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Roy McGuffin

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 13, 2017 indicate that former Ohio-based Ameriprise Financial Services broker/adviser Roy McGuffin recently resigned from his former employer in connection to alleged rule violations and has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. McGuffin (CRD# 1803305).

Roy McGuffin has spent 29 years in the securities industry and was most recently registered with Ameriprise Financial Services in Cincinnati, Ohio (2009-2017). Previous registrations include Ameriprise Advisor Services in Blue Ash, Ohio (1990-2009); Lux Investor Services Corporation (1989-1990); Power Securities Corporation (1989); and the Stuart-James Company (1988). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination): Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]): Series 4 (Registered Options Principal Examination); and Series 24 (General Securities Principal Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Roy McGuffin has received one pending customer complaint and recently resigned from his former employer.

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Beatriz VidaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 13, 2017 indicate that New York-based Morgan Stanley broker/adviser Beatriz Vida has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Vida (CRD# 3129454).

Beatriz Vida has spent 18 years in the securities industry and has been registered with Morgan Stanley in New York, New York since 2014. Previous registrations include Santander Securities in Mayaguez, Puerto Rico (1999-2014) and Santander Investment Securities in New York, New York (1999). She has passed seven securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 87 (Research Analyst Exam – Part II Regulations Module); Series 86 (Research Analyst Exam – Part I Analysis Module); Series 7 (General Securities Representative Examination); Series 9 (General Securities Sales Supervisor – Options Module Examination); and Series 24 (General Securities Principal Examination). She is a registered broker and investment adviser with 53 US states and territories.

According to her BrokerCheck report, she has received one pending customer complaint.

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Daniel CrowePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 13, 2017 indicate that Texas-based FSC Securities Corporation broker/adviser Daniel Crowe has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Crowe (CRD# 2867347).

Daniel Crowe has spent 20 years in the securities industry and has been registered with FSC Securities Corporation in Colleyville, Texas since 1997. He has no previous registrations. He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 3 (National Commodity Futures Examination); and Series 24 (General Securities Principal Examination). He is a registered broker and investment adviser with 14 US states and territories: Arizona, Arkansas, California, Florida, Georgia, Kentucky, Maryland, New York, North Carolina, Oklahoma, Oregon, Texas, Washington and Wyoming.

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

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Thomas GuthriePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 13, 2017 indicate that Washington-based Robert W. Baird & Company broker/adviser Thomas Guthrie has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Guthrie (CRD# 2575050).

Thomas Guthrie has spent 22 years in the securities industry and has been registered with Robert W. Baird & Company in Spokane, Washington since 2014. Previous registrations include McAdams Wright Ragen in Spokane, Washington (2012-2014); Wells Fargo Advisors in Spokane, Washington (2011-2012); Wells Fargo Investments in Spokane, Washington (2001-2011); First Union Securities in St. Louis, Missouri (1998-2001); and Piper Jaffray in Minneapolis, Minnesota (1995-1998). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 3 (National Commodity Futures Examination); Series 7 (General Securities Representative Examination); Series 10 (General Securities Sales Supervisor – General Module Examination); Series 9 (General Securities Sales Supervisor – Options Module Examination). He is a registered broker and investment adviser with three US states: California, Montana and Washington.

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

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Matthew AshleyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 12, 2017 indicate that Texas-based Merrill Lynch broker/adviser Matthew Ashley has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ashley (CRD# 4732477).

Matthew Ashley has spent 13 years in the securities industry and has been registered with Merrill Lynch in Dallas, Texas since 2004. He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 20 US states and territories: Alabama, Arkansas, California, Colorado, Florida, Georgia, Hawaii, Illinois, Iowa, Kentucky, Louisiana, Michigan, Mississippi, Nebraska, New Jersey, New York, North Carolina, Oklahoma, Pennsylvania and Texas. He is registered with 21 self-regulatory organizations (SROs), including: FINRA, BOX Options Exchange, Bats BYX Exchange, Bats BZX Exchange, C2 Options Exchange, Chicago Board Options Exchange, Chicago Stock Exchange, NYSE American, NASDAQ Stock Market, and New York Stock Exchange.

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

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Aaron BrodtPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 12, 2017 indicate that Arizona-based Peachcap broker Aaron Brodt has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Brodt (CRD# 5017914).

Aaron Brodt has spent nine years in the securities industry and has been registered with Peachcap in Scottsdale, Arizona since July 2016. Previous registrations include Accelerated Capital Group in Scottsdale, Arizona (2012-2016) and Meridian United Capital in Scottsdale, Arizona (2008-2012). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 65 (Uniform Investment Adviser Law Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with eight US states: Arizona, California, Florida, Nevada, New York, Pennsylvania, Texas and Utah.

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

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Jay ShahPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 12, 2017 indicate that New York-based National Securities broker Jay Shah has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Shah (CRD# 4733217).

Jay Shah has spent 13 years in the securities industry and has been registered with National Securities Corporation in New York, New York since 2012. Previous registrations include vFinance Investments in New York, New York; Avalon Partners in New York, New York; J.P. Turner & Company in Atlanta, Georgia; and Continental Broker-Dealer Corporation in Carle Place, New York. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 21 US states and territories: Alabama, Arizona, California, Connecticut, Florida, Georgia, Hawaii, Iowa, Kentucky, Minnesota, Montana, New Jersey, New Mexico, New York, North Carolina, Oklahoma, Puerto Rico, South Dakota, Texas, Washington and Wisconsin.

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

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Mark Grenier Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on October 12, 2017 indicate that Connecticut-based David Lerner Associates broker Mark Grenier has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Grenier (CRD# 2372542).

Mark Grenier has spent 20 years in the securities industry and has been registered with David Lerner Associates in Westport, Connecticut since 2009. Previous registrations include Maxim Group in New York, New York; Investec Ernst & Company in New York, New York; GKN Securities in New York, New York; and DH Blair & Company in New York, New York. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker with 16 US states and territories: Arizona, California, Connecticut, Florida, Georgia, Maryland, Montana, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Vermont.

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

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Gene ValentinePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 12, 2017 indicate that West Virginia-based Financial West Group broker/adviser Gene Valentine was recently sanctioned by FINRA and has been named in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Valentine (CRD# 1079871).

Gene Valentine has spent 34 years in the securities industry and has been registered with Financial West Group in Wellsburg, West Virginia and Reno, Nevada since 1986. Previous registrations include Venture Funding and Christopher Weil & Company. He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 22 (Direct Participation Programs Representative Examination); Series 24 (General Securities Principal Examination); and Series 39 (Direct Participation Programs Principal Examination). He is a registered broker and investment adviser with 25 US states and territories.

According to his BrokerCheck report, Gene Valentine has received one FINRA sanction and one pending customer complaint.

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Clay FairleyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 10, 2017 indicate that North Carolina-based LPL Financial broker/adviser Clay Fairley has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Fairley (CRD# 1428423).

Clay Fairley has spent thirty-one years in the securities industry and has been registered with LPL Financial in Southport, North Carolina since 2004. He was previously registered with AG Edwards & Sons in St. Louis, Missouri from 1985 to 2004. He has passed three 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 24 (General Securities Principal Examination). He is a registered broker and investment adviser with 24 US states and territories: California, Colorado, Connecticut, Delaware, Florida, Georgia, Maine, Maryland, Massachusetts, Michigan, Montana, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, South Dakota, Texas, Virginia, Washington, Wisconsin and Wyoming.

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