Articles Tagged with Merrill Lynch

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Frank ZitoPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 23, 2018 indicate that Mississippi-based Merrill Lynch broker/adviser Frank Zito has received a pending customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Zito (CRD# 2766336).

Frank Zito has spent 21 years in the securities industry and was most recently registered with Merrill Lynch in Ridgeland, Mississippi (2010-2018). Previous registrations include Morgan Keegan & Company in Jackson, Mississippi (2007-2010); Amsouth Investment Services in Jackson, Mississippi (2000-2007); Invest Financial Corporation in Appleton, Wisconsin (1998-2000); Deposit Guaranty Investments (1998); and Prudential Securities in New York, New York (1996-1998). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 13, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 28, 1996; and Series 7 (General Securities Representative Examination), which he obtained on August 13, 1996. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one pending customer complaint and one customer complaint that was closed with no action taken.

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Craig WakefieldPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 17, 2018 indicate that Texas-based Merrill Lynch broker/adviser Craig Wakefield is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wakefield (CRD# 2957545).

Craig Wakefield has spent 18 years in the securities industry and has been registered with Merrill Lynch in Houston, Texas since 2010. Previous registrations include Condera Securities in Houston, Texas (2004-2010); Neuberger Berman in New York, New York (2003-2004); Managers Distributors in Greenwich, Connecticut (2002-2003); and Merrill Lynch in New York, New York (1997-2000). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 4, 1997, and Series 7 (General Securities Representative Examination), which he obtained on November 18, 1997. He is a registered broker and investment adviser with 34 US states and territories.

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

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https://images.unsplash.com/photo-1512850183-6d7990f42385?ixlib=rb-0.3.5&ixid=eyJhcHBfaWQiOjEyMDd9&s=bb095116a8cfd26cec5c171f8438a213&dpr=1&auto=format&fit=crop&w=1000&q=80&cs=tinysrgbPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 11, 2018 indicate that Texas-based Merrill Lynch broker/adviser Erik Littlejohn has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Littlejohn (CRD# 1910841).

Erik Littlejohn has spent 29 years in the securities industry and has been registered with Merrill Lynch in Houston, Texas since 2015. Previous registrations include UBS Financial Services in Houston, Texas (2009-2015); Morgan Stanley Smith Barney in Houston, Texas (2009); Morgan Stanley & Company in Houston, Texas (2007-2009); Morgan Stanley DW in Houston, Texas (2004-2007); Citigroup Global Markets in New York, New York (1993-2004); and Lehman Brothers in New York, New York (1989-1993). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 27, 1989; Series 3 (National Commodity Futures Examination), which he obtained on February 27, 1989; Series 7 (General Securities Representative Examination), which he obtained on January 21, 1989. He is a registered broker and investment adviser with 14 US states: Arizona, California, Colorado, Delaware, Florida, Louisiana, Missouri, Nevada, New York, Rhode Island, Tennessee, Texas, Virginia, and Washington.

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

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Terance PowerPublic records published by the Financial Industry Regulatory Authority (FINRA) on June 8, 2018 indicate that California-based Merrill Lynch broker/adviser Terance Power has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Power (CRD# 3259997).

Terance Power has spent 18 years in the securities industry and has been registered with Merrill Lynch in Beverly Hills, California since 2008. Previous registrations include UBS Financial Services in Beverly Hills, California (2001-2008) and Morgan Stanley in Purchase, New York (1999-2001). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 2, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 21, 1999; and Series 7 (General Securities Representative Examination), which he obtained on August 10, 1999. He is a registered broker and investment adviser with 13 US states and territories: Arizona, California, the District of Columbia, Florida, Hawaii, Nevada, New Jersey, New York, Oregon, Pennsylvania, Texas, Vermont, and Washington.

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

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Robert KostigenPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 29, 2018 indicate that Massachusetts-based Merrill Lynch broker/adviser Robert Kostigen has received a customer dispute and a regulatory sanction. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kostigen (CRD# 1203410).

Robert Kostigen has spent 28 years in the securities industry and has been registered with Merrill Lynch in Burlington, Massachusetts since 2009. Previous registrations include Banc of America Investment Services in Concord, Massachusetts (2004-2009); Quick & Reilly in New York, New York (2000-2004); BankBoston Investor Services in Boston, Massachusetts (1996-2000); Baybanks Brokerage Services (1993-1996); Congress Securities Company (1992-1993; 1989-1990); Liberty Securities Corporation (1987); Fidelity Brokerage Services (1986-1987); Dean Witter Reynolds (1984-1986); and Buttonwood Securities Corporation of Massachusetts (1984). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 22, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 3, 1992; Series 7 (General Securities Representative Examination), which he obtained on June 4, 1992; and Series 24 (General Securities Principal Examination), which he obtained on February 27, 1999. He is a registered broker and investment adviser with 21 US states and territories: California, Colorado, Connecticut, the District of Columbia, Florida, Georgia, Illinois, Maine, Maryland, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Oregon, Pennsylvania, Rhode Island, South Carolina, Texas, Virginia, and Wisconsin.

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

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Laura HansonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 7, 2018 indicate that Florida-based Merrill Lynch broker/adviser Laura Hanson received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Hanson (CRD# 1121184).

Laura Hanson has spent 35 years in the securities industry and has been registered with Merrill Lynch in Palm Beach, Florida since 2007. Previous registrations include UBS Financial Services in Palm Beach Gardens, Florida (1992-2007); Kidder Peabody & Company in New York, New York (1985-1992); and Merrill Lynch (1983-1985). She has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on April 2, 1992; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on April 28, 1983; Series 5 (Interest Rate Options Examination), which she obtained on May 4, 1983; and Series 7 (General Securities Representative Examination), which she obtained on April 16, 1983. She is a registered broker and investment adviser with 29 US states and territories.

According to her BrokerCheck report, she has received four customer complaints.

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John KettmanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 2, 2018 indicate that California-based Merrill Lynch broker/adviser John Kettman has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kettman (CRD# 2136900).

John Kettman has spent 26 years in the securities industry and has been registered with Merrill Lynch in San Jose, California since 2009. Previous registrations include Banc of America Investment Services in Saratoga, California (2004-2009); Morgan Stanley DW in Purchase, New York (1994-2004); Merrill Lynch in New York, New York (1991-1994); and FN Wolf & Company (1991). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 20, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 29, 1991; Series 31 (Futures Managed Funds Examination), which he obtained on March 9, 1995; Series 7 (General Securities Representative Examination), which he obtained on May 31, 1991; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on June 20, 1997. He is a registered broker and investment adviser with 15 US states: Arizona, California, Colorado, Connecticut, Florida, Indiana, Nevada, New Hampshire, New Jersey, New York, North Carolina, Oregon, Texas, and Washington.

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

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Ethan De NarayPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 1, 2018 indicate that former Minnesota-based Feltl & Company broker/adviser Ethan De Naray, who has received a customer dispute, was discharged from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. De Naray (CRD# 4571532).

Ethan De Naray has spent 15 years in the securities industry and has been registered with Feltl & Company in Wayzata, Minnesota since July 2017. Previous registrations include Merrill Lynch in Minneapolis, Minnesota (2008-2017) and Citigroup Global Markets in Minneapolis, Minnesota (2002-2008). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 9, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 8, 2002; Series 3 (National Commodity Futures Examination), which he obtained on June 1, 2012; Series 31 (Futures Managed Funds Examination), which he obtained on October 13, 2005; and Series 7 (General Securities Representative Examination), which he obtained on September 19, 2002. He is a registered broker and investment adviser with 11 US states and territories: California, Colorado, Florida, Illinois, Michigan, Minnesota, New Jersey, New York, Texas, Washington, and Wisconsin.

According to his BrokerCheck report, Ethan De Naray has received one customer complaint and was discharged from his former employer in connection to alleged rule violations.

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Bill DowningPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 20, 2018 indicate that former Texas-based Coastal Equities broker/adviser William Downing, also known as Bill Downing, has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Downing (CRD# 1529382).

William Downing has spent 31 years in the securities industry and was most recently registered with Coastal Equities in Wimberley, Texas (2017-2018). Previous registrations include JW Cole Financial in Wimberley, Texas (2012-2017); Merrill Lynch in Austin, Texas (2010-2012); Wells Fargo Advisors in Austin, Texas (2008-2010); AG Edwards & Sons in Austin, Texas (2000-2008); Morgan Keegan & Company in Memphis, Tennessee (1995-2001); Painewebber in Weehawken, New Jersey (1991-1995); Rotan Mosle (1989-1991); and Shearson Lehman Hutton in New York, New York (1986-1989). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and two pending customer complaints, and he has been terminated from two former employers in connection to alleged rule violations.

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John ForsterPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 17, 2018 indicate that DC-based Merrill Lynch broker/adviser John Forster has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Forster (CRD# 1303832).

John Forster has spent 33 years in the securities industry and has been registered with Merrill Lynch in Washington, DC since 2012. Previous registrations include Morgan Stanley in Washington, DC (2009-2012); Citigroup Global Markets in Washington, DC (1993-2009); Lehman Brothers in New York, New York (1988-1993); and EF Hutton & Company (1984-1988). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 12, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 28, 1984; Series 7 (General Securities Representative Examination), which he obtained on September 15, 1984; and Series 3 (National Commodity Futures Examination), which he obtained on May 11, 1984. He is a registered broker and investment adviser with 31 US states and territories.

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