William KaczmarekPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 19, 2018 indicate that former Wisconsin-based Questar Capital Corporation broker/adviser William Kaczmarek has been named in an investigation by state regulatory authorities into alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kaczmarek (CRD# 1434947).

William Kaczmarek has spent 32 years in the securities industry and was most recently registered with Questar Capital Corporation in Delavan, Wisconsin (2013-2018). Previous registrations include Cetera Advisor Networks in Delavan, Wisconsin (2010-2013); Ameritas Investment Corporation in Elkhorn, Wisconsin (2008-2010); ING Financial Partners in Elkhorn, Wisconsin (2002-2008); New England Securities in New York, New York (2000-2002); Financial Network Investment Corporation in El Segundo, California (1999-2000); SII Investments in Appleton, Wisconsin (1998-1999); H. Beck in Bethesda, Maryland (1998); Harbour Investments in Madison, Wisconsin (1997); WMA Securities in Duluth, Georgia (1994-1997); Harbour Investments in Madison, Wisconsin (1994); Wellington Investment Services Corporation in Brookfield, Wisconsin (1990-1994); and Pruco Securities Corporation in Newark, New Jersey (1985-1990). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 14, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 21, 1986; Series 7 (General Securities Representative Examination), which he obtained on August 9, 1993; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on December 6, 1985; and Series 24 (General Securities Principal Examination), which he obtained on February 14, 1997. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has been named in an investigation by state regulatory authorities and has received three denied customer complaints.

Luis Marquez

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 19, 2018 indicate that New York-based Laidlaw & Company broker Luis Marquez has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Marquez (CRD# 2740741).

Luis Marquez has spent 20 years in the securities industry and has been registered with Laidlaw & Company in Boca Raton, Florida since 2013. Previous registrations include Dawson James Securities in Boca Raton, Florida (2006-2013); Capital Growth Financial in Boca Raton, Florida (2005-2006); SW Bach & Company in Port Washington, New York (2004-2005); Gilford Securities in New York, New York (2001-2004); First Union Securities Financial Network in St. Louis, Missouri (2001); JWGenesis Securities in Boca Raton, Florida (1998-2001); National Securities Corporation in Seattle, Washington (1998); and the Boston Group in Los Angeles, California (1998). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 6, 1998, and Series 7 (General Securities Representative Examination), which he obtained on November 22, 1997. He is a registered broker with 20 US states: California, Colorado, Florida, Georgia, Illinois, Iowa, Kentucky, Maryland, Massachusetts, Michigan, Nevada, New Jersey, New York, North Carolina, Oregon, Pennsylvania, Texas, Virginia, West Virginia, and Wisconsin.

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

Jonathan Ebel

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 18, 2018 indicate that New York-based Laidlaw & Company broker Jonathan Ebel has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ebel (CRD# 5902719).

Jonathan Ebel has spent seven years in the securities industry and has been registered with Laidlaw & Company in Melville, New York since 2015. Previous registrations include Rockwell Global Capital in Melville, New York (2012-2015) and EKN Financial Services in Melville, New York (2011-2012). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 27, 2011, and Series 7 (General Securities Representative Examination), which he obtained on July 8, 2011. He is a registered broker with 38 US states and territories.

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

iStock-497612336-3-300x200Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 17, 2018 indicate that North Carolina-based Innovation Partners broker Michael Isaac has received resolved or pending customer disputes and regulatory sanctions. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Isaac (CRD# 2287287).

Michael Isaac has spent 5 years in the securities industry and has been registered with Innovation Partners LLC in Charlotte, North Carolina since 2015. Previous registrations include Investors Capital in Shrewsbury, Massachusetts (2009-2015); Girard Securities in Shrewsbury, Massachusetts (2008); Jesup & Lamont Securities in Worcester, Massachusetts (2006-2008); MML Investors Services in Springfield, Massachusetts (2000-2006); Lincoln Financial Advisors Corporation in Fort Wayne, Indiana (1994-2000); the Lincoln National Life Insurance Company in Fort Wayne, Indiana (1994-2000); and Mutual of Omaha Investor Services in Omaha, Nebraska (1992-1994). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 18, 1992, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on November 18, 1992. He is a registered broker and investment adviser with four US states: Arizona, California, Florida, and Massachusetts.

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

Roy FaillaPublic records provided by the Financial Industry Regulatory Authority (FINRA) on July 17, 2018 indicate that New Jersey-based First Standard Financial Services broker/adviser Roy Failla has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Failla (CRD# 2786551).

Roy Failla has spent 20 years in the securities industry and has been registered with First Standard Financial Company in Red Bank, New Jersey since 2014. Previous registrations include Alexander Capital in Staten Island, New York (2012-2014); Brookstone Securities in Staten Island, New York (2009-2012); JP Turner & Company in Staten Island, New York (2006-2009); Gunnallen Financial in Staten Island, New York (2004-2006); Joseph Stevens & Company in Brooklyn, New York (2000-2004); LCP Capital Corporation in Staten Island, New York (1998-2000); and Shamrock Partners in Media, Pennsylvania (1998). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 13, 1998, and Series 62 (Corporate Securities Limited Representative Examination), which he obtained on February 13, 1998. He is a registered broker and investment adviser with 36 US states and territories.

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

Michael RochePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 17, 2018 indicate that former Michigan-based UBS Financial Services broker/adviser Michael Roche has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Roche (CRD# 1510313).

Michael Roche has spent 31 years in the securities industry and has been registered with UBS Financial Services in Grand Blanc, Michigan since 2005. Previous registrations include Merrill Lynch in New York, New York (1989-2005); Thomson McKinnon Securities (1986-1989); and First of Michigan Corporation (1986). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 19, 2010; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 5, 1986; Series 7 (General Securities Representative Examination), which he obtained on June 10, 1991; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on May 22, 2006; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on May 17, 2006. He is a registered broker and investment adviser with seven US states: California, Florida, Michigan, Minnesota, Ohio, Pennsylvania, and South Carolina.

According to his BrokerCheck report, he has received three customer complaints, one pending customer complaint, and two customer complaints that were closed or denied.

Garry HurewitzPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 17, 2018 indicate that Florida-based FMSbonds broker Garry Hurewitz has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hurewitz (CRD# 1795772).

Garry Hurewitz has spent 24 years in the securities industry and has been registered with FMSbonds in North Miami Beach, Florida since 1995. Previous registrations include Meridian Securities (1994); Marcus Stowell & Beye Government Securities in Fort Lauderdale, Florida (1993-1994); and Marcus Stowell & Beye in Fort Lauderdale, Florida (1993-1994). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 10, 1994, and Series 7 (General Securities Representative Examination), which he obtained on March 9, 1995. He is a registered broker with 47 US states and territories.

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

Mark FlanaganPublic records published by the Financial Industry Regulatory Authority (FINRA) on July 17, 2018 indicate that former Illinois-based Citigroup Global Markets broker/adviser Mark Flanagan has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Flanagan (CRD# 1949836).

Mark Flanagan has spent 13 years in the securities industry and was most recently registered with Citigroup Global Markets in Highland Park, Illinois (2014-2017). Previous registrations include Wells Fargo Advisors in Lake Forest, Illinois (2011-2014); Fifth Third Securities in Lake Forest, Illinois (2006-2011); UVest Financial Services Group in Chicago, Illinois (2005-2006); TCF Securities in Minneapolis, Minnesota (2002-2003); and Oppenheimer & Company (1989-1990). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on November 15, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 10, 2005; and Series 7 (General Securities Representative Examination), which he obtained on September 6, 2005. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received four customer complaints and two regulatory sanctions.

Adam EstesPublic records provided by the Financial Industry Regulatory Authority (FINRA) on February 7, 2017 indicate that Kentucky-based JJB Hilliard WL Lyons broker/adviser Adam Estes has been sanctioned by state regulatory authorities in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Estes (CRD# 4089657).

Adam Estes has spent 17 years in the securities industry and has been registered with JJB Hilliard WL Lyons in Louisville, Kentucky since December 2017. He has no previous registrations. 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 21 US states and territories: Alabama, Arizona, California, Colorado, Florida, Georgia, Illinois, Indiana, Kansas, Kentucky, Louisiana, Michigan, Minnesota, Missouri, North Carolina, Ohio, Oklahoma, South Carolina, Texas, Virginia, and Wisconsin.

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

Franklin Reynolds

Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 16, 2018 indicate that Florida-based Strategic Financial Alliance broker/adviser Franklin Reynolds has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Reynolds (CRD# 1366983).

Franklin Reynolds has spent 33 years in the securities industry and has been registered with The Strategic Financial Alliance in Daytona Beach, Florida since 2015. Previous registrations include GA Repple & Company in Daytona Beach, Florida (1996-2014); SunAmerica Securities in Phoenix, Arizona (1995-1996); IFG Network Securities in Atlanta, Georgia (1993-1995); Planned Investments in Atlanta, Georgia (1991-1992); American Express Financial Advisors in Minneapolis, Minnesota (1985-1991); and IDS Financial Services (1985-1986). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 5, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 29, 1985; Series 7 (General Securities Representative Examination), which he obtained on February 21, 1987; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 28, 1985; and Series 24 (General Securities Principal Examination), which he obtained on November 21, 2002. He is a registered broker and investment adviser wth 24 US states and territories: Alabama, Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Idaho, Illinois, Indiana, Louisiana, Maryland, Michigan, New Jersey, New York, Ohio, South Carolina, Tennessee, Texas, Vermont, Virginia, Washington, and West Virginia.

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

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