Articles Tagged with GMS Group

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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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Lawrence HewlettPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 6, 2018 indicate that Florida-based GMS Group broker Lawrence Hewlett has received resolved or pending customer disputes and a regulatory sanction. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hewlett (CRD# 853355).

Lawrence Hewlett has spent 38 years in the securities industry and has been registered with The GMS Group in Boca Raton, Florida since 2008. Previous registrations include Newbridge Securities Corporation in Fort Lauderdale, Florida (2006-2008); Janney Montgomery Scott in Fort Lauderdale, Florida (2002-2006); Ryan Beck & Company in Florham Park, New Jersey (2002); Gruntal & Company in New York, New York (1996-2002); Oppenheimer & Company in New York, New York (1991-1996); The GMS Group in Livingston, New Jersey (1988-1991); Moore & Schley Cameron & Company (1985-1988); Moore & Schley Municipals in Livingston, New Jersey (1985-1988); Smith Barney Harris Uphan & Company (1985); Bevill Bresler & Schulman (1984-1985); Marcus Stowell & Beye (1983-1984); Heyman-Cole Investment Securities Corporation (1982-1983); Comark Securities (1982); Donald Sheldon & Company (1980-1981); G. Weeks & Company (1979); and Bevill Bresler & Schulman (1978). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 22, 1980; Series 7 (General Securities Representative Examination), which he obtained on May 19, 1984; Series 52 (Municipal Securities Representative Examination), which he obtained on March 23, 1979; and Series 1 (Registered Representative Examination), which he obtained on June 9, 1978. He is a registered broker with 16 US states and territories: Arizona, Colorado, the District of Columbia, Florida, Georgia, Louisiana, Maryland, Massachusetts, Michigan, New Jersey, Nebraska, New York, North Carolina, Ohio, Pennsylvania and Tennessee.

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

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Malcolm Reader

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 2, 2018 indicate that Florida-based GMS Group broker Malcolm Reader has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Reader (CRD# 1009953).

Malcolm Reader has spent 35 years in the securities industry and has been registered with The GMS Group in Boca Raton, Florida since 1988. Previous registrations include Moore & Schley Cameron & Company (1985-1988); Moore & Schley Municipals (1985-1988); EF Hutton & Company (1985); Bevill Bresler & Schulman (1983-1985); Hanauer Stern & Company (1982-1983); and JB Hanauer & Company (1982). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 21, 1982; Series 7 (General Securities Representative Examination), which he obtained on June 19, 1982; and Series 52 (Municipal Securities Representative Examination), which he obtained on September 19, 1981. He is a registered broker and investment adviser with 23 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Georgia, Illinois, Kentucky, Maryland, Massachusetts, Michigan, Missouri, New Jersey, New York, North Carolina, Pennsylvania, Ohio, South Carolina, Texas, Virginia, Washington, and Wisconsin.

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

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Cormac MaughanPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 30, 2017 indicate that New Jersey-based GMS Group broker Cormac Maughan has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Maughan (CRD# 1528683).

Cormac Maughan has spent 31 years in the securities industry and has been registered with The GMS Group in Livingston, New Jersey since 2004. Previous registrations include AG Edwards & Sons in St. Louis, Missouri (1995-2004); Nori Hennion Walsh in Parsippany, New Jersey (1990-1995); and Municipal Investors Service in Newark, New Jersey (1986-1990). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 26, 1986; Series 7 (General Securities Representative Examination), which he obtained on March 21, 1987; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 11, 1986. He is a registered broker with 18 US states and territories: Alabama, Arizona, California, Colorado, Connecticut, Florida, Hawaii, Illinois, Iowa, Massachusetts, New Hampshire, New Jersey, New York, Pennsylvania, South Carolina, Texas, Virginia and Washington. He is registered with two self-regulatory organizations: FINRA and the Nasdaq Stock Market.

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

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Carmine CaponePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 18, 2016 indicate that Florida-based GMS Group broker Carmine Capone has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Capone (CRD# 1124455).

Carmine Capone has spent 32 years in the securities industry and has been registered with the GMS Group in Boca Raton, Florida since 1988. Previous registrations include Moore & Schley, Cameron & Company; Moore & Schley Municipals; EF Hutton & Company; Donald Sheldon & Company; Halpert Oberst & Company; and William M. Cadden & Company. He is a registered broker with 25 US states and territories. Continue reading →