Articles Tagged with Merrill Lynch

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David KondrackePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2018 indicate that former Ohio-based Merrill Lynch broker/adviser David Kondracke has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kondracke (CRD# 849161).

David Kondracke has spent 38 years in the securities industry and was most recently registered with Merrill Lynch in Columbus, Ohio (2006-2017). Previous registrations include Advest in Hartford, Connecticut (1984-2006) and Vercoe & Company (1978-1984). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on April 18, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 26, 1985; Series 7 (General Securities Representative Examination), which he obtained on February 18, 1978; and Series 40 (Registered Principal Examination), which he obtained on December 14, 1978. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has been sanctioned by FINRA and received two customer complaints.

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Joel Lansat

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2018 indicate that Florida-based Merrill Lynch broker/adviser Joel Lansat has been involved in several resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lansat (CRD# 1623241).

Joel Lansat has spent 30 years in the securities industry and has been registered with Merrill Lynch in Palm Beach Gardens, Florida since 2014. Previous registrations include Morgan Stanley in Palm Beach Gardens, Florida (2009-2014); Citigroup Global Markets in Palm Beach Gardens, Florida (1993-2009); Lehman Brothers in New York, New York (1988-1993); and EF Hutton & Company (1987-1988). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 4, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 16, 1987; and Series 7 (General Securities Representative Examination), which he obtained on February 21, 1987. He is a registered broker and investment adviser with 22 US states and territories: Arizona, California, Colorado, California, Connecticut, the District of Columbia, Florida, Hawaii, Illinois, Kansas, Maryland, Massachusetts, Michigan, New Jersey, New York, North Carolina, North Carolina, Pennsylvania, Rhode Island, South Carolina, Texas, Virginia, Washington and Wisconsin.

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

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Jon Winningham

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2018 indicate that Arizona-based Merrill Lynch broker/adviser Jon Winningham has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Winningham (CRD# 4214362).

Jon Winningham has spent eleven years in the securities industry and has been registered with Merrill Lynch in Chandler, Arizona since 2014. Previous registrations include Vanguard Marketing Corporation in Scottsdale, Arizona and American Century Investment Services in Kansas City, Missouri (2005-2008). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on April 21, 2014; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 11, 2005; Series 7 (General Securities Representative Examination), which he obtained on July 3, 2012; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on. He is a registered broker and investment adviser with 53 US states and territories and with 21 self-regulatory organizations (SROs), including: BOX Options Exchange LLC, Bats BYX Exchange, C2 Options Exchange, the Chicago Board Options Exchange, the Chicago Stock Exchange, FINRA, Investors’ Exchange, MIAX PEARL, NYSE American LLC, Nasdaq BX Inc., the Nasdaq Stock Market, and the New York Stock Exchange.

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

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Audra StevensonPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 8, 2018 indicate that Hawaii-based Merrill Lynch broker/adviser Audra Stevenson, also known as Audra Butera, has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Stevenson (CRD# 4355595).

Audra Stevenson has spent 12 years in the securities industry and has been registered with Merrill Lynch in Honolulu, Hawaii since 2014. Previous registrations include Morgan Stanley Smith Barney in Honolulu, Hawaii (2009-2010) and Citigroup Global Markets in Honolulu, Hawaii (2001-2009). She has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on July 21, 2014; Series 65 (Uniform Investment Adviser Law Examination), which she obtained on April 6, 2001; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on March 29, 2001; and Series 7 (General Securities Representative Examination), which she obtained on May 5, 2014. She is a registered broker and investment adviser with 16 US states and territories: Arizona, California, Colorado, Florida, Hawaii, Illinois, Michigan, Montana, Nebraska, Nevada, New York, North Carolina, Oregon, Texas, Virginia, and Washington. Her self-regulatory organization (SRO) registrations include: BOX Options Exchange LLC, Bats BYX Exchange, Bats BZX Exchange, C2 Options Exchange, the Chicago Board Options Exchange, the Chicago Stock Exchange, FINRA, Investors’ Exchange, the Miami International Securities Exchange, the Nasdaq Stock Market, and the New York Stock Exchange.

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

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Nichola AginsPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 25, 2017 indicate that North Carolina-based Merrill Lynch broker/adviser Nichola Agins is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Agins (CRD# 2920530).

Nichola Agins has spent 16 years in the securities industry and has been registered with Merrill Lynch in Cary, North Carolina since 2006. Previous registrations include Morgan Stanley DW in Naples, Florida (2002-2006) and First Union Securities in St. Louis, Missouri (2001-2002). She has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on July 2, 2002; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on March 6, 2002; Series 31 (Futures Managed Funds Examination), which she obtained on July 19, 2002; and Series 7 (General Securities Representative Examination), which she obtained on July 31, 2001. She is a registered broker and investment adviser with 21 US states and territories: Alabama, Arizona, Colorado, Florida, Georgia, Illinois, Iowa, Maine, Maryland, Massachusetts, Missouri, Nevada, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Tennessee, Texas, Virginia and Wisconsin.

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

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Jesse BakerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 25, 2017 indicate that former Arizona-based Merrill Lynch broker/adviser Jesse Baker has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Baker (CRD# 6623314).

Jesse Baker has spent one year in the securities industry and was most recently registered with Merrill Lynch in Chandler, Arizona (2016-2017). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 21, 2016, and Series 7 (General Securities Representative Examination), which he obtained on April 12, 2016. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was recently discharged from his former employer and sanctioned by FINRA in connection to alleged rule violations.

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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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Jeff HyltonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 4, 2017 indicate that Georgia-based Merrill Lynch broker/adviser Jeff Hylton is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hylton (CRD# 2288917).

Jeff Hylton has spent 24 years in the securities industry and has been registered with Merrill Lynch in Gainesville, Georgia since 1993. Previous registrations include FN Wolf & Company (1992-1993). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 26, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 26, 1992; Series 7 (General Securities Representative Examination), which he obtained on October 21, 1992; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on February 19, 2008; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on February 15, 2008. He is a registered broker and investment adviser with 53 US states and territories and with 21 self-regulatory organizations (SROs), including: BOX Options Exchange, Bats BYX Exchange, C2 Options Exchange, the Chicago Board Options Exchange, FINRA, MIAX PEARL LLC, the Miami International Securities Exchange, Nasdaq BX, the Nasdaq Stock Market, and the New York Stock Exchange.

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

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Jonathan BeldenPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 28, 2017 indicate that former California-based Merrill Lynch broker/adviser Jonathan Belden was terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Belden (CRD# 5955909).

Jonathan Belden has spent three years in the securities industry and was most recently registered with Merrill Lynch in Oakland, California (2014-2017). He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on June 20, 2014, and Series 7 (General Securities Representative Examination), which he obtained on May 22, 2014. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was discharged from his former employer in connection to alleged rule violations.

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Stephen GuttenbergPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 2, 2017 indicate that Florida-based Merrill Lynch broker/adviser Stephen Guttenberg has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Guttenberg (CRD# 2455468).

Stephen Guttenberg has spent 23 years in the securities industry and has been registered with Merrill Lynch in Boca Raton, Florida since 1994. He has no previous registrations. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 6, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 26, 1994; and Series 7 (General Securities Representative Examination), which he obtained on April 11, 1994. He is a registered broker and investment adviser with 28 US states and territories and 20 self-regulatory organizations (SROs), including: BOX Options Exchange, Bats BYX Exchange, Bats EDGA Exchange, the Chicago Board Options Exchange, the Chicago Stock Exchange, FINRA, Investors’ Exchange, NYSE American LLC, Nasdaq BX, the Nasdaq Stock Market, and the New York Stock Exchange.

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