Articles Posted in Customer Complaints

Mark ZaharskiPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 26, 2018 indicate that Illinois-based UBS Financial Services broker/adviser Mark Zaharski is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Zaharski (CRD# 1345372).

Mark Zaharski has spent thirty-three years in the securities industry and has been registered with UBS Financial Services in Chicago, Illinois since 1990. He was previously registered with Shearson Lehman Hutton in New York, New York (1985-1990). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 13, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 25, 1985; Series 3 (National Commodity Futures Examination), which he obtained on April 22, 1985; Series 7 (General Securities Representative Examination), which he obtained on March 16, 1985; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on December 16, 1992. He is a registered broker and investment adviser with 39 US states and territories and with nine self-regulatory organizations (SROs): BOX Exchange LLC, Cboe Exchange Inc., FINRA, NYSE American LLC, NYSE Arca Inc., Nasdaq ISE LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Thomas NorthPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 26, 2018 indicate that California-based Wells Fargo Clearing Services broker/adviser Thomas North has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. North (CRD# 723949).

Thomas North has spent 37 years in the securities industry and has been registered with Wells Fargo Clearing Services in Carmel, California since 2012. Previous registrations include Merrill Lynch in Carmel, California (2005-2012) and Morgan Stanley DW in Purchase, New York (1980-2005). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 8, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 8, 1980; Series 5 (Interest Rate Options Examination), which he obtained on April 30, 1982; and Series 7 (General Securities Representative Examination), which he obtained on October 18, 1980. He is a registered broker and investment adviser with 15 US states and territories: Arizona, Arkansas, California, Colorado, Hawaii, Maryland, Massachusetts, Montana, Nevada, New York, Oklahoma, Oregon, Pennsylvania, Texas, and Virginia. He 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 his BrokerCheck report, he has received one pending customer complaint and two denied customer complaints.

William Riley

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 25, 2018 indicate that a current Riley Wealth Advisor and former Texas-based Silver Oak Securities broker/adviser William Riley, who has received resolved or pending customer disputes, recently resigned 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. Riley (CRD# 1493287).

William Riley has spent 32 years in the securities industry and was most recently registered as a broker with Silver Oak Securities in Fort Worth, Texas (2008-2018); he is currently registered as an investment adviser with Riley Wealth Advisors in Fort Worth, Texas, where he has been registered since 2008. Previous registrations include Raymond James & Associates in Fort Worth, Texas (2002-2008); UBS Painewebber in Weehawken, New Jersey (2000-2002); JC Bradford & Company in New York, New York (1998-2000); Merrill Lynch in New York, New York (1993-1998); Jefferson-Pilot Investor Services in Fort Wayne, Indiana (1991-1993); Amev Investors in Oakdale, Minnesota (1990-1991); USLife Equity Sales Corporation in New York, New York (1986-1990); and Philadelphia Life Asset Planning Company (1986). He has passed six securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 9, 1986; Series 3 (National Commodity Futures Examination), which he obtained on August 31, 2001; Series 7 (General Securities Representative Examination), which he obtained on June 8, 1993; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 13, 1986; Series 24 (General Securities Principal Examination), which he obtained on January 6, 2003; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on November 26, 1996. He is currently not registered as a broker with any state or firm.

According to his BrokerCheck report, he has received three customer complaints and one pending customer complaint; he also recently resigned from a former employer in connection to alleged rule violations.

Robert AbramowitzPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 25, 2018 indicate that New York-based National Securities Corporation broker/adviser Robert Abramowitz has received resolved or pending customer complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Abramowitz (CRD# 4437589).

Robert Abramowitz has spent 16 years in the securities industry and has been registered with National Securities Corporation in Melville, New York since September 2017. Previous registrations include Oppenheimer & Company in Jericho, New York (2016-2017); Raymond James Financial Services in Garden City, New York (2011-2016); Wells Fargo Advisors in Great Neck, New York (2005-2011); and David Lerner Associates in Syosset, New York (2001-2005). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 15, 2016; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 5, 2001; and Series 7 (General Securities Representative Examination), which he obtained on October 19, 2001. He is a registered broker and investment adviser with seven US states: California, Florida, New Jersey, New York, Tennessee, 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 two customer complaints and one pending customer complaint.

Gregory CoffingPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 25, 2018 indicate that Ohio-based Edward Jones broker/adviser Gregory Coffing has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Coffing (CRD# 3260352).

Gregory Coffing has spent 19 years in the securities industry and has been registered with Edward Jones in Mt. Vernon, Ohio since 1999. He has no previous registrations. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 9, 1999, and Series 7 (General Securities Representative Examination), which he obtained on September 7, 1999. He is a registered broker and investment adviser with 26 US states and territories: Alabama, Arizona, California, Colorado, Florida, Georgia, Hawaii, Illinois, Kentucky, Maryland, Michigan, Minnesota, Nevada, New Hampshire, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, Washington, and West Virginia. 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 one pending customer complaint and one customer complaint that was denied.

George NikolakakosPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 25, 2018 indicate that former Nebraska-based TD Ameritrade broker/adviser George Nikolakakos has received a pending customer dispute and is currently not affiliated with any state or firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Nikolakakos (CRD# 2907561).

George Nikolakakos has spent 20 years in the securities industry and was most recently registered with TD Ameritrade in Omaha, Nebraska (2018). Previous registrations include Scottrade in Stamford, Connecticut (2017-2018); Four Points Capital Partners in New York, New York (2011-2017); Wedbush Securities in Tarrytown, New York (2007-2011); Brookstreet Securities in White Plains, New York (2001-2007); Emerson Bennett & Associates in Fort Lauderdale, Florida (2000-2001); First Securities in Irvine, California (2001); SG Martin Securities in Jericho, New York (1999-2000); Fin-Atlantic Securities in Jupiter, Florida (1998-1999); and VTR Capital in New York, New York (1998). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on February 11, 2013; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 19, 1997; Series 7 (General Securities Representative Examination), which he obtained on December 12, 1997; and Series 24 (General Securities Principal Examination), which he obtained on December 10, 2001. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one pending customer complaint and two customer complaints that were closed or denied, and he resigned from a former employer in connection to alleged rule violations.

Robert FrandenPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that Oklahoma-based Raymond James & Associates broker/adviser Robert Franden has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Franden (CRD# 2402061).

Robert Franden has spent 24 years in the securities industry and has been registered with Raymond James & Associates in Tulsa, Oklahoma since June 2018. Previous registrations include Morgan Stanley in Tulsa, Oklahoma (2009-2018); Morgan Stanley & Company in Tulsa, Oklahoma (2007-2009); Morgan Stanley DW in Tulsa, Oklahoma (2003-2007) Citigroup Global Markets in New York, New York (1998-2003); and Merrill Lynch in New York, New York (1993-1998). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 16, 1993; Series 63 (Uniform Securities Agent State Law Examination Nov 23, 1993), which he obtained on November 23, 1993; and Series 7 (General Securities Representative Examination), which he obtained on November 9, 1993. He is a registered broker and investment adviser with 26 US states and territories: Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Florida, Georgia, Hawaii, Illinois, Kansas, Kentucky, Louisiana, Michigan, Minnesota, New Jersey, North Dakota, Oklahoma, Oregon, Pennsylvania, Rhode Island, Tennessee, Texas, and Virginia. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American, Nasdaq PHLX, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Jeffrey ParsonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that Florida-based Morgan Stanley broker/adviser Jeffrey Parson has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Parson (CRD# 2491626).

Jeffrey Parson has spent 36 years in the securities industry and has been registered with Morgan Stanley in Coral Springs, Florida since 2009. Previous registrations include Morgan Stanley & Company in Coral Springs, Florida (2007-2009); Wachovia Securities in Coral Springs, Florida (2003-2007); Prudential Securities in New York, New York (2000-2003); Painewebber in Weehawken, New Jersey (1995-2000); Kidder Peabody & Company in New York, New York (1994-1995); Smith Barney Shearson in New York, New York (1993-1994); and Lehman Brothers in New York, New York (1982-1993). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 13, 1985; Series 3 (National Commodity Futures Examination), which he obtained on October 4, 1983; and Series 7 (General Securities Representative Examination), which he obtained on August 21, 1982. He is a registered broker and investment adviser with 32 US states and territories.

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

Andre Davis

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that New Jersey-based First Standard Financial Company broker Andre Davis has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Davis (CRD# 1417097).

Andre Davis has spent 18 years in the securities industry and has been registered with First Standard Financial Company in Red Bank, New Jersey since 2015. Previous registrations include National Securities Corporation in Red Bank, New Jersey (2012-2015); Brookstone Securities in Staten Island, New York (2010-2012); Newbridge Securities in Red Bank, New Jersey (2004-2010); LH Ross & Company in Boca Raton, Florida (2004); First Montauk Securities Corporation in Red Bank, New Jersey (2000-2004); and JW Barclay & Company in Woodbridge, New Jersey (2000). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 7, 2000 and Series 7 (General Securities Representative Examination), which he obtained on March 7, 2000. He is a registered broker with 39 US states and territories.

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

Jesse WebbPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that Texas-based Oppenheimer & Company broker/adviser Jesse Webb, who has received several customer disputes, was recently named in a pending complaint by state regulatory authorities. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Webb (CRD# 2298761).

Jesse Webb has spent 25 years in the securities industry and has been registered with Oppenheimer & Company in The Woodlands, Texas since 2012. Previous registrations include Merrill Lynch in The Woodlands, Texas (2007-2012); UBS Financial Services in The Woodlands, Texas (2001-2007); and Morgan Stanley DW in Purchase, New York (1993-2001). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 13, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 9, 1993; Series 31 (Futures Managed Funds Examination), which he obtained on April 13, 1996; and Series 7 (General Securities Representative Examination), which he obtained on December 18, 1992. He is a registered broker and investment adviser with nine US states: Arizona, Florida, Indiana, Louisiana, Minnesota, Mississippi, Nevada, South Carolina, and Texas.

According to his BrokerCheck report, he has received three customer complaints and one pending regulatory complaint, and he resigned from his former employer in connection to alleged rule violations.