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Joseph TiderencelPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 12, 2017 indicate that New York-based Merrill Lynch broker/adviser Joseph Tiderencel is involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Tiderencel (CRD# 2682983).

Joseph Tiderencel has spent 21 years in the securities industry and has been registered with Merrill Lynch in Binghamton, New York since 2015. Previous registrations include LPL Financial in Binghamton, New York (2012-2015); HSBC Securities in Binghamton, New York (2005-2012); HSBC Brokerage in New York, New York (2003-2005); Prudential Securities in New York, New York (2000-2003); Merrill Lynch in New York, New York (1998-2000); and Smith Barney in New York, New York (1995-1998). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 4, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 20, 1995; Series 7 (General Securities Representative Examination), which he obtained on November 29, 1995; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on February 18, 2004; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on October 29, 2003. He is a registered broker and investment adviser with 23 US states and territories: Arizona, California, Colorado, Connecticut, the District of Columbia, Florida, Maine, Maryland, Massachusetts, Michigan, New Jersey, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, Puerto Rico, South Carolina, Texas, Utah, Virginia, Washington and West Virginia.

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

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Jim RhodesPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 7, 2017 indicate that Texas-based Rhodes Securities broker/adviser Jim Rhodes has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rhodes (CRD# 813870).

Jim Rhodes has spent 44 years in the securities industry and has been registered with Rhodes Securities in Fort Worth, Texas since 1987. Previous registrations Financial First Securities (1986-1988); Texas Securities (1978-1986); Independent Brokerage Corporation of America (1984); Southwest Securities (1978); Loeb Partners (1978); Hornblower Weeks Noyes & Trask (1977-1978); Hornblower & Weeks Hemphill Noyes (1975-1977); and EF Hutton & Company (1973-1975). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 13, 1981; Series 5 (Interest Rate Options Examination), which he obtained on March 28, 1983; Series 1 (Registered Representative Examination), which he obtained on January 16, 1973; F04 (Financial Principal Examination), which he obtained on June 27, 1978; and Series 40 (Registered Principal Examination), which he obtained on October 14, 1975. He is a registered broker and investment adviser with 13 US states and territories: Arizona, Arkansas, California, Colorado, Illinois, Iowa, Kansas, Louisiana, Michigan, Missouri, New Jersey, Texas and Virginia.

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

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Carol WoodsPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 7, 2017 indicate that Minnesota-based Thrivent Investment Management broker/adviser Carol Woods has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Woods (CRD# 5637227).

Carol Woods has spent eight years in the securities industry and has been registered with Thrivent Investment Management in Shakopee, Minnesota since 2009. She has no previous registrations. She has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on October 1, 2009, and Series 7 (General Securities Representative Examination), which she obtained in June 17, 2009. She is a registered broker and investment adviser with six US states and territories: Florida, Georgia, Illinois, Minnesota, New Mexico, and North Dakota. She is registered with one self-regulatory organization (SRO), FINRA.

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

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Edward DavigPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 7, 2017 indicate that Wisconsin-based Packerland Brokerage Services broker/adviser Edward Davig has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Davig (CRD# 841294).

Edward Davig has spent 40 years in the securities industry and has been registered with Packerland Brokerage Services in Holmen, Wisconsin since 2008. Previous registrations include Triad Advisors in Holmen, Wisconsin (1998-2008); Royal Alliance Associates in Jersey City, New Jersey (1997-1998); Keogler Morgan & Company in Atlanta, Georgia (1990-1997); American Express Financial Advisors in Minneapolis, Minnesota (1977-1990); IDS Life Insurance Company in Minneapolis, Minnesota (1977-1990); and IDS Financial Services in Minneapolis, Minnesota (1977-1986). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 26, 1991; Series 7 (General Securities Representative Examination), which he obtained on April 19, 1986; Series 1 (Registered Representative Examination), which he obtained on July 28, 1977; and Series 24 (General Securities Principal Examination), which he obtained on November 13, 1990. He is a registered broker and investment adviser with 15 US states and territories: Arizona, California, Colorado, Florida, Georgia, Idaho, Illinois, Indiana, Iowa, Michigan, Minnesota, Montana, Nebraska, Ohio, and Wisconsin.

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

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John Carl

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 7, 2017 indicate that New York-based Janney Montgomery Scott broker/adviser John Carl has been named respondent in a FINRA investigation into alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Carl (CRD# 2905059).

John Carl has spent twenty years in the securities industry and has been registered with Janney Montgomery Scott in Saratoga Springs, New York since 2015. Previous registrations include Morgan Stanley in Saratoga Springs, New York (2009-2015); Morgan Stanley & Company in Saratoga Springs, New York (2009); Wachovia Securities in Latham, New York (2003-2009); Prudential Securities in New York, New York (2000-2003); and Salomon Smith Barney in New York, New York (1997-2000). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 8, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 25, 1997; Series 31 (Futures Managed Funds Examination), which he obtained on January 12, 2010; and Series 7 (General Securities Representative Examination), which he obtained on August 11, 1997. He is a registered broker and investment adviser with 18 US states and territories: California, Colorado, Connecticut, Florida, Georgia, Illinois, Maryland, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, South Carolina, Texas and Vermont. He is registered with three self-regulatory organizations (SROs): FINRA, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, John Carl has been named in a FINRA investigation into alleged rule violations.

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Peter LewisPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 7, 2017 indicate that Illinois-based LaSalle St. Securities broker/adviser Peter Lewis has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lewis (CRD# 5637227).

Peter Lewis has spent six years in the securities industry and has been registered with LaSalle St. Securities in McHenry, Illinois since September 2016. Previous registrations include World Equity Group in Rolling Meadows, Illinois (2014-2016); Fifth Third Securities in Evanston, Illinois (2012-2014); Associated Investment Services in Third Lake, Illinois (2011-2012); and World Equity Group in Schaumburg, Illinois (2011). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on August 1, 2012; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 5, 2011; and Series 7 (General Securities Representative Examination), which he obtained on September 1, 2011. He is a registered broker and investment adviser with four US states: Florida, Illinois, North Dakota, and Wisconsin.

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

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Steven SinderbrandPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 7, 2017 indicate that New York-based Wells Fargo Clearing Services broker/adviser Steven Sinderbrand has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sinderbrand (CRD# 2136608).

Steven Sinderbrand has spent 26 years in the securities industry and has been registered with Wells Fargo Clearing Services in New York, New York and Linwood, New Jersey since 2008. Previous registrations include UBS Financial Services in New York, New York (2002-2008) and Merrill Lynch in New York, New York (1991-2002). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 28, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 8, 1991; Series 31 (Futures Managed Funds Examination), which he obtained on June 9, 2004; and Series 7 (General Securities Representative Examination), which he obtained on April 9, 1991. He is a registered broker and investment adviser with 29 US states and territories and 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 five customer complaints and one denied customer complaint.

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Kenneth Mathern

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 7, 2017 indicate that Montana-based DA Davidson & Company broker/adviser Kenneth Mathern has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mathern (CRD# 2410063).

Kenneth Mathern has spent 24 years in the securities industry and has been registered with DA Davidson & Company in Great Falls, Montana since 1993. He has no previous registrations. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 5, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 4, 1993; and Series 7 (General Securities Representative Examination), which he obtained on November 2, 1993. He is a registered broker and investment adviser with 33 US states and territories.

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

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Laurence RossbachPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 6, 2017 indicate that former New York-based Morgan Stanley broker/adviser Laurence Rossbach has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rossbach (CRD# 405296).

Laurence Rossbach has spent 43 years in the securities industry and was most recently registered with Morgan Stanley in New York, New York (2009-2017). Previous registrations include Citigroup Global Markets in New York, New York (1989-2009); Drexel Burnham Lambert (1977-1989); and Drexel Burnham & Company (1973-1976). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on Jul 19, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 27, 1980; Series 31 (Futures Managed Funds Examination), which he obtained on October 28, 1993; PC (AMEX Put and Call Exam), which he obtained on December 7, 1993; and Series 00 (General Securities Principal Examination), which he obtained on June 25, 1973. He is not currently registered with any state or firm.

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

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David WeinsteinPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 6, 2017 indicate that Florida-based Dawson James Securities broker/adviser David Weinstein has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Weinstein (CRD# 1370869).

David Weinstein has spent 22 years in the securities industry and has been registered with Dawson James Securities in Boca Raton, Florida since 2005. Previous registrations include National Securities Corporation in Seattle, Washington (2001-2005); Sterling Financial Investment Group in Boca Raton, Florida (2000-2001); Joseph Charles & Associates in Boca Raton, Florida (1994-2000); Comprehensive Capital Corporation in Great Neck, New York (1991-1994); GK Scott & Company in Plainview, New York (1987-1991); and the Stuart-James Company (1985-1987). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtanied on June 18, 1995; Series 7 (General Securities Representative Examination), which he obtanied on May 18, 1985; and Series 24 (General Securities Principal Examination), which he obtanied on February 11, 1988. He is a registered broker and investment adviser with 18 US states and territories: Arizona, California, Colorado, the District of Columbia, Florida, Kansas, Louisiana, Massachusetts, Michigan, Missouri, New Hampshire, New Jersey, New Mexico, New York, Oklahoma, Pennsylvania, 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 one customer complaint and one pending customer complaint.