Irwin GrossPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2017 indicate that Florida-based Commonwealth Financial Network broker/adviser Irwin Gross has received a regulatory sanction and a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gross (CRD# 230829).

Irwin Gross has spent 44 years in the securities industry and has been registered with Commonwealth Financial Network in Weston, Florida since 2008. Previous registrations include Lincoln Financial Advisors Corporation in Deerfield Beach, Florida (1995-2008); the Lincoln National Life Insurance Company in Fort Wayne, Indiana (1995-2006); Chubb Securities Corporation in Fort Wayne, Indiana (1992-1995); Hartford Equity Sales Company in Hartford, Connecticut (1987-1992); Travelers Equities Sales (1983-1989); Hartford Equity Sales Company (1977-1983); BA Securities Corporation (1972-1976); and Midwestern Investment Corporation (1971-1972). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 23, 1994; Series 3 (National Commodity Futures Examination), which he obtained on April 10, 1989; and Series 1 (Registered Representative Examination), which he obtained on September 25, 1971. He is a registered broker and investment adviser with 14 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Georgia, Massachusetts, New Jersey, New York, North Carolina, Ohio, Tennessee, Texas, and Wyoming.

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

Robert HarrisPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2017 indicate that Massachusetts-based Commonwealth Financial Network broker Robert Harris has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Harris (CRD# 500164).

Robert Harris has spent 41 years in the securities industry and has been registered with Commonwealth Financial Network in Worcester and Chatham, Massachusetts since 1994. Previous registrations include AF Best Securities in Coral Springs, Florida (1990-1994); Dougherty, Dawkins, Strand & Yost in Minneapolis, Minnesota (1982-1990); Croake Roberts; and Channer Newman Securities Company. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 21, 1982, and Series 7 (General Securities Representative Examination), which he obtained on January 17, 1994. He is a registered broker with 21 US states and territories: California, Colorado, Florida, Georgia, Hawaii, Illinois, Indiana, Kentucky, Louisiana, Maine, Massachusetts, Michigan, New Hampshire, New York, North Carolina, Pennsylvania, Rhode Island, South Carolina, Texas, Vermont, the Virgin Islands, Washington, and Wisconsin.

According to his BrokerCheck report, Robert Harris has received one customer complaint, one pending customer complaint and one denied customer complaint.

Ellen DonnellyPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2017 indicate that New Jersey-based International Assets Advisory broker Ellen Donnelly has been involved in a customer dispute and was discharged from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Donnelly (CRD# 2357999).

Ellen Donnelly has spent 24 years in the securities industry and has been registered with International Assets Advisory in Spring Lake, New Jersey since January 2017. Previous registrations include Morgan Stanley in Red Bank, New Jersey (2010-2017); Merrill Lynch in Staten Island, New York (2004-2010); Goldman Sachs & Company in New York, New York (1995-2004); Smith Barney in New York, New York (1993-1995); and Lehman Brothers in New York, New York (1993). She has passed four securities industry examinations: Series 7 (General Securities Representative Examination); 65 (Uniform Investment Adviser Law Examination), which she obtained on October 1, 2004; Series 31 (Futures Managed Funds Examination), which she obtained on October 25, 1993; and Series 63 (Uniform Securities Agent State Law Examination), which she obtained on June 1, 1993. She is a registered broker and investment adviser with six US states: Connecticut, Florida, Maryland, New Jersey, New York, and North Carolina.

According to her BrokerCheck report, she has received one customer complaint and was discharged from a former employer following alleged rule violations

Jack McBride Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2017 indicate that Michigan-based Wunderlich Securities broker/adviser Jack McBride has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. McBride (CRD# 2517946).

Jack McBride has spent 23 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), which he obtained on September 13, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 23, 1994; Series 7 (General Securities Representative Examination), which he obtained on September 16, 1994; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on June 24, 1996. He is a registered broker and investment adviser with 16 US states and territories: 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 one FINRA sanction, two customer complaints and one pending customer complaint.

Robert Ahrendt
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2017 indicate that Washington-based MML Investors Services broker/adviser Robert Ahrendt has been named in a pending regulatory complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ahrendt (CRD# 5183328).

Robert Ahrendt has spent eleven years in the securities industry and has been registered with MML Investors’ Services in Bellevue, Washington since March 2017. Previous registrations include MSI Financial Services in Bellevue, Washington and Edward Jones in Kirkland, Washington (2006-2013). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 7, 2006, and Series 7 (General Securities Representative Examination), which he obtained on August 29, 2006. He is a registered broker and investment adviser with seven US states and territories: Alaska, Arizona, California, Florida, Oregon, Texas and Washington.

According to his BrokerCheck report, Robert Ahrendt has received one pending regulatory complaint and one denied customer complaint.

Henry GallardoPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on November 15, 2017 indicate that Texas-based M Holdings Securities broker/adviser Henry Gallardo has been involved in pending or resolved customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gallardo (CRD# 1848968).

Henry Gallardo has spent 29 years in the securities industry and has been registered with M Holdings Securities in El Paso, Texas since April 2016. Previous registrations include Investors Capital Corporation in El Paso, Texas (2009-2016); Securian Financial Services in El Paso, Texas (1990-2009); SMA Equities in Worcester, Massachusetts (1988-1990); and First Investors Corporation (1988). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 20, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 7, 1988; Series 7 (General Securities Representative Examination), which he obtained on October 26, 1999; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 7, 1988. He is a registered broker and investment adviser with eleven US states: Arizona, California, Delaware, Illinois, New Mexico, New York, North Carolina, Oklahoma, Texas, Utah, and Virginia.

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

Robert DavisPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on November 13, 2017 indicate that former Indiana-based LPL Financial broker/adviser Robert Davis has received a customer dispute, was discharged from his former employer in connection to alleged rule violations, and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Davis (CRD# 4662922).

Robert Davis has spent 14 years in the securities industry and was most recently registered with LPL Financial in Richmond, Florida (2008-2017). Previous registrations include Wachovia Securities in Richmond, Indiana (2008); and AG Edwards & Sons in Richmond, Indiana (2003-2008). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 18, 2003, and Series 7 (General Securities Representative Examination), which he obtained on July 9, 2003. He is currently not registered with any broker-dealer firm.

According to his BrokerCheck report, Robert Davis has received one customer complaint and was discharged from a former employer in connection to alleged rule violations.

Stephen Kelbick

Public records published by the Financial Industry Regulatory Authority (FINRA) on November 13, 2017 indicate that former Pennsylvania-based Wells Fargo Clearing Services broker/adviser Stephen Kelbick was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kelbick (CRD# 1429133).

Stephen Kelbick has spent 31 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in Villanova, Pennsylvania (2013-2017). Previous registrations include Morgan Stanley in Blue Bell, Pennsylvania (2009-2013); Citigroup Global Markets in Blue Bell, Pennsylvania (1993-2009); Lehman Brothers in New York, New York (1991-1993); and Prudential-Bache Securities in New York, New York (1985-1991). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 28, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 22, 1985; Series 3 (National Commodity Futures Examination), which he obtained on February 11, 1986; Series 7 (General Securities Representative Examination), which he obtained on November 16, 1985; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on August 16, 2000; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on June 20, 2000. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two customer complaints, one denied customer complaint, and he was terminated from a former employer in connection to alleged rule violations.

Richard YadaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on November 13, 2017 indicate that former Arkansas-based LPL Financial broker/adviser Richard Yada is involved in a pending customer dispute, was terminated from his former employer in connection to alleged rule violations, and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Yada (CRD# 1077317).

Richard Yada has spent 34 years in the securities industry and was most recently registered with LPL Financial in Little Rock, Arkansas (2009-2017); Citigroup Global Markets in Little Rock, Arkansas (2002-2009); Merrill Lynch in New York, New York (1983-2002); and Structured Shelters Securities (1982-1986). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 30, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 2, 1983; and Series 7 (General Securities Representative Examination), which he obtained on October 16, 1982. He is currently not affiliated with any broker-dealer firm.

According to his BrokerCheck report, he was discharged from a former employer in connection to alleged rule violations and has received a pending customer dispute.

Gordon RobinsonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on November 13, 2017 indicate that former Oklahoma-based Royal Alliance Associates broker/adviser Gordon Robinson is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Robinson (CRD# 1069882).

Gordon Robinson has spent 33 years in the securities industry and has been registered with Royal Alliance Associates in Tulsa, Oklahoma since 1991. Previous registrations include Fitzgerald Dearman & Roberts (1982-1990); Royal Alliance Associates in Jersey City, New Jersey (1989); Integrated Resources Equity Corporation (1989); Anderson Bryant & Company (1988-1989); and Philadelphia Life Asset Planning Company (1987-1988). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 27, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 5, 1982; Series 7 (Examination), which he obtained on October 16, 1982; Series 51 (Municipal Fund Securities Principal Examination), which he obtained on March 28, 2003; and Series 24 (General Securities Principal Examination), which he obtained on April 13, 1998. He is a registered broker and investment adviser with 28 US states and territories: Arkansas, California, Colorado, Florida, Indiana, Kansas, Kentucky, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Tennessee, Texas, Virginia, Washington, and Wyoming.

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

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