Ken Carter: Investor Complaint Regarding Unauthorized Trades

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 19, 2018 indicate that Washington-based RBC Capital Markets broker/adviser Ken Carter is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Carter (CRD# 1351802). Ken Carter has spent thirty-three years in…

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Customers of Christopher Thompson Alleging He Executed Excessive and Unauthorized Trades

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 24, 2018 indicate that California-based Stifel Nicolaus & Company broker/adviser Christopher Thompson has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Thompson (CRD# 4631462). Christopher Thompson has spent 15 years…

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Stefan Pastor Terminated From Position at Raymond James Financial Services

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 16, 2018 indicate that former Florida-based Raymond James Financial Services broker/adviser Stefan Pastor, who is involved in a pending customer dispute, was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer…

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Herbert Voss May Have Executed Unauthorized Trades

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 3, 2018 indicate that California-based StockCross Financial Services broker/adviser Herbert Voss has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Voss (CRD# 1014475). Herbert Voss has spent 33 years…

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Meaghan Johnson Has Received Resolved or Pending Customer Disputes

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that former Virginia-based Northwestern Mutual Investment Services broker/adviser Meaghan Johnson has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints…

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Donnell Bowen Has Been the Subject of Eight Customer Complaints and Has Four Pending Complaints

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2018 indicate that former Washington DC-based Northwestern Mutual Investment Services broker/adviser Donnell Bowen has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bowen (CRD# 5641822). Donnell Bowen…

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Customer Alleged Ronald Lam Made Three Unauthorized Investments That Resulted in Losses

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 25, 2018 indicate that Oregon-based Ameriprise Financial Services broker Ronald Lam has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lam (CRD# 3067765). Ronald Lam has spent nineteen years in the securities…

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Richard Juracka Has Been the Subject of a Customer Complaint

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 16, 2018 indicate that New York-based Morgan Stanley broker/adviser Richard Juracka has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Juracka (CRD# 708735). Richard Juracka has spent 37 years in…

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Jens Poulsen Allegedly Executed Unauthorized Trades

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 25, 2017 indicate that former Washington-based LPL Financial broker/adviser Jens Poulsen has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr.…

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Customer Alleged Michael Barnett Recommended Unsuitable Investments

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 18, 2017 indicate that Illinois-based JJB Hilliard WL Lyons broker/adviser Michael Barnett has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Barnett (CRD# 5792242). Michael Barnett has spent seven years…

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