Articles Posted in Customer Complaints

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Jason Likens

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2017 indicate that former Florida-based International Assets Advisory broker/adviser Jason Likens has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Likens (CRD# 4716661).

Jason Likens has spent 11 years in the securities industry and was most recently registered with International Assets Advisory in Orlando, Florida (2016-2017). Previous registrations include Oppenheimer & Company in Asheville, North Carolina; Stanford Group Company in Asheville, North Carolina; UBS Financial Services in Asheville, North Carolina; and Wachovia Securities in St. Louis, Missouri. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one FINRA sanction and one customer complaint, and was terminated from two former employers.

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Murray MonroePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2017 indicate that former California-based Western International Securities broker/adviser Murray Monroe has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Monroe (CRD# 2337934).

Murray Monroe has spent 24 years in the securities industry and was most recently registered with Western International Securities in Pasadena, California (2010-2017). Previous registrations include Crowell Weedon & Company in West Covina, California and Atlas Securities in San Leandro, California. 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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John GunnipPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 14, 2017, indicate that representatives of Morgan Stanley’s Texas-based consulting group The Gunnip Group have been the subject of customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding The Gunnip Group.

The Gunnip Group at Morgan Stanley is a consulting group based on Southlake, Texas. John Gunnip is Senior Vice President, Wealth Management; Wealth Advisor; Senior Institutional Consultant; and Portfolio Manager. Kevin Gunnip is Senior Vice President, Wealth Management and Wealth Advisor. Matthew Gunnip is Senior Vice President, Wealth Management; Wealth Advisor; and Senior Portfolio Manager. Lina Cuales is Senior Client Service Associate. Rayeann Ison is Wealth Management Associate.

According to their FINRA BrokerCheck reports, both John Gunnip and Kevin Gunnip have received customer complaints.

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John RandolphPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 14, 2017 indicate that Texas-based Morgan Stanley broker/adviser John Randolph has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gunnip (CRD# 1398442).

John Gunnip has spent 27 years in the securities industry and has been registered with Morgan Stanley, where he is Senior Vice President, Wealth Management of the Gunnip Group, in Southlake, Texas since 2009. Previous registrations include Morgan Stanley & Company in Fort Worth, Texas and Morgan Stanley DW in Fort Worth, Texas. He is a registered broker and investment adviser with 27 US states and territories.

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

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Stephen SalmPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 11, 2017 indicate that California-based Lombard Securities broker Stephen Salm has been sanctioned by FINRA and issued a suspension from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Salm (CRD# 1970888).

Stephen Salm has spent 27 years in the securities industry and has been registered with Lombard Securities in Carlsbad, California since 2014. Previous registrations include Securities America in Solana Beach, California; Financial West Group in Westlake Village, California; Torrey Pines Securities in San Diego, California; First Wall Street Corporation in Carlsbad, California; Raymond-Martin Financial; and Baraban Securities in Los Angeles, California. He is a registered broker with nine US states and territories: Arizona, California, Colorado, Nevada, New Mexico, New York, Oregon, Texas and Washington.

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

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Scott Garrison

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 11, 2017 indicate that former California-based LPL Financial broker advisor Stanley Garrison, also known as Scott Garrison, has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Garrison (CRD# 1126118).

Stanley Scott Garrison has spent 32 years in the securities industry and was most recently registered with LPL Financial in Bakersfield, California (2009-2015). Previous registrations include Associated Securities Corporation in Bakersfield, California; FSC Securities in Bakersfield, California; Sentra Securities in Phoenix, Arizona; Prudential-Bache Securities; and Dean Witter Reynolds. He is currently not registered with any state or firm.

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

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Dennis McNamaraPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 11, 2017 indicate that New Jersey-based Wells Fargo Clearing Services broker/adviser Dennis McNamara has been sanctioned by FINRA and issued a suspension from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. McNamara (CRD# 1791930).

Dennis McNamara has spent 29 years in the securities industry and has been registered with Wells Fargo Clearing Services in Wayne and Bogota, New Jersey since 2013. Previous registrations include PNC Investments in Wayne, New Jersey; Banc of America Investment Services in Glen Rock, New Jersey; Quick & Reilly in New York, New York; International Securities Corporation in New York, New York; Leumi Securities Corporation in New York, New York; Hibbard Brown & Company in New York, New York; and Sherwood Capital. He is a registered broker and investment adviser with six US states: California, Florida, New Jersey, New York, North Carolina, and Pennsylvania.

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

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Robert TaylorPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 11, 2017 indicate that Oklahoma-based Voya Financial Advisors broker/adviser Robert Taylor has been sanctioned by FINRA and issued a suspension from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Taylor (CRD# 1423130).

Robert Taylor has spent 30 years in the securities industry and has been registered with Voya Financial Advisors in Oklahoma City, Oklahoma since 1995. Previous registrations include Mony Securities Corporation in New York, New York and Pruco Securities Corporation in Newark, New Jersey. 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 and investment adviser with 16 US states and territories: Arizona, Arkansas, California, Colorado, Florida, Georgia, Illinois, Missouri, Montana, New York, Oklahoma, Oregon, South Dakota, Tennessee, Texas and Washington.

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

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Russell Newton

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 10, 2017 indicate that former Connecticut-based Source Capital Group broker Russell Newton was recently 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 hearing from investors who have complaints regarding Mr. Newton (CRD# 1033369).

Russell Newton has spent 33 years in the securities industry and was most recently registered with Source Capital Group in Westport, Connecticut (2001-2016). Previous registrations include Merit Capital Associates in Westport, Connecticut; Pendrick Reeves Associates; and Glen Rauch Securities in New York, New York. He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 24 (General Securities Principal Examination); Series 27 (Financial and Operations Principal Examination); and Series 53 (Municipal Securities Principal Examination). He is currently not registered with any state or firm.

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

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Roger Zullo

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 11, 2017 indicate that former Massachusetts-based LPL Financial broker/adviser Roger Zullo was recently 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 hearing from investors who have complaints regarding Mr. Zullo (CRD# 1882087).

Roger Zullo has spent 28 years in the securities industry and was most recently registered with LPL Financial in Boston, Massachusetts (2004-2016). Previous registrations include Park Avenue Securities in New York, New York and Guardian Investor Services in New York, New York. He is currently not registered with any state or firm.

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