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John PencePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 11, 2019 indicate that Florida-based UBS Financial Services broker/adviser John Pence has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pence (CRD# 359667).

John Pence has spent 46 years in the securities industry and has been registered with UBS Financial Services in Jacksonville, Florida since 1980. Previous registrations include Kidder Peabody & Company (1978-1980); Paine Webber Jackson & Curtis (1980); and Kidder Peabody & Company (1972-1978). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 24, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 18, 1980; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; PC (AMEX Put and Call Exam), which he obtained on August 15, 1977; and Series 1 (Registered Representative Examination), which he obtained on March 14, 1972. He is a registered broker and investment adviser with 15 US states and territories: Arkansas, California, Florida, Georgia, Illinois, Maine, Massachusetts, Nevada, New Mexico, North Carolina, Oklahoma, South Carolina, Tennessee, Texas, and Virginia. He is registered with nine self-regulatory organizations (SROs): BOX Exchange LLC, Cboe Exchange Inc., FINRA, NYSE American LLC, NYSE Arca Inc., Nasdaq ISE LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Patrick IngramPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 10, 2019 indicate that former Mississippi-based NYLife Securities broker Patrick Ingram, who has received resolved or pending customer disputes, recently resigned 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. Ingram (CRD# 255022).

Patrick Ingram has spent 44 years in the securities industry and was most recently registered with NYLife Securities in Cleveland, Mississippi (1996-2018). Previous registrations include NYLife Securities in New York, New York (1982-1995) and New York Life Variable Contracts Corporation (1970-1979). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 24, 1996; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 1 (Registered Representative Examination), which he obtained on October 7, 1970. 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 one pending customer complaint, and he recently resigned from his former employer in connection to alleged rule violations.

Kenneth ShawPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 10, 2019 indicate that California-based Wells Fargo Clearing Services broker/adviser Kenneth Shaw has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Shaw (CRD# 1359992).

Kenneth Shaw has spent 24 years in the securities industry and has been registered with Wells Fargo Clearing Services in Ramona and San Diego, California since 2011. Previous registrations include Wells Fargo Investments in San Diego, California (2004-2011); Presidential Brokerage in Greenwood Village, Colorado (2003-2004); Prudential Securities (1989-1994); and Drexel Burnham Lambert (1985-1988). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 19, 2004; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 10, 2003; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on March 26, 2003. He is a registered broker and investment adviser with ten US states and territories: Arizona, California, Florida, Illinois, Minnesota, Nevada, North Carolina, South Carolina, Texas, and Virginia. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Andrew ElsofferPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 9, 2019 indicate that former Ohio-based Stifel Nicolaus & Company broker/adviser Andrew Elsoffer, who has received several customer disputes, was recently 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. Elsoffer (CRD# 2580009).

Andrew Elsoffer has spent twenty-three years in the securities industry and was most recently registered with Stifel Nicolaus & Company in Pepper Pike, Ohio (2011-2019). He was previously registered with Merrill Lynch in Pepper Pike, Ohio (1995-2011). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 21, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 24, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on March 15, 1995. He is currently not registered as a broker with any state or firm.

According to his BrokerCheck report, he has received five customer complaints and was discharged from two former employers in connection to alleged rule violations.

Robert McMannPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 9, 2019 indicate that Florida-based Wells Fargo Clearing Services broker/adviser Robert McMann has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. McMann (CRD# 1663189).

Robert McMann has spent 31 years in the securities industry and has been registered with Wells Fargo Clearing Services in Lake Mary, Florida since 2013. Previous registrations include Morgan Stanley in Lake Mary, Florida (2009-2013); Citigroup Global Markets in Lake Mary, Florida (2006-2009); Legg Mason Wood Walker in Lake Mary, Florida (2000-2006); Salomon Smith Barney in New York, New York (1994-2000); Painewebber in Weehawken, New Jersey (1990-1994); Prudential-Bache Securities in New York, New York (1988-1990); and Shearson Lehman Hutton (1987-1988). He has passed eight securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 29, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 11, 1987; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on August 18, 2004; Series 5 (Interest Rate Options Examination), which he obtained on September 10, 1991; Series 7 (General Securities Representative Examination), which he obtained on April 25, 1987; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on September 16, 2003; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on September 5, 2003. He is a registered broker and investment adviser with 20 US states and territories.

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

Leland WhitingPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 10, 2019 indicate that former Utah-based Hornor Townsend & Kent broker/adviser Leland Whiting, also known as Blair Whiting, has received a pending customer complaint and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Whiting (CRD# 465663).

Leland Whiting has spent 43 years in the securities industry and was most recently registered with Hornor Townsend & Kent in Salt Lake City, Utah (2011-2016). Previous registrations include NFP Advisor Services in Salt Lake City, Utah (2000-2011); FSC Securities Corporation in Atlanta, Georgia (1992-2000); Western Capital Financial Group in New York, New York (1990); Integrated Resources Equity Corporation (1988-1989); FPI Securities (1982-1988); Anchor National Financial Services (1982-1984); and Mutual of Omaha Fund Management Company (1969-1982). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 21, 199; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 8, 1984; SIE (Securities Industry Essentials Examination), which he obtained on March 17, 2016; Series 1 (Registered Representative Examination), which he obtained on June 7, 1969; and Series 24 (General Securities Principal Examination), which he obtained on December 28, 1992. He is currently not registered with any state or firm.

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

David Schaeffer

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 10, 2019 indicate that Pennsylvania-based Morgan Stanley broker/adviser David Schaeffer has received a pending customer complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Schaeffer (CRD# 1961413).

David Schaeffer has spent twenty-two years in the securities industry and has been registered with Morgan Stanley in Philadelphia, Pennsylvania since 2009. Previous registrations include Citigroup Global Markets in Philadelphia, Pennsylvania (2006-2009); Morgan Stanley DW in Purchase, New York (2001-2006); Deutsche Banc Alex Brown in New York, New York (2001); DB Alex Brown in Baltimore, Maryland (1997-2001); Hambrecht & Quist in San Francisco, California (1996-1997); and Alex Brown & Sons (1996). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 22, 2001; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 10, 1997; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on February 28, 1996. He is a registered broker and investment adviser with 25 US states and territories: Alabama, Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Illinois, Indiana, Kentucky, Maryland, Massachusetts, New Hampshire, New Jersey, North Carolina, Ohio, Pennsylvania, Rhode Island, South Carolina, Texas, Virginia, Washington, and Wisconsin. He is registered with four self-regulatory organizations: FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Adam JacksonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 10, 2019 indicate that Indiana-based Edward Jones broker/adviser Adam Jackson has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Jackson (CRD# 5039488).

Adam Jackson has spent 13 years in the securities industry and has been registered with Edward Jones in Seymour, Indiana since 2005. He has no previous registrations. He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on March 30, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 1, 2005; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on November 28, 2005. He is a registered broker and investment adviser with 20 US states and territories: Alabama, Arizona, Arkansas, California, Colorado, the District of Columbia, Florida, Georgia, Illinois, Indiana, Kentucky, Michigan, Mississippi, Missouri, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, and Virginia. He is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Michael NeumeierPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 10, 2019 indicate that Maryland-based Coastal Equities broker/adviser Michael Neumeier has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Neumeier (CRD# 3193792).

Michael Neumeier has spent 15 years in the securities industry and was most recently registered with Coastal Equities in Owings Mills, Maryland (2014). Previous registrations include Heritage Financial Systems in Owings Mills, Maryland (2013-2014); Questar Capital Corporation in Owings Mills, Maryland (2006-2013); USAllianz Securities in Owings Mills, Maryland (2006); and Advantage Capital Corporation in Owings Mills, Maryland (1999-2006). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 13, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 27, 2001; SIE (Securities Industry Essentials Examination), which he obtained on November 17, 2014; Series 7 (General Securities Representative Examination), which he obtained on June 22, 2002; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 28, 1999. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one regulatory sanction, and he resigned from a former employer in connection to alleged rule violations.

Valentino ScottPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 10, 2019 indicate that California-based Centaurus Financial broker/adviser Valentino Scott has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Scott (CRD# 1497615).

Valentino Scott has spent 27 years in the securities industry and has been registered with Centaurus Financial in Canoga Park, California since 1995. Previous registrations include Montano Securities Corporation in Orange, California (1993-1995); Fortis Investors in Oakdale, Minnesota (1994-1995); and Pruco Securities Corporation (1986-1988). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 18, 1993; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on September 27, 1993; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 15, 1986. He is a registered broker and investment adviser with 24 US states and territories.

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