Articles Tagged with RBC Capital Markets

Cheryl GeorgePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate that former New York-based RBC Capital Markets broker/adviser Cheryl George has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. George (CRD# 4151720).

Cheryl George has spent 17 years in the securities industry and was most recently registered with RBC Capital Markets in Williamsville, New York (2009-2018). Previous registrations include Morgan Stanley Smith Barney in Williamsville, New York (2009); Citigroup Global Markets in Williamsville, New York (2001-2009); and M&T Securities in Buffalo, New York (2000-2001). She has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on December 4, 2007; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on June 19, 2000; Series 7 (General Securities Representative Examination), which she obtained on July 18, 2002; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on May 12, 2000 . She is currently not registered with any state or firm.

According to her BrokerCheck report, Cheryl George has received one FINRA sanction and was recently discharged from her former employer.

Justin FletchallPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 10, 2018 indicate that Wisconsin-based RBC Capital Markets broker/adviser Justin Fletchall is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Fletchall (CRD# 4636321).

Justin Fletchall has spent 12 years in the securities industry and has been registered with RBC Capital Markets in Madison, Wisconsin since 2006. He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on March 3, 2006, and Series 7 (General Securities Representative Examination), which he obtained on February 2, 2006. He is a registered broker and investment adviser with 43 US states and territories and with ten self-regulatory organizations (SROs): BOX Options Exchange LLC, Cboe Exchange Inc., FINRA, NYSE American LLC, NYSE Arca Inc., Nasdaq BX Inc., Nasdaq ISE LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

David McIlroyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 19, 2018 indicate that New York-based RBC Capital Markets broker/adviser David McIlroy is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McIlroy (CRD# 1329993).

David McIlroy has spent 33 years in the securities industry and has been registered with RBC Capital Markets in New York, New York, where he is Senior Vice President of the McIlroy Investment Group, since 2008. He was previously registered with McLaughlin Piven Vogel Securities in New York, New York (1985-2008). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on February 20, 2001; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 2, 1984; Series 7 (General Securities Representative Examination), which he obtained on January 19, 1985; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on June 17, 1987. He is a registered broker and investment adviser with 30 US states and territories and with ten self-regulatory organizations: BOX Options Exchange LLC, the Chicago Board Options Exchange, FINRA, NYSE American LLC, NYSE Arca, Nasdaq BX, Nasdaq ISE, Nasdaq PHLX, the Nasdaq Stock Market, and the New York Stock Exchange.

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

James Means

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 17, 2018 indicate that Florida-based RBC Capital Markets broker/adviser James Means has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Means (CRD# 714045).

James Means has spent 37 years in the securities industry and has been registered with RBC Capital Markets in Naples, Florida since 1998. Previous registrations include Dain Rauscher Incorporated (1988-1998); the Milwaukee Company (1983-1988); and Smith Barney Harris Upham & Company (1980-1983). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 21, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 19, 1980; and Series 7 (General Securities Representative Examination), which he obtained on August 16, 1980. He is a registered broker and investment adviser with 12 US states and territories: Arizona, California, Colorado, Florida, Illinois, Massachusetts, Michigan, Minnesota, Montana, Nevada, Tennessee and Wisconsin. He is registered with ten self-regulatory organizations (SROs): BOX Options Exchange LLC, the Chicago Board Options Exchange, FINRA, NYSE American LLC, NYSE Arca, Nasdaq BX, Nasdaq ISE LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Anthony Salerno

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 12, 2017 indicate that Massachusetts-based Ameriprise Financial Services and RBC Capital Markets broker/adviser Anthony Salerno is involved in pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Salerno (CRD# 1761733).

Anthony Salerno has spent 28 years in the securities industry and has been registered with Ameriprise Financial Services in Boston, Massachusetts since 2017 and with RBC Capital Markets in South Easton, Massachusetts since 2005. Previous registrations include AdVest in Hartford, Connecticut (2002-2005); AG Edwards & Sons in St. Louis, Missouri (1997-2002); Cowen & Company in New York, New York (1995-1997); Smith Barney in New York, New York (1991-1995); and Dean Witter Reynolds in Purchase, New York (1988-1991). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 6, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 26, 1989; and Series 7 (General Securities Representative Examination), which he obtained on December 17, 1988. He is a registered broker and investment adviser with 23 US states and territories: Arizona, California, Connecticut, the District of Columbia, Florida, Georgia, Illinois, Maine, Massachusetts, Michigan, Missouri, New Hampshire, New Jersey, New Mexico, New York, Pennsylvania, Rhode Island, South Carolina, Utah, Vermont, Virginia and Washington. He is registered with ten self-regulatory organizations (SROs): BOX Options Exchange LLC, the Chicago Board Options Exchange, FINRA, NYSE American LLC, NUSE Arca, Nasdaq BX, Nasdaq ISE, Nasdaq PHLX, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Steven Karmelin

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on November 14, 2017 indicate that Florida-based RBC Capital Markets broker/adviser Steven Karmelin is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Karmelin (CRD# 2866387).

Steven Karmelin has spent 19 years in the securities industry and has been registered with RBC Capital Markets in West Palm Beach, Florida since 2009. Previous registrations include JB Hanauer & Company in West Palm Beach, Florida (2002-2009); First Union Securities in St. Louis, Missouri (2000-2001); First Union Brokerage Services in Charlotte, North Carolina (2000); American General Financial Advisors in Houston, Texas (2000); the Variable Annuity Marketing Company in Houston, Texas (2000); American Express Financial Advisors in Minneapolis, Minnesota (1998-1999); IDS Life Insurance Company in Minneapolis, Minnesota (1998-1999); Bluestone Capital Partners in New York, New York (1997); and Dean Witter Reynolds in Purchase, New York (1997). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 21, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 29, 1997; and Series 7 (General Securities Representative Examination), which he obtained on April 24, 1997. He is registered with ten self-regulatory organizations (SROs): BOX Options Exchange LLC, the Chicago Board Options Exchange, FINRA, NYSE American LLC, NYSE Arca, Inc., Nasdaq BX, Inc., Nasdaq ISE LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Kyle Doege

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 20, 2017 indicate that Kansas-based RBC Capital Markets broker/adviser Kyle Doege has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Doege (CRD# 5752389).

Kyle Doege has spent seven years in the securities industry and has been registered with RBC Capital Markets in Leawood, Kansas since 2014. He was previously registered with Wells Fargo Advisors in Overland, Park, Kansas (2010-2014). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 28 US states and territories, including: Arizona, Arkansas, California, Colorado, Georgia, Illinois, Indiana, Kansas, Massachusetts, Minnesota, Montana, New York, North Carolina, Ohio, South Carolina, Texas, Vermont, Virginia and Washington. He is also registered with ten self-regulatory organizations (SROs), including: BOX Options Exchange, the Chicago Board Options Exchange, FINRA, NYSE American LLC, Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, Kyle Doege has received one customer complaint.

Martin OlsonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 19, 2017 indicate that Illinois-based RBC Capital Markets broker/adviser Martin Olson has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Olson (CRD# 1673374).

Martin Olson has spent 30 years in the securities industry and has been registered with RBC Capital Markets in Buffalo Grove, Illinois since 1998. Previous registrations include Dain Rauscher (1988-1998) and the Milwaukee Company (1987-1988). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 31 (Futures Managed Funds Examination); and Series 7 (General Securities Representative Examination). His self-regulatory organization registrations include BOX Options Exchange, Chicago Board Options Exchange, FINRA, NYSE American, NYSE Arca, and Nasdaq Stock Market. He is a registered broker and investment adviser with 18 US states and territories: Arizona, California, the District of Columbia, Colorado, Florida, Illinois, Indiana, Maryland, Michigan, Minnesota, Missouri, Montana, North Carolina, Oklahoma, Texas, Virginia, Washington, and Wisconsin.

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

Ross FeigenPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 18, 2017 indicate that New Jersey-based RBC Capital Markets broker/adviser Ross Feigen has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Feigen (CRD# 4562310).

Ross Feigen has spent 14 years in the securities industry and has been registered with RBC Capital Markets in Florham Park, New Jersey since 2007. Previous registrations include Citigroup Global Markets in New York, New York (2005-2006); Banc of America Investment Services in Boston, Massachusetts (2004-2005); and RBC Dain Rauscher in New York, New York (2002-2004). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 15 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Illinois, Maryland, Massachusetts, New Jersey, New York, North Carolina, Pennsylvania, Texas, Utah, and Wisconsin.

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

John Folsom

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 18, 2017 indicate that California-based RBC Capital Markets broker/adviser John Folsom has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Folsom (CRD# 864259).

John Folsom has spent 38 years in the securities industry and has been registered with RBC Capital Markets in La Jolla, California since 2005. He was previously registered with Merrill Lynch in New York, New York (1979-2005). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 31 (Futures Managed Funds Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 25 US states and territories.

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