Articles Tagged with Merrill Lynch

john forster

Publicly 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.

David PappasPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that Michigan-based Merrill Lynch broker/adviser David Pappas has been involved in customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Pappas (CRD# 1189108).

David Pappas has spent 34 years in the securities industry and has been registered with Merrill Lynch in Bloomfield Hills, Michigan since 1983. He has no previous registrations. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 14, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 26, 1983; Series 31 (Futures Managed Funds Examination), which he obtained on February 10, 2007; and Series 7 (General Securities Representative Examination), which he obtained on September 17, 1983. He is a registered broker and investment adviser with 30 US states and territories.

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

Tahesin Somji Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 19, 2018 indicate that Texas-based Merrill Lynch broker/adviser Tahesin Somji, also known as Tes Somji, has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Somji (CRD# 3024911).

Tahesin Somji has spent 18 years in the securities industry and has been registered with Merrill Lynch in Fort Worth, Texas since 2007. Previous registrations include Edward Jones in Arlington, Texas (2000-2007); American Express Financial Advisors in Minneapolis, Minnesota (1998); and IDS Life Insurance Company in Minneapolis, Minnesota (1998). He has passed three securities industry examinations: Series 65 (Uniform Combined State Law Examination), which he obtained on February 23, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 20, 1998; and Series 7 (General Securities Representative Examination), which he obtained on May 13, 1998. He is a registered broker and investment adviser with eleven US states and territories: California, Florida, Iowa, Mississippi, New Mexico, New York, Oklahoma, Tennessee, Texas, Virginia and Washington.

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

Charles Friedlander Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 2, 2018 indicate that New York-based Merrill Lynch broker/adviser Charles Friedlander is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Friedlander (CRD# 1766198).

Charles Friedlander has spent 30 years in the securities industry and has been registered with Merrill Lynch in Garden City, New York since 2013. Previous registrations include Morgan Stanley in Garden City, New York (2009-2013); Citigroup Global Markets in Garden City, New York (1993-2009); and Lehman Brothers in New York, New York (1987-1993). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 18, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 4, 1987; Series 3 (National Commodity Futures Examination), which he obtained on December 21, 1987; and Series 7 (General Securities Representative Examination), which he obtained on November 21, 1987. He is a registered broker and investment advisers with 25 US states and territories: Alabama, Arizona, California, Connecticut, Delaware, the District of Columbia, Florida, Georgia, Maryland, Massachusetts, Michigan, Missouri, Nevada, New Jersey, New Mexico, New York, North Carolina, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Vermont, Virginia, and Wisconsin.

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

Christopher HibbardPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 21, 2018 indicate that former Kentucky-based Merrill Lynch broker/adviser Christopher Hibbard is involved in a pending customer dispute and 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. Hibbard (CRD# 3176484).

Christopher Hibbard has spent 18 years in the securities industry and was most recently registered with Merrill Lynch in Louisville, Kentucky (2010-2018). Previous registrations include Morgan Keegan & Company in Louisville, Kentucky (2004-2010) and AG Edwards & Sons in St. Louis, Missouri (1999-2004). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 5, 1999, and Series 7 (General Securities Representative Examination), which he obtained on March 16, 1999. He is currently not registered with any state or firm.

According to his BrokerCheck report, Christopher Hibbard has received one pending customer complaint and was discharged from his former employer in connection to alleged rule violations.

Charles KenahanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 20, 2018 indicate that Massachusetts-based Merrill Lynch broker/adviser Charles Kenahan has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kenahan (CRD# 1351974).

Charles Kenahan has spent 32 years in the securities industry and has been registered with Merrill Lynch in Boston, Massachusetts since 2007. Previous registrations include Morgan Stanley & Company in Boston, Massachusetts (2007); Morgan Stanley DW in Boston, Massachusetts (1994-2007); Smith Barney in New York, New York (1989-1994); Bear Stearns & Company in New York, New York (1986-1989); and Thomson McKinnon Securities (1985-1986). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 24, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 7, 1985; and Series 7 (General Securities Representative Examination), which he obtained on April 20, 1985. He is a registered broker and investment adviser with 19 US states and territories: California, Colorado, Connecticut, Delaware, the District of Columbia, Florida, Illinois, Maine, Maryland, Massachusetts, New Hampshire, New Mexico, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, Utah, and Vermont. His self-regulatory organization (SRO) registrations include: BOX Options Exchange LLC, Bats BZX Exchange, Bats EDGX Exchange, C2 Options Exchange, the Chicago Stock Exchange, FINRA, MIAX PEARL LLC, NYSE American LLC, Nasdaq BX, Nasdaq MRX, the Nasdaq Stock Market, and the New York Stock Exchange.

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

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.

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.

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.

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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