Articles Posted in Customer Complaints

Jeffrey LarsonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that Missouri-based Arete Wealth Management broker/adviser Jeffrey Larson has received pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Larson (CRD# 4836889).

Jeffrey Larson has spent 14 years in the securities industry and has been registered with Arete Wealth Management in Kirkwood, Missouri since August 2017. Previous registrations include Larson Financial Securities in Saint Louis, Missouri (2010-2017); Financial Network Investment Corporation in Minneapolis, Minnesota (2006-2010); CRI Securities in Minneapolis, Minnesota (2004-2006); and Securian Financial Services in St. Louis, Missouri (2004-2006). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 16, 2004; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on October 16, 2004. He is a registered broker and investment adviser with 35 US states and territories.

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

Petar ArizanovPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that New York-based Oppenheimer & Company broker/adviser Petar Arizanov has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Arizanov (CRD# 4804419).

Petar Arizanov has spent 14 years in the securities industry and has been registered with Oppenheimer & Company in New York, New York since 2013. Previous registrations include Fidelity Brokerage Services in New York, New York (2009-2013); National Securities Corporation in New York, New York (2007-2008); and Gunnallen Financial in Westbury, New York (2004-2007). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 3, 2013; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 2, 2004; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on June 23, 2004; and Series 24 (General Securities Principal Examination), which he obtained on June 2, 2008. He is a registered broker and investment adviser with 13 US states and territories: California, Connecticut, the District of Columbia, Florida, Georgia, Illinois, Maryland, Massachusetts, Michigan, New Jersey, New York, Pennsylvania, and Texas. He is registered with self-regulatory organizations (SROs): Cboe Exchange Inc., FINRA, NYSE American LLC, NYSE Arca Inc., NYSE Chicago 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 customer complaint, one pending customer complaint, and one customer complaint that was closed with no action taken.

Christopher CavallaroPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that Massachusetts-based LPL Financial broker/adviser Christopher Cavallaro has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cavallaro (CRD# 2125009).

Christopher Cavallaro has spent 28 years in the securities industry and has been registered with LPL Financial in Waltham, Massachusetts since 2016. Previous registrations include Lincoln Financial Advisors Corporation in Waltham, Massachusetts (2003-2006); The Lincoln National Life Insurance Company in Waltham, Massachusetts (2003-2006); and Veravest Investments in Worcester, Massachusetts (1991-2003). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 18, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 8, 1991; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on August 15, 1996; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 23, 1991. He is a registered broker and investment adviser with 22 US states and territories: Alaska, California, Colorado, Connecticut, Florida, Georgia, Idaho, Maine, Maryland, Massachusetts, Michigan, Minnesota, New Hampshire, New Jersey, New York, North Carolina, Rhode Island, South Carolina, South Dakota, Texas, Vermont, and Virginia.

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

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.