossbach has spent 43 years in the securities industry and was most recently registered with Morgan Stanley in New York, New York (2009-2017). Previous registrations include Citigroup Global Markets in New York, New York (1989-2009); Drexel Burnham Lambert (1977-1989); and Drexel Burnham & Company (1973-1976). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on Jul 19, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 27, 1980; Series 31 (Futures Managed Funds Examination), which he obtained on October 28, 1993; PC (AMEX Put and Call Exam), which he obtained on December 7, 1993; and Series 00 (General Securities Principal Examination), which he obtained on June 25, 1973. He is not currently registered with any state or firm.

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

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David WeinsteinPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 6, 2017 indicate that Florida-based Dawson James Securities broker/adviser David Weinstein has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Weinstein (CRD# 1370869).

David Weinstein has spent 22 years in the securities industry and has been registered with Dawson James Securities in Boca Raton, Florida since 2005. Previous registrations include National Securities Corporation in Seattle, Washington (2001-2005); Sterling Financial Investment Group in Boca Raton, Florida (2000-2001); Joseph Charles & Associates in Boca Raton, Florida (1994-2000); Comprehensive Capital Corporation in Great Neck, New York (1991-1994); GK Scott & Company in Plainview, New York (1987-1991); and the Stuart-James Company (1985-1987). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtanied on June 18, 1995; Series 7 (General Securities Representative Examination), which he obtanied on May 18, 1985; and Series 24 (General Securities Principal Examination), which he obtanied on February 11, 1988. He is a registered broker and investment adviser with 18 US states and territories: Arizona, California, Colorado, the District of Columbia, Florida, Kansas, Louisiana, Massachusetts, Michigan, Missouri, New Hampshire, New Jersey, New Mexico, New York, Oklahoma, Pennsylvania, Texas and Virginia. He is registered with two self-regulatory organizations (SROs): FINRA and the Nasdaq Stock Market.

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

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Justin Vaccaro

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 6, 2017 indicate that Oregon-based JW Cole Financial broker/adviser Justin Vaccaro has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Vaccaro (CRD# 5434168).

Justin Vaccaro has spent ten years in the securities industry and has been registered with JW Cole Financial in Eugene, Oregon since May 2017. Previous registrations include Raymond James Financial Services in Eugene, Oregon (2009-2017) and RBC Capital Markets in Eugene, Oregon (2007-2009). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 21, 2007; Series 7 (General Securities Representative Examination), which he obtained on December 6, 2007; and Series 24 (General Securities Principal Examination), which he obtained on March 21, 2015. He is a registered broker and investment adviser with eight US states and territories: Arizona, California, Colorado, Idaho, Iowa, New Hampshire, Oregon and Washington.

According to his BrokerCheck report, he has received one customer complaint and two pending customer complaints, and he was discharged from a former employer in connection to alleged rule violations.

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John Loveland

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 6, 2017 indicate that Michigan-based Ameriprise Financial Services broker/adviser John Loveland has received several pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Loveland (CRD# 4770269).

John Loveland has spent 13 years in the securities industry and has been registered with Ameriprise Financial Services in Livonia and Grand Rapids, Michigan since 2004. He was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota (2004-2006). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 23, 2010, and Series 7, which he obtained on May 25, 2004 (General Securities Representative Examination). He is a registered broker and investment adviser with 15 US states and territories: California, the District of Columbia, Florida, Illinois, Maine, Massachusetts, Michigan, Missouri, Nevada, New Hampshire, New Jersey, New York, Ohio, South Carolina and Virginia.

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

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Scott BarcombPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 6, 2017 indicate that Florida-based Berthel Fisher & Company Financial Services broker/adviser Scott Barcomb has been involved in several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Barcomb (CRD# 1369573).

Scott Barcomb has spent 29 years in the securities industry and has been registered with Berthel Fisher & Company Financial Services in Sarasota, Florida since 2003. Previous registrations include Continental Capital Investment Services in Bryan, Ohio (2000-2003); Tower Equities in Dayton, Ohio (1999-2000); Prudential Securities in New York, New York (1994-1997); Dean Witter Reynolds in Purchase, New York (1988-1994); and EF Hutton & Company (1985-1988). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 16, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 18, 1999; Series 31 (Futures Managed Funds Examination), which he obtained on May 18, 2007; Series 7 (General Securities Representative Examination), which he obtained on October 11, 1999; and Series 3 (National Commodity Futures Examination), which he obtained on May 17, 1991. He is a registered broker and investment adviser with 16 US states and territories: California, Colorado, Connecticut, Florida, Georgia, Illinois, Indiana, Maine, Massachusetts, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas and Virginia.

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

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Phillip SchreinerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 5, 2017 indicate that Texas-based Morgan Stanley broker/adviser Phillip Schreiner is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Schreiner (CRD# 4742497).

Phillip Schreiner has spent 13 years in the securities industry and has been registered with Morgan Stanley in San Antonio, Texas since 2011. Previous registrations include Merrill Lynch in San Antonio, Texas (2009-2011); Banc of America Investment Services in San Antonio, Texas (2007-2009); Ameriprise Financial Services in San Antonio, Texas (2004-2007); and IDS Life Insurance in Minneapolis, Minnesota (2004-2006). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on March 10, 2004, and Series 7 (General Securities Representative Examination), which he obtained on March 27, 2004. He is a registered broker and investment adviser with ten US states: Arizona, Arkansas, California, Colorado, Georgia, Montana, Nebraska, Texas, Virginia, and Wyoming. He is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

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Jonathan Leopold

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 5, 2017 indicate that New York-based Morgan Stanley broker/adviser Jonathan Leopold has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Leopold (CRD# 1729492).

Jonathan Leopold has spent 30 years in the securities industry and has been registered with Morgan Stanley in New York, New York since 2009. Previous registrations include Citigroup Global Markets in New York, New York (1993-2009) and Lehman Brothers in New York, New York (1987-1993). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 14, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 8, 1987; Series 3 (National Commodity Futures Examination), which he obtained on March 21, 1988; and Series 7 (General Securities Representative Examination), which he obtained on September 19, 1987. He is a registered broker and investment adviser with 26 US states and territories: California, Colorado, Connecticut, Delaware, the District of Columbia, Florida, Hawaii, Idaho, Illinois, Maine, Maryland, Massachusetts, Michigan, Missouri, New Jersey, New Mexico, New York, North Carolina, Pennsylvania, Puerto Rico, South Carolina, Texas, Utah, Virginia, Washington and Wisconsin. He is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received two customer complaints, one pending customer complaint, and one customer complaint that was closed with no action taken.

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Curvin Miller IVPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed and accessed on December 4, 2017 indicate that Ohio-based Kalos Capital broker/adviser Curvin Miller IV, also known as Curv Miller, is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Miller (CRD# 5106137).

Curvin Miller IV has spent eleven years in the securities industry and has been registered with Kalos Capital in Fairborn, Ohio since 2006. He was previously registered with 1st Global Capital Corporation in Fairborn, Ohio (2006). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 19, 2006, and Series 7 (General Securities Representative Examination), which he obtained on May 29, 2006. He is a registered broker and investment adviser with 17 US states and territories: Alabama, Arizona, California, Florida, Illinois, Indiana, Kansas, Kentucky, Michigan, New Mexico, North Carolina, Ohio, South Carolina, Tennessee, Virginia, Washington and West Virginia.

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

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Robert Meyers

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 4, 2017 indicate that former Ohio-based Wells Fargo Clearing Services broker/adviser Robert Meyers 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 speaking to investors who have complaints regarding Mr. Meyers (CRD# 1409245).

Robert Meyers has spent 31 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in Columbus, Ohio (2007-2017). Previous registrations include Merrill Lynch in Upper Arlington, Ohio (2006-2007); AdVest in Hartford, Connecticut (1990-2006); Blunt Ellis & Loewi (1988-1990); Shearson Lehman Brothers (1987); and Prudential Bache Securities (1985-1987). 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 currently not affiliated with any state or firm.

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

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Jeff HyltonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 4, 2017 indicate that Georgia-based Merrill Lynch broker/adviser Jeff Hylton is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hylton (CRD# 2288917).

Jeff Hylton has spent 24 years in the securities industry and has been registered with Merrill Lynch in Gainesville, Georgia since 1993. Previous registrations include FN Wolf & Company (1992-1993). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 26, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 26, 1992; Series 7 (General Securities Representative Examination), which he obtained on October 21, 1992; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on February 19, 2008; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on February 15, 2008. He is a registered broker and investment adviser with 53 US states and territories and with 21 self-regulatory organizations (SROs), including: BOX Options Exchange, Bats BYX Exchange, C2 Options Exchange, the Chicago Board Options Exchange, FINRA, MIAX PEARL LLC, the Miami International Securities Exchange, Nasdaq BX, the Nasdaq Stock Market, and the New York Stock Exchange.

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