Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 14, 2017 indicate that Maryland-based Morgan Stanley broker/adviser Sumitro Pal has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Pal (CRD# 4763364). Sumitro Pal has spent 13 years in the securities…

Read More

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 1, 2018 indicate that New Jersey-based Morgan Stanley broker/adviser Adele Polakoff has received a customer complaint and was recently named in a state regulatory investigation. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Polakoff (CRD#…

Read More

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 26, 2017 indicate that former Concord Wealth Partners and Ameriprise Financial Services broker/adviser Jon Dabareiner has received several customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints…

Read More

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 20, 2017 indicate that Texas-based Wells Fargo Clearing Services broker/adviser Michael Velarde has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Velarde (CRD# 1707166). Michael Velarde has spent 30 years in…

Read More

Publicly available records provided by the Securities and Exchange Commission (SEC) and accessed on September 22, 2017 indicate that the SEC has charged a California-based municipal financing authority called the Beaumont Financing Authority in connection to alleged false statements regarding five bond offerings. Fitapelli Kurta is interested in hearing from investors who have complaints regarding…

Read More

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 17, 2017 indicate that Missouri-based CommunityAmerica Financial Solutions broker/adviser Rance Carlson has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Carlson (CRD# 5110433). Rance Carlson has spent 11 years in the securities…

Read More

According to the Securities and Exchange Commission (SEC), an equity-linked certificate of deposit (CD) is an “FDIC-insured certificate of deposit that ties the rate of return to the performance of a stock index such as the S&P 500 Composite Stock Price Index.” Conditions vary by investment, but an equity-linked generally has a term of five…

Read More

Publicly available records provided by the Securities and Exchange Commission (SEC) as well as an Investment News report published on September 11, 2017 indicate that the SEC has censured Colorado-based advisory firm Envoy Advisory in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Envoy Advisory. According…

Read More

Market-linked CDs are certificates of deposit whose returns are based on either the performance of a market index, a basket of equities, or both. They are also known as index-linked CDs or equity-linked CDs. In general, the principal amount one invests in a market-linked CD is FDIC-insured up to $250,000. Market-linked CDs have obvious advantages…

Read More

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 25, 2017 indicate that Minneapolis-based Thrivent Investment Management broker Andrea Golis has been named in a pending complaint by state regulatory authorities. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Golis (CRD# 1401462). Andrea Golis has…

Read More