LPL FinancialPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that FINRA has sanctioned LPL Financial in connection to allegations the firm violated rules concerning the reporting of customer complaints as well as rules concerning anti-money laundering procedures. Fitapelli Kurta is interested in hearing from investors who have complaints regarding LPL Financial (CRD# 6413).

According to a FINRA release, FINRA found that LPL Financial failed in its duty “to file or amend registered representatives’ Forms U4 or U5 to disclose dozens of reportable customer complaints.” FINRA alleges specifically that the firm made an overly narrow interpretation of a regulatory requirement that firms report any complaint that contains “a claim for compensatory damages of $5,000 or more,” erroneously taking the phrase “to mean that the firm was not required to report any complaint that did not expressly request compensation,” even if the complaint concerned allegations that resulted in losses of $5,000 or more, and a holistic view of the complaint would make clear that the customer sought compensation. FINRA’s findings state that this incorrect interpretation resulted in the failure to report “at least 31 reportable customer complaints alleging sales practice violations,” as well as the failure to timely amend its representatives’ disclosure forms to reflect “at least 149 customer complaints and other reportable events,” such as judgments, bankruptcy filings, employment terminations, and other actions, whether regulatory, civil or criminal.

FINRA also found that the firm had an “unreasonably designed” anti-money laundering program that resulted in a failure to look into “numerous attempts to gain unauthorized access to electronic systems that could have resulted in the filing of Suspicious Activity Reports.” FINRA’s findings state that this failure resulted from LPL’s use of a chart that gave inaccurate guidance to anti-money laundering employees, ultimately resulting in the firm’s failure to file over 400 such reports.

Jeffrey Lutz

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former Ohio-based Morgan Stanley broker/adviser Jeffrey Lutz has received a denied 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. Lutz (CRD# 2074166).

Jeffrey Lutz has spent 27 years in the securities industry and was most recently registered as a broker with Morgan Stanley in Centerville, Ohio (2011-2018). He has been registered as an investment adviser with Invest Capital Partners in Springboro, Ohio since June 2018. Previous registrations include JJB Hiliard WL Lyons in Dayton, Ohio (2005-2011); Legg Mason Wood Walker in Baltimore, Maryland (2003-2005); Wachovia Securities in St. Louis, Missouri (1996-2003); Dean Witter Reynolds in Purchase, New York (1992-1996); Fidelity Brokerage Services in Smithfield, Rhode Island (1991-1992); and First Investors Corporation in New York, New York (1990). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 23, 2004; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 29, 1991; SIE (Securities Industry Essentials Examination), which he obtained on July 13, 2018; Series 3 (National Commodity Futures Examination), which he obtained on September 11, 1992; Series 7 (General Securities Representative Examination), which he obtained on December 13, 1991; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 6, 1990 . He is currently not registered as a broker with any state or firm.

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

Luis Gonzalez

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that Puerto Rico-based UBS Financial Services broker Luis Gonzalez has received numerous resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gonzalez (CRD# 2778967).

Luis Gonzalez has spent 22 years in the securities industry and has been registered with UBS Financial Services in San Juan, Puerto Rico since 2003. Previous registrations include Oriental Financial Services Corporation in San Juan, Puerto Rico (1999-2003) and PFS Investments in Duluth, Georgia (1996-1998). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on March 25, 2008; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on July 14, 1999; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 3, 1996. He is a registered broker wth four US states and territories: Florida, New York, Puerto Rico, and the Virgin Islands.

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

Anthony FarnsworthPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former Colorado-based Paronsex Securities broker/adviser Anthony Farnsworth has been sanctioned by FINRA 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. Farnsworth (CRD# 4616189).

Anthony Farnsworth has spent 14 years in the securities industry and was most recently registered with Parsonex Securities in Englewood, Colorado (2013-2017). He was previously registered with PFS investments in Pewaukee, Wisconsin (2003-2013). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 7, 2011; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 31, 2003; SIE (Securities Industry Essentials Examination), which he obtained on March 31, 2017; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 24, 2003; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on March 27, 2003. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has been sanctioned by FINRA and resigned from a former employer in connection to alleged rule violations.

Joseph PrattePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former California-based Signator Investors broker Joseph Pratte was recently sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Pratte (CRD# 818045).

Joseph Pratte has spent 35 years in the securities industry and was most recently registered with Signator Investors in Riverside, California (1982-2017). Previous registrations include John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1982-1997) and New York Life Securities Corporation (1982-1984). He has passed two securities industry examinations: SIE (Securities Industry Essentials Examination), which he obtained on December 31, 2017, and Series 1 (Registered Representative Examination), which he obtained on February 2, 1976. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was discharged from his former employer in connection to alleged rule violations and was recently sanctioned by FINRA.

Marcus ParkerPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former New Mexico-based Merrill Lynch broker/adviser Marcus Parker was recently sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Parker (CRD# 1031962).

Marcus Parker has spent 35 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in Santa Fe, New Mexico (2008-2017). Previous registrations include in Santa Fe, New Mexico (2001-2008); Salomon Smith Barney in New York, New York (1996-2001); Painewebber in Weehawken, New Jersey (1992-1996); Prudential Securities in New York, New York (1989-1992); Thomson McKinnon Securities in New York, New York (1985-1989); and Dean Witter Reynolds (1982-1985). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 25, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 30, 1982; SIE (Securities Industry Essentials Examination), which he obtained on December 12, 2017; and Series 7 (General Securities Representative Examination), which he obtained on July 17, 1982. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was recently sanctioned by FINRA and has received one denied customer complaint.

Judith BufisPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former Iowa-based Northwestern Mutual Investment Services broker Judith Bufis was recently sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Bufis (CRD# 1070648).

Judith Bufis has spent 32 years in the securities industry and was most recently registered with Kovack Securities in East Brunswick, New Jersey (2018). Previous registrations include Invest Financial Corporation in East Brunswick, New Jersey (2016-2017); TFS Securities in East Brunswick, New Jersey (2006-2014); ING Financial Partners in Des Moines, Iowa (2004-2006); Sammons Securities Company in Ann Arbor, Michigan (2002); Walnut Street Securities in El Segundo, California (1996-2002); North American Management in Sioux Falls, South Dakota (1996); Independent Financial Securities (1991-1995); Wealth Builders Equity Corporation (1990-1991); Ringler Securities Services in Orlando, Florida (1990); and Invest Financial Corporation in Appleton, Wisconsin (1983-1990). She has passed two securities industry examinations: SIE (Securities Industry Essentials Examination), which she obtained on September 7, 2018, and Series 7 (General Securities Representative Examination), which she obtained on March 19, 1983. She is currently not registered with any state or firm.

According to her BrokerCheck report, she was recently sanctioned by FINRA in connection to alleged rule violations.

Tristan O’NealPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former Iowa-based Northwestern Mutual Investment Services broker Tristan O’Neal has been sanctioned by state regulatory authorities in connection to alleged rule violations and is currently not registered as a broker with any state or firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. O’Neal (CRD# 5898324).

Tristan O’Neal has spent five years in the securities industry and was registered with Northwestern Mutual Investment Services in West Des Moines, Iowa from 2013 until 2018. He has no previous registrations. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 15, 2012; SIE (Securities Industry Essentials Examination), which he obtained on July 28, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on March 30, 2013. He is currently not registered with any state or firm.

According to his BrokerCheck report, he recently resigned from his former employer and was sanctioned by state regulators in connection to alleged rule violations.

Matthew WhitePublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former Arkansas-based MML Investors Services broker/adviser Matthew White has been sanctioned by state regulatory authorities in connection to alleged rule violations and is currently not registered as a broker with any state or firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. White (CRD# 5365185).

Matthew White has spent nine years in the securities industry and was most recently registered as a broker with MML Investors Services in Little Rock, Arkansas (2015-2018). He has been registered as an investment adviser with White McGowan in Little Rock, Arkansas since October 10, 2018. He was previously registered with Northwestern Mutual Investment Services in Little Rock, Arkansas (2009-2015). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 29, 2015; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 28, 2009; SIE (Securities Industry Essentials Examination), which he obtained on June 7, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 26, 2009. He is currently not registered as a broker with any state or firm.

According to his BrokerCheck report, Matthew White was terminated from a former employer in connection to alleged rule violations and was recently sanctioned by state regulators.

Michael BastardiPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 30, 2018 indicate that former New York-based Chelsea Financial Services broker Michael Bastardi 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. Bastardi (CRD# 6015424).

Michael Bastardi has spent six years in the securities industry and was most recently registered with Chelsea Financial Services in Staten Island, New York (2018). Previous registrations include National Securities Corporation in Mahopac, New York (2016-2018); Securities America in Warwick, New York (2014-2016); Dalton Strategic Investment Services in Warwick, New York (2012-2014); and Cape Securities in McDonough, New York (2012). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 11, 2012; SIE (Securities Industry Essentials Examination), which he obtained on September 11, 2018; and Series 7 (General Securities Representative Examination), which he obtained on January 24, 2012. He is currently not registered as a broker with any state or firm.

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

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