Articles Tagged with Wunderlich Securities

Andrew BloomPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 30, 2018 indicate that Illinois-based Wunderlich Securities broker/adviser Andrew Bloom has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bloom (CRD# 4387784).

Andrew Bloom has spent 16 years in the securities industry and has been registered with Wunderlich Securities in Chicago, Illinois since 2012. Previous registrations include BC Ziegler & Company in Chicago, Illinois (2009-2012); Morgan Stanley Smith Barney in Deerfield, Illinois (2009); Citigroup Global Markets in Deerfield, Illinois (2003-2009); and Morgan Stanley DW in Purchase, New York (2001-2003). He has passed three securities industry examinations: Series 65 (Uniform Combined State Law Examination), which he obtained on June 29, 2001; Series 3 (National Commodity Futures Examination), which he obtained on July 10, 2001; and Series 7 (General Securities Representative Examination), which he obtained on June 14, 2001. He is a registered broker and investment adviser with 26 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Georgia, Illinois, Indiana, Iowa, Kansas, Massachusetts, Michigan, Minnesota, Missouri, Nevada, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, Texas, Virginia, Washington, and Wisconsin.

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

Jordan BrownPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 6, 2017 indicate that former New York-based Wunderlich Securities broker Jordan Brown has received a pending customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Brown (CRD# 1464333).

Jordan Brown has spent 27 years in the securities industry and was most recently registered with Wunderlich Securities in Great Neck, New York (2007-2013). Previous registrations include Maxim Group in Woodbury, New York (2005-2007); HD Brous & Company in Great Neck, New York (2001-2005); Salomon Smith Barney in New York, New York (1993-2001); Lehman Brothers in New York, New York (1987-1993); and McLaughlin Piven Vogel (1986-1987). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 14, 1986, and Series 7 (General Securities Representative Examination), which he obtained on March 15, 1986. He is currently not registered with any state or firm.

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

Jack McBridePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 7, 2017 indicate that Michigan-based Wunderlich Securities broker/adviser Jack McBride has received customer disputes and was recently named in a FINRA investigation. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McBride (CRD# 2517946).

Jack McBride has spent 22 years in the securities industry and has been registered with Wunderlich Securities in Birmingham, Michigan since 2014. Previous registrations include Ameriprise Financial Services in Farmington Hills, Michigan (2009-2014) and Ameriprise Advisor Services in West Bloomfield, Michigan (1994-2009). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]). He is a registered broker and investment adviser with 17 US states and territories: Arkansas, California, Colorado, Connecticut, Florida, Georgia, Illinois, Iowa, Michigan, Minnesota, New Hampshire, New York, North Carolina, Ohio, South Carolina, Vermont and Wisconsin.

According to his BrokerCheck report, he has received two customer complaints, was recently named in two FINRA investigations, and was discharged from a former employer.

Michael HebnerPublic records published by the Financial Industry Regulatory Authority (FINRA) on February 27, 2017 indicate that Michigan-based IFS Securities broker Michael Hebner has been the subject of resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hebner (CRD# 1406979).

Michael Hebner has spent 31 years in the securities industry and has been registered with IFS Securities in Flint, Michigan since 2015. Previous registrations include Wunderlich Securities in Flint, Michigan; RBC Capital Markets in Flint, Michigan; Ferris Baker Watts in Flint, Michigan; Raymond James & Associates in Flint, Michigan; Roney & Company in Detroit, Michigan; First of Michigan Corporation in Detroit, Michigan; Thomson McKinnon Securities; and First of Michigan Securities. He is a registered broker with ten US states and territories: Arizona, California, Florida, Kansas, Massachusetts, Michigan, Ohio, Oregon, Texas and Washington.

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

Murray Roark Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 22, 2016 indicate that Texas-based Wunderlich Securities broker/adviser Murray Roark is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Roark (CRD# 1041803).

Murray Roark has spent 33 years in the securities industry and has been registered with Wunderlich Securities in Dallas, Texas since 2011. Previous registrations include Morgan Keegan & Company in Fort Worth, Texas; Robert W. Baird & Company in Milwaukee, Wisconsin; Northwestern Mutual Investment Services in Milwaukee, Wisconsin; Dain Rauscher in New York, New York; Rauscher Pierce Refsnes in Dallas, Texas; Dean Witter Reynolds in Purchase, New York; EF Hutton & Company; and Shearson/American Express. He is a registered broker and investment adviser with 27 US states and territories. Continue Reading

shutterstock_102158005The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Texas-based Wunderlich broker/adviser Steven Bright (CRD# 2059627).

Steven Bright has spent 25 years in the securities industry and has been registered with Wunderlich Securities in Dallas, Texas since 2015. Previous registrations include Southwest Securities in Plano, Texas (2007-2015); Stifel Nicolaus & Company in Southlake, Texas (2001-2007); Josephthal & Company in New York, New York (1998-2001); H.J. Meyers & Company in Rochester, New York (1992-1998); Emanuel & Company in New York, New York (1992); Baring & Brown (1991-1992); and F.N. Wolf & Company (1990-1991). Three of Mr. Bright’s former employers — H.J. Meyers & Company, Emanuel & Company, and Baring & Brown — have since been expelled by FINRA. Mr. Bright is a registered broker and investment adviser in six US states: California, Illinois, Indiana, Minnesota, New Mexico, and Texas.

According to his BrokerCheck report, Steven Bright is the subject of three customer complaints and seven denied customer complaints.

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Wunderlich SecuritiesThe securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding the Tennessee-based brokerage and advisory firm Wunderlich Securities (CRD# 2543).

Formed in Tennessee in 1992, Wunderlich Securities is headquartered in Memphis, Tennessee and registered in 53 US states. Gary Kent Wunderlich is Chief Executive Officer; Philip Richard Zanone Stephen Joseph Bonema is Chief Operating Officer; Stacy Malinda Hodges is Chief Financial Officer; William David Woodward is Chief Compliance Officer.

According to the firm’s BrokerCheck report, Wunderlich Securities is the subject of fourteen regulatory sanctions and three customer complaints that evolved into arbitration.