Super Lawyers
AVVO
Million Dollar Advocates Forum
Martindale-Hubbell
BBB Accredited Business

Craig SherrePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that New York-based Janney Montgomery Scott broker/adviser Craig Sherrer has received a pending customer complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sherrer (CRD# 5972142).

Craig Sherrer has spent seven years in the securities industry and has been registered with Janney Montgomery Scott in Garden City, New York since April 2018. Previous registrations include Newbridge Securities Corporation in New York, New York (2012-2018) and Investors Capital Corporation in New York, New York (2011-2012). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on August 9, 2018; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 9, 2012; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on November 22, 2011. He is a registered broker and investment adviser with 39 US states and territories.

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

John ForresterPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that Florida-based Newbridge Securities Corporation broker John Forrester has received resolved or pending customer complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Forrester (CRD# 728188).

John Forrester has spent 37 years in the securities industry and has been registered with Newbridge Securities Corporation in Boca Raton, Florida since 2010. Previous registrations include Wasserman & Associates in Myrtle Beach, South Carolina (2000-2010); Thos. K. Wasserman & Associates in Boynton Beach, Florida (1995-1999); Dean Witter Reynolds in Purchase, New York (1991-1995); Prudential Securities in New York, New York (1988-1991); Thomson McKinnon Securities (1984-1988); Richardson Greenshields Securities (1984); Arch W. Roberts & Company (1982-1984); Cralin & Company (1982); Fittin Cunningham & Lauzon (1981-1982); and Herzfeld & Stern (1981). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 13, 1984; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on April 11, 1981. He is a registered broker with 18 US states and territories.

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

Jeb BashawPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that Texas-based International Assets Advisory broker/adviser Jeb Bashaw was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bashaw (CRD# 1251491).

Jeb Bashaw has spent 33 years in the securities industry and has been registered with International Assets Advisory in Houston, Texas since 2014. Previous registrations include Wunderlich Securities in Houston, Texas (2014); LPL Financial in Houston, Texas (2001-2014); UBS Painewebber in Weehawken, New Jersey (2000-2001); JC Bradford & Company in New York, New York (1998-2000); SunTrust Equitable Securities in Atlanta, Georgia (1994-1998); Augusta Securities Corporation in Houston, Texas (1991-1994); First America Equities Corporation (1990-1991); Thomas F. White & Company in San Francisco, California (1991); Kidder Peabody & Company (1986-1988); and Merrill Lynch (1984-1986). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 12, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 26, 1984; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on February 7, 2001; Series 7 (General Securities Representative Examination), which he obtained on June 16, 1984; Series 53 (Municipal Securities Principal Examination), which he obtained on March 13, 2006; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on May 30, 1997. He is a registered broker and investment adviser with four US states: Georgia, Maryland, Pennsylvania, and Texas.

According to his BrokerCheck report, he has received three customer complaints and one regulatory sanction.

Robert HartPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that California-based Stifel Nicolaus broker/adviser Robert Hart has received a pending customer complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hart (CRD# 2313194).

Robert Hart has spent 26 years in the securities industry and has been registered with Morgan Stanley in Sea Girt, New Jersey since 2017. Previous registrations include Wells Fargo Clearing Services in Spring Lake, New Jersey (2012-2017); RBC Capital Markets in Wall Township, New Jersey (2008-2012); UBS Financial Services in Red Bank, New Jersey (2004-2008); Morgan Stanley DW in Purchase, New York (1994-2004); Equico Securities in New York, New York (1993-1994); and the Equitable Life Assurance Society of the United States in New York, New York (1993-1994). He has passed eight securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 3, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 18, 1993; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on April 18, 1995; Series 7 (General Securities Representative Examination), which he obtained on October 1, 1994; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 27, 1993; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on April 17, 2001; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on March 2, 2001. He is a registered broker and investment adviser with 22 US states and territories: California, Connecticut, Delaware, Florida, Georgia, Hawaii, Indiana, Louisiana, Maryland, Massachusetts, Montana, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Vermont, and Virginia.

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

Laidlaw & Company

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 8, 2019 indicate that UK-based brokerage firm Laidlaw & Company, also known as Sands Brothers International, has received customer complaints and regulatory sanctions. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Laidlaw & Company (CRD# 119037).

Founded in 1999, Laidlaw & Company received SEC approval in 2002, is headquartered in London, England, and is registered with 53 US states and territories. According to its BrokerCheck report, it has received five regulatory sanctions and two customer complaints that evolved into arbitration.

In 2018, FINRA sanctioned the firm in connection to allegations it failed in its supervisory duties concerning the recommendation of non-traditional exchange-traded funds. FINRA’s findings state specifically that the firm’s supervisory procedures lacked a system that was reasonably designed to ensure personnel reviewed non-traditional ETF transactions or review open positions in non-traditional ETFs so as to determine whether they had been held for long periods of time or resulted in unrealized losses. FINRA’s findings stated that firm representatives solicited 869 non-traditional ETF purchases and 946 non-traditional ETF sales across 312 customer accounts. According to FINRA’s findings, firm written supervisory procedures failed to require firm supervisors to “review open positions in non-traditional ETFs held for extended periods or resulting in unrealized losses,” and additionally failed to impose “product-specific limitations” on the firm’s representatives’ ability to recommend that customers trade in or hold positions in non-traditional ETF products. It was censured and issued a $25,000 fine.

Peter ViglionePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 30, 2019 indicate that New York-based Laidlaw & Company broker Peter Viglione has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Viglione (CRD# 4697621).

Peter Viglione has spent 15 years in the securities industry and has been registered with Laidlaw & Company in New York, New York since 2014. Previous registrations include Portfolio Advisors Alliance in New York, New York (2013-2014); John Thomas Financial in New York, New York (2008-2013); National Securities Corporation in New York, New York (2006-2008); SW Bach & Company in New York, New York (2005-2006); Oppenheimer & Company in New York, New York (2003-2005); and Casimir Capital in Greenwich, Connecticut (2003). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination). He is a registered broker with 43 US states and territories.

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

Furman FordThe US Department of Justice announced on April 23, 2019 that it has arrested Raleigh, North Carolina’s Furman Ford, who has been charged with 11 counts each of wire fraud and mail fraud in the Eastern District of North Carolina.

According to the Department of Justice, Mr. Ford engaged in a scheme from August to December 2014 in which he “committed Mail Fraud and Wire Fraud based on the defendant’s scheme to submit fraudulent withdrawal letters on behalf of an elderly victim to New York Life Insurance (NYL) for payments totaling $246,000.” At the time, he was employed as a financial adviser at New York Life Insurance.

The charges against Mr. Ford note that his alleged victim in 2009 inherited property, valued at $1.3 million, from a relative in North Carolina. Mr. Ford allegedly helped this person establish a charitable trust via New York Life Insurance using the proceeds of the inheritance, and this trust allegedly provided the victim with an annuity of $6,000 per month. The charges state that Mr. Ford’s responsibilities as agent included the drafting and submission of authorized letters of withdrawal from the victim’s account to cover expenses. The charges note that firm guidelines require agents to “have the client sign the letter with ‘wet ink’ before submitting” the letters to New York Life Insurance, after which the funds in question would be wired to their recipients “as directed by the client with their full knowledge and consent.”

Maiden HoldingsPublicly available records indicate that a class action lawsuit has been filed on behalf of investors in Fusion Connect, Inc. (NASDAQ:FSNN) in connection to alleged violations of securities laws by FSNN. Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments made in Fusion Connect, Inc. between April 14, 2018, and April 2, 2019.

The class action complaint specifically alleges that during the period in question, FSNN provided false and/or misleading material information and/or failed to disclose adverse material information to the public, chiefly: that the company overstated its earnings for the 2018 quarters closing on June 30 and September 30; that these overstatements resulted from a flaw in the process some of its Birch Communications Holdings subsidiaries used to capitalize costs; and that consequently the company’s statements to the public during the relevant period were false and misleading. The complaint alleges that when true facts emerged, investors suffered losses.

According to the company’s website, is a cloud technology company that “delivers a comprehensive suite of innovative, yet proven cloud solutions to businesses of all sizes.” According to that description, its cloud platform provides companies with “cloud communications, cloud connectivity, cloud computing and additional cloud services such as storage and security.” The company is headquartered in New York, New York, and trades on the Nasdaq exchange under the symbol FSNN.

Ricky FlattPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 29, 2019 indicate that former Michigan-based Royal Fund Management adviser Ricky Flatt, who has been named in an investigation by state regulatory authorities, recently resigned from his former employer and is currently not affiliated with any broker-dealer or advisory firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wallace (CRD# 2473357).

Ricky Flatt has spent more than 18 years in the securities industry and was most recently registered as an investment adviser with Royal Fund Management in Troy, Michigan (2014-2019). Previous registrations include Invest Financial Corporation in Troy, Michigan (2009-2012); Royal Alliance Associates in Troy, Michigan (1997-2009); and Mariner Financial Services in Largo, Florida (1994-1997). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 24, 2013; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 17, 1994; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 5, 1994. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one regulatory sanction, was recently named in a regulatory investigation, and resigned from his former employer in connection to alleged rule violations.

Thomas Parker

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 30, 2019 indicate that Tennessee-based Thoroughbred Financial Services broker/adviser Thomas Parker has received numerous customer disputes and regulatory sanctions. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Parker (CRD# 356789).

Thomas Parker has spent 45 years in the securities industry and has been registered with Thoroughbred Financial Services in Brentwood, Tennessee since 2000. Previous registrations include Advanced Financial Planning Securities Corporation in Brentwood, Tennessee (1986-2000); Capital Analysts (1974-1986); and Advance Planning Corporation (1973-1974). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 22, 1982; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 1 (Registered Representative Examination), which he obtained on November 13, 1973; and Series 24 (General Securities Principal Examination), which he obtained on January 31, 1986. He is a registered broker and investment adviser with 26 US states and territories.

According to his BrokerCheck report, he has received nine customer complaints, two regulatory sanctions, and one pending investigation by state authorities.