Adam LopezPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 15, 2018 indicate that former Illinois-based Country Capital Management Company broker Adam Lopez was recently sanctioned by state regulatory authorities in connection to alleged rule violations and is currently not affiliated with any state or firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lopez (CRD# 5562750).

Adam Lopez has spent 10 years in the securities industry and was most recently registered with Country Capital Management Company in Springfield, Illinois (2008-2018). He has no previous registrations. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 25, 2008; SIE (Securities Industry Essentials Examination), which he obtained on September 21, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 15, 2008. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two pending customer complaints and one regulatory sanction, and he was discharged from his former employer in connection to alleged rule violations.

Michael KanePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 15, 2018 indicate that Texas-based BBVA Securities broker/adviser Michael Kane has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kane (CRD# 5099883).

Michael Kane has spent 12 years in the securities industry and has been registered with BBVA Securities in Allen and McKinney, Texas since 2015. Previous registrations include Cetera Investment Services in Garland, Texas (2014-2015); JP Morgan Securities in Monroe, Louisiana (2012-2014); Chase Investment Services Corporation in Alexandria, Louisiana (2007-2012); and Capital One Investments in Slidell, Louisiana (2006-2007). He has passed six securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on November 12, 2007; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on March 24, 2006; Series 4 (Registered Options Principal Examination), which he obtained on May 11, 2012; Series 53 (Municipal Securities Principal Examination), which he obtained on November 19, 2010; and Series 24 (General Securities Principal Examination), which he obtained on April 22, 2010. He is registered as a broker and investment adviser in Texas.

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

Gregory Washington

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 15, 2018 indicate that DC-based Merrill Lynch broker/adviser Gregory Washington has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Washington (CRD# 5420613).

Gregory Washington has spent eight years in the securities industry and has been registered with Merrill Lynch in Washington, DC since 2018. Previous registrations include Spartan Capital Securities in New York, New York (2010-2016) and Maxim Group LLC in New York, New York (2009-2010). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 21, 2018; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 3, 2009; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on December 4, 2008. He is a registered broker and investment adviser with two US states and territories; the District of Columbia and New Jersey.

According to his BrokerCheck report, he has received one pending customer complaint and two unsatisfied judgments or liens.

Barry RossPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 15, 2018 indicate that California-based Wedbush Securities broker/adviser Barry Ross has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ross (CRD# 404927).

Barry Ross has spent 48 years in the securities industry and has been registered with Wedbush Securities in Hidden Hills, California since 2007. Previous registrations include Brookstreet Securities Corporation in Hidden Hills, California (2004-2007); Wachovia Securities in St. Louis, Missouri (1990-2004); and Bateman Eichler Hill Richards (197-1990). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 6, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 18, 1980; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 1 (Registered Representative Examination), which he obtained on April 13, 1970; and Series 24 (General Securities Principal Examination), which he obtained on September 20, 2004. He is a registered broker and investment adviser with six US states: California, Georgia, Kentucky, Oregon, Texas, and Washington.

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

Wesley Foltz

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 15, 2018 indicate that former Louisiana-based Prospera Financial Services broker Wesley Foltz was recently 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. Foltz (CRD# 4617507).

Wesley Foltz has spent 15 years in the securities industry and was most recently registered with Prospera Financial Services in Alexandria, Louisiana (2011-2018). Previous registrations include LPL Financial in Alexandria, Louisiana (2007-2011) and Capital One Investments in Alexandria, Louisiana (2003-2007). He has passed two securities industry examinations: SIE (Securities Industry Essentials Examination), which he obtained on June 19, 2018, and Series 7 (General Securities Representative Examination), which he obtained on January 30, 2003. He is currently not registered with any state, firm or self-regulatory organization (SRO).

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

Dianne TownsendPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 15, 2018 indicate that Florida-based Raymond James & Associates broker/adviser Dianne Townsend has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Townsend (CRD# 2216130).

Dianne Townsend has spent 26 years in the securities industry and has been registered with Raymond James & Associates in Naples, Florida since 2010. Previous registrations include Vision Investment Services in Naples, Florida (2000-2010); Northern Trust Securities in Naples, Florida (1999-2010); Amsouth Investment Services in Birmingham, Alabama (1995-1999); and Mark Twain Brokerage Services (1992-1995). She has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on September 10, 1996; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on March 25, 1992; SIE (Securities Industry Essentials Examination), which she obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which she obtained on March 19, 1992. She is a registered broker and investment adviser with 22 US states and territories: Alabama, Arizona, California, Colorado, Delaware, Florida, Georgia, Indiana, Maryland, Massachusetts, Michigan, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Vermont, Virginia, Washington, and Wisconsin. She 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 her BrokerCheck report, she has received three customer complaints, one pending customer complaint, and two denied customer complaints.

Alfred WeaverPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 15, 2018 indicate that Massachusetts-based Ameriprise Financial Services broker/adviser Alfred Weaver has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Weaver (CRD# 460549).

Alfred Weaver has spent 50 years in the securities industry and has been registered with Ameriprise Financial Services in Westborough, Massachusetts since 2012. Previous registrations include Morgan Stanley Smith Barney in Waltham, Massachusetts (2009-2012); Citigroup Global Markets in Watham, Massachusetts (1993-2009); Lehman Brothers in New York, New York (1988-1993); EF Hutton & Company (1984-1988); Paine Webber Jackson & Curtis (1980-1984); and Paine Webber Jackson & Curtis (1968-1980). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 18, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 26, 1984; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; PC (AMEX Put and Call Exam), which he obtained on September 2, 1977; and Series 1 (Registered Representative Examination), which he obtained on December 18, 1967. He is a registered broker and investment adviser with 12 US states and territories: Connecticut, Florida, Maine, Maryland, Massachusetts, New Hampshire, New York, Rhode Island, South Carolina, Texas, Vermont, and Virginia.

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

David ColfleshPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 13, 2018 indicate that former Missouri-based NYLife Securities broker/adviser David Colflesh, who has received numerous customer disputes, was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Colflesh (CRD# 1184117).

David Colflesh has spent 33 years in the securities industry and was most recently registered with NYLife Securities in Tarkio, Missouri (1983-2019). He has no previous registrations. He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 22, 2004; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 1, 1985; SIE (Securities Industry Essentials Examination), which he obtained on November 1, 2016; Series 22 (Direct Participation Programs Representative Examination), which he obtained on November 29, 1984; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 19, 1983. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received 17 customer complaints and one regulatory sanction.

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.

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