Articles Tagged with Waddell & Reed

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Judy BatPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that former Colorado-based Waddell & Reed broker Judy Bat, also known as Judy Kaffenberger, has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Bat (CRD# 2933022).

Judy Bat has spent 16 years in the securities industry and was most recently registered with Waddell & Reed in Denver, Colorado (2006-2017). Previous registrations include AG Edwards & Sons in St. Louis, Missouri (2000-2003) and Dean Witter Reynolds in Purchase, New York (1997-2000). She has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she passed on September 1, 2016, and Series 7 (General Securities Representative Examination), which she passed on August 8, 2006. Ms. Bat is currently not registered with any state or firm.

According to her BrokerCheck report, Judy Bat has received one customer complaint.

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Curtis RidlonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 10, 2017 indicate that former New Hampshire-based Waddell & Reed broker/adviser Curtis Ridlon has received pending regulatory and customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ridlon (CRD# 1405226).

Curtis Ridlon has spent 31 years in the securities industry and was most recently registered with Waddell & Reed in Bedford, New Hampshire (1985-2016). He has no previous registrations. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 22 (Direct Participation Programs Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is currently not registered with any state or firm.

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

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Sean Dobranich

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 21, 2017 indicate that Nevada-based Waddell & Reed broker/adviser Sean Dobranich has been named in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Dobranich (CRD# 4131182).

Sean Dobranich has spent 17 years in the securities industry and has been registered with Waddell & Reed in Las Vegas, Nevada since 2015. Previous registrations include MetLife Securities in Las Vegas, Nevada; New England Securities in Las Vegas, Nevada; Wells Fargo Advisors in Las Vegas, Nevada; Wells Fargo Investments in Las Vegas, Nevada; MML Investors Services in Springfield, Massachusetts; Banc of America Investment Services in Boston, Massachusetts; Merrill Lynch in New York, New York; and Morgan Stanley DW in Purchase, New York. He is a registered broker and investment adviser with 19 US states and territories.

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

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Steven Fonda

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 22, 2017 indicate that former Nevada-based Waddell & Reed broker/adviser Steven Fonda has been named in a pending customer complaint and was recently discharged from his former employer. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Fonda (CRD# 2198086).

Steven Fonda has spent 22 years in the securities industry and was most recently registered with Waddell & Reed in Reno, Nevada (2009-2017). Previous registrations include Citigroup Global Markets in Reno, Nevada; Merrill Lynch in New York, New York; BA Investment Services in Oakland, California; GNA Securities in Richmond, Virginia; PFS Investments in Duluth, Georgia; Financial Network Investment Corporation in El Segundo, California; American Express Financial Advisors in Minneapolis, Minnesota; and IDS Life Insurance Company in Minneapolis, Minnesota. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one pending customer complaint and was discharged from his former employer.

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Jerrod AngelPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 22, 2017 indicate that Florida-based Waddell & Reed broker/adviser broker/adviser Jerrod Angel has been the subject of a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Angel (CRD# 1466898).

Jerrod Angel has spent 26 years in the securities industry and has been registered with Waddell & Reed in Orlando, Florida since October 2016. Previous registrations include Signator Investors in Port Richey, Florida; TransAmerica Advisors in Port Richey, Florida; SunAmerica Securities in Phoenix, Arizona; Royal Alliance Associates in New York, New York; Calton & Associates in Tampa, Florida; FSC Securities in Atlanta, Georgia; PCI Financial Services; Fitzgerald Dearman & Roberts; and the Stuart-James Company. He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 4 (Registered Options Principal Examination); and Series 24 (General Securities Principal Examination). He is a registered broker and investment adviser with 27 US states and territories.

According to his BrokerCheck report, Jerrod Angel has received one customer complaint and one denied customer complaint.

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Neal Moon

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 31, 2017 indicate that former Texas-based Waddell & Reed broker/adviser Neal Moon has been named in a pending regulatory complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Moon (CRD# 3271716).

Neal Moon has spent fourteen years in the securities industry and was most recently registered with Waddell & Reed in Dallas, Texas (2009-2015). Previous registrations include Ameriprise Financial Services in Plano, Texas and Broker Dealer Financial Services in West Des Moines, Iowa. He is currently not registered with any state or firm.

According to his BrokerCheck report, Neal Moon has received one customer complaint and one pending regulatory complaint.