Articles Posted in Puerto Rico Bonds

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John CasimirPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 14, 2018 indicate that New Hampshire-based Citizens Securities broker/adviser John Casimir has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Casimir (CRD# 5019141).

John Casimir has spent eleven years in the securities industry and has been registered with Citizens Securities in Bedford and Hooksett, New Hampshire since 2010. Previous registrations include TD Wealth Management Services in Nashua, New Hampshire (2009-2010); Bancnorth Investment Group in Nashua, New Hampshire (2008-2009); and Banc of America Investment Services in Manchester, New Hampshire (2006-2008). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on June 23, 2006; Series 7 (General Securities Representative Examination), which he obtained on June 7, 2006; and Series 24 (General Securities Principal Examination), which he obtained on October 10, 2006. He is a registered broker and investment adviser with five US states—Florida, Hawaii, Maine, Massachusetts, and New Hampshire—and one self-regulatory organization (SRO): FINRA.

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

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Travis KnadlePublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 5, 2018 indicate that Florida-based GMS Group broker Travis Knadle has been involved with resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Knadle (CRD# 6222138).

Travis Knadle has spent four years in the securities industry and has been registered with The GMS Group in Boca Raton, Florida since 2014. He has no previous registrations. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 20, 2014, and Series 7 (General Securities Representative Examination), which he obtained on January 14, 2014. He is a registered broker with 18 US states and territories: California, Colorado, Florida, Maryland, Michigan, Missouri, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Utah, Virginia, and Washington.

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

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Edward HerbstPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 30, 2018 indicate that New York-based Wellington Shields & Company broker Edward Herbst has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Herbst (CRD# 243580).

Edward Herbst has spent 47 years in the securities industry and has been registered with Wellington Shields & Company in New York, New York since 2009. Previous registrations include Shields & Company in New York, New York (2001-2009); Dominick & Dominick in New York, New York (1999-2001); SG Cowen Securities Corporation in New York, New York (1998-1999); Cowen & Company in New York, New York (1983-1998); Drexel Burnham Lambert (1977-1983); and Drexel Burnham & Company (1970-1977). He has passed six securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 16, 1982; Series 15 (Foreign Currency Options Examination), which he obtained on November 17, 1982; Series 5 (Interest Rate Options Examination), which he obtained on September 21, 1981; PC (AMEX Put and Call Exam), which he obtained on August 29, 1977; Series 1 (Registered Representative Examination), which he obtained on August 20, 1970; and Series 4 (Registered Options Principal Examination), which he obtained on November 28, 1977. He is a registered broker with 26 US states and three self-regulatory organizations (SROs): FINRA, NYSE American LLC, and the New York Stock Exchange.

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

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Ian Deliz MoralesPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 25, 2018 indicate that former Florida-based Morgan Stanley broker Ian Deliz Morales, who has received numerous resolved or pending customer disputes, is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Morales (CRD# 4697350).

Ian Deliz Morales has spent 13 years in the securities industry and was most recently registered with Morgan Stanley in Tampa, Florida (2014-2016). Previous registrations include Popular Securities in San Juan, Puerto Rico (2007-2014) and Citigroup Global Markets in San Juan, Puerto Rico (2003-2007). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 16, 2003, and Series 7 (General Securities Representative Examination), which he obtained on September 18, 2003. He is currently not registered with any state or firm.

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