Michael BressmanPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2018 indicate that former New Jersey-based FCG Advisors broker/adviser Michael Bressman has been charged with fraud by the Securities and Exchange Commission (SEC). Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bressman (CRD# 873973).

Michael Bressman has spent 38 years in the securities industry and was most recently registered with FCG Advisors in Chatham, New Jersey (2000-2018). He was previously registered with Merrill Lynch in New York, New York (1979-2000). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 9, 2015; Series 66 (Uniform Combined State Law Examination), which he obtained on July 11, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 8, 1982; SIE (Securities Industry Essentials Examination), which he obtained on May 16, 2018; and Series 7 (General Securities Representative Examination), which he obtained on November 17, 1979. He is currently not registered with any state or firm.

According to his BrokerCheck report, Michael Bressman has received four customer complaints, two regulatory sanctions, and one pending civil complaint by the SEC.

Robert KriegerPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 17, 2018 indicate that New York-based Investment Center broker/adviser Robert Krieger has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Krieger (CRD# 2441634).

Robert Krieger has spent 24 years in the securities industry and has been registered with The Investment Center in New York, New York and Roseville, California since 2016. Previous registrations include LPL Financial in New York, New York (2009-2016); Merrill Lynch in Roseville, California (1997-2009); and Franklin/Templeton Distributors in San Mateo, California (1994-1996). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 26, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 26, 1997; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on February 3, 1997; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 22, 1994. He is a registered broker and investment adviser with 17 US states and territories: Arizona, California, Connecticut, Florida, Kentucky, Maryland, Missouri, Nevada, New Jersey, New York, North Carolina, North Dakota, Pennsylvania, South Carolina, Texas, Vermont, and Washington.

According to his BrokerCheck report, he has been discharged from two former employers in connection to alleged rule violations, was recently sanctioned by FINRA, and has received one customer complaint.

Julian MarturanoPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 17, 2018 indicate that Pennsylvania-based Woodbury Financial Services broker/adviser Julian Marturano has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Marturano (CRD# 2181208).

Julian Marturano has spent 26 years in the securities industry and has been registered with Woodbury Financial Services in Irwin, Pennsylvania since 2009. Previous registrations include AXA Advisors in Irwin, Pennsylvania (2005-2009); Mony Securities Corporation in New York, New York (1995-2005); Pruco Securities Corporation in Newark, New Jersey (1991-1995); and the Prudential Insurance Company of America in Newark, New Jersey (1991-1993). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 11, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 13, 1991; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on November 2, 1999; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on October 8, 1991. He is a registered broker and investment adviser with 19 US states and territories: Arizona, Arkansas, California, Florida, Georgia, Maryland, Michigan, Mississippi, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, and West Virginia.

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

Jeffrey BreaultPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 17, 2018 indicate that Kansas-based Kestra Investment Services broker/adviser Jeffrey Breault has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Breault (CRD# 1757281).

Jeffrey Breault has spent 31 years in the securities industry and has been registered with Kestra Investment Services in Wichita, Kansas since 2016. Previous registrations include Carey Thomas Hoover & Breault in Wichita, Kansas (1995-2016); Rhodes Securities in Fort Worth, Texas (1990-1995); AG Edwards & Sons in St. Louis, Missouri (1989-1990); and Firm One Securities (1987-1989). He has passed eight securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 24, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 21, 1987; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on October 17, 1987; Series 4 (Registered Options Principal Examination), which he obtained on July 26, 1995; Series 27 (Financial and Operations Principal Examination), which he obtained on May 31, 1995; Series 24 (General Securities Principal Examination), which he obtained on May 2, 1995; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on October 26, 1990. He is a registered broker and investment adviser with 19 US states and territories: Alabama, Arizona, California, Colorado, Florida, Georgia, Illinois, Kansas, Missouri, North Carolina, Ohio, Oklahoma, Pennsylvania, South Carolina, Tennessee, Texas, Washington, Wisconsin, and Wyoming.

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

Lawrence PassarettiPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 17, 2018 indicate that New York-based American Portfolios Financial Services broker/adviser Lawrence Passaretti has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Passaretti (CRD# 1191641).

Lawrence Passaretti has spent 34 years in the securities industry and has been registered with American Portfolios Financial Services in Holbrook, New York since 2010. Previous registrations include AXA Advisors in Melville, New York (1986-2010); the Equitable Life Assurance Society of the United States in New York, New York (1986-2000); Cigna Securities (1985-1986); Josephthal & Company (1984-1985); Morgan Olmstead Kennedy & Gardner (1984); and MV Securities (1983-1984). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 24, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 29, 1991; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on August 18, 1984; Series 52 (Municipal Securities Representative Examination), which he obtained on October 13, 1983; and Series 24 (General Securities Principal Examination), which he obtained on September 23, 2000. He is a registered broker and investment adviser with 20 US states and territories.

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

Robert GravettePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 17, 2018 indicate that California-based Ausdal Financial Partners broker/adviser Robert Gravette is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gravette (CRD# 1938019).

Robert Gravette has spent 29 years in the securities industry and has been registered with Ausdal Financial Partners in Valencia, California since 2006. Previous registrations include Signator Investors in Valencia, California (1990-2006); John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1990-1997); and Baraban Securities in Los Angeles, California (1989-1990). he has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 25, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 28, 1991; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on September 16, 1989; and Series 24 (General Securities Principal Examination), which he obtained on April 16, 1999. He is a registered broker and investment adviser with ten US states: Alabama, Arizona, California, Colorado, Idaho, Kentucky, New Mexico, Oregon, Texas, and Washington.

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

Luther ByrdPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 17, 2018 indicate that Florida-based Merrill Lynch broker/adviser Luther Byrd is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Byrd (CRD# 873649).

Luther Byrd has spent 38 years in the securities industry and has been registered with Merrill Lynch in Fort Walton Beach, Florida since 2009. Previous registrations include Wells Fargo Advisors in Fort Walton Beach, Florida (2008-2009); AG Edwards & Sons in Fort Walton Beach, Florida (1993-2008); Aetna Investment Services in Windsor, Connecticut (1993); Aetna Life Insurance and Annuity Company in Hartford, Connecticut (1991-1993); Investors Asset Management (1987-1990); Southern Financial Consultants (1987); FSC Securities (1985-1987); Southern Financial Consultants (1984-1985); and Waddell & Reed (1979-1984). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 20, 1979; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on November 24, 1993; and Series 1 (Registered Representative Examination), which he obtained on November 5, 1979. He is a registered broker and investment adviser with 38 US states and territories.

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

Sean CavanaughPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 17, 2018 indicate that California-based Raymond James Financial Services broker/adviser Sean Cavanaugh has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Cavanaugh (CRD# 2293517).

Sean Cavanaugh has spent 25 years in the securities industry and has been registered with Raymond James Financial Services in San Diego, California since 2008. Previous registrations include Wamu Investments in Spring Valley, California (1998-2008); Great Western Financial Securities Corporation in Northridge, California (1994-1998); Thomas James Associates in Rochester, New York (1993-1994); and Chatfield Dean & Company in Greenwood Village, Colorado (1992-1993). He has passed six securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 12, 1992; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on August 18, 2010; Series 7 (General Securities Representative Examination), which he obtained on November 5, 1992; Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on April 2, 2009; and Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on March 2, 2009. He is a registered broker and investment adviser with 33 US states and territories.

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

Paul HarpPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 17, 2018 indicate that Florida-based Merrill Lynch broker/adviser Paul Harp has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Harp (CRD# 4695060).

Paul Harp has spent 15 years in the securities industry and has been registered with Merrill Lynch in Fort Walton Beach, Florida since 2009. Previous registrations include Wells Fargo Advisors in Fort Walton Beach, Florida (2008-2009) and AG Edwards & Sons in Fort Walton Beach, Florida (2003-2008). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 17, 2003; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on October 7, 2003. He is a registered broker and investment adviser with 38 US states and territories. His self-regulatory organization (SRO) registrations include: BOX Exchange LLC, Cboe BZX Exchange, Cboe C2 Exchange, the Chicago Stock Exchange, FINRA, Investors’ Exchange, MIAX PEARL LLC, the Miami International Securities Exchange, NYSE American, NYSE Arca, Nasdaq BX, Nasdaq GEMX, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Peter BakalisPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 16, 2018 indicate that former Michigan-based Sigma Financial Corporation broker/adviser Peter Bakalis was recently 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. Bakalis (CRD# 4587325).

Peter Bakalis has spent 15 years in the securities industry and was most recently registered with Sigma Financial Corporation in Trenton, Michigan (2013-2018). Previous registrations include Brokers International Financial Services in Trenton, Michigan (2011-2013); Royal Alliance Associates in Trenton, Michigan (2003-2011); and Raymond James Financial Services in St. Petersburg, Florida (2002-2003). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on November 21, 2011; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 19, 2002; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on October 1, 2002. He is currently not registered with any state or firm.

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

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