Christopher ThompsonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 24, 2018 indicate that California-based Stifel Nicolaus & Company broker/adviser Christopher Thompson has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Thompson (CRD# 4631462).

Christopher Thompson has spent 15 years in the securities industry and has been registered with Stifel Nicolaus & Company in Walnut Creek, California since 2015. He was previously registered with Merrill Lynch in Walnut Creek, California. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 16, 2003, and Series 7 (General Securities Representative Examination), which he obtained on April 9, 2003. He is a registered broker and investment adviser with eight US states and territories: Arizona, California, Florida, Michigan, Ohio, Oregon, Texas, and Washington. He is registered with seven self-regulatory organizations (SROs): Cboe BZX Exchange, 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 pending customer complaint and two denied customer complaints.

David Olson

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 24, 2018 indicate that former Florida-based Morgan Stanley broker David Olson, who has received several customer disputes, was recently sanctioned by FINRA 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. Olson (CRD# 1700644).

David Olson has spent 29 years in the securities industry and was most recently registered with Morgan Stanley in St. Petersburg, Florida (2010-2017). Previous registrations include Merrill Lynch in Clearwater, Florida (2009-2010); Banc of America Investment Services in Belleair Bluffs, Florida (2004-2009); UBS Financial Services in Weehawken, New Jersey (1999-2004); Prudential Securities in New York, New York (1989-1999); Thomson McKinnon in New York, New York (1989); and Painewebber (1987-1989). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 28, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 5, 1987; Series 3 (National Commodity Futures Examination), which he obtained on December 15, 1989; and Series 7 (General Securities Representative Examination), which he obtained on July 18, 1987. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received six customer complaints and two regulatory sanctions.

Vaughn Andrews-McKayPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 22, 2018 indicate that Connecticut-based Pruco Securities broker/adviser Vaughn Andrews-McKay has been 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 speaking to investors who have complaints regarding Mr. Andrews-McKay (CRD# 6491985).

Vaughn Andrews-McKay has spent two years in the securities industry and was most recently registered with Pruco Securities in Shelton, Connecticut (2015-2018). He has no previous registrations. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 10, 2015, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 25, 2015. He is currently not registered with any state or firm.

According to his BrokerCheck report, Vaughn Andrews-McKay has been sanctioned by FINRA and was discharged from his former employer in connection to alleged rule violations.

Anthony DacruzPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that New York-based Morgan Stanley broker/adviser Anthony Dacruz has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Dacruz (CRD# 1259435).

Anthony Dacruz has spent 34 years in the securities industry and has been registered with Morgan Stanley in New York, New York since 2011. Previous registrations include RBC Capital Markets in New York, New York (2009-2011); JB Hanauer & Company in Parsippany, New York (1984-2009); and Merrill Lynch (1984-1988). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 25, 2003; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 15, 1984; Series 7 (General Securities Representative Examination), which he obtained on April 14, 1984; and Series 24 (General Securities Principal Examination), which he obtained on October 21, 1996. He is a registered broker and investment adviser with 22 US states and territories: Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Massachusetts, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, 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.

Kenneth ByrnePublicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that New York-based Janney Montgomery Scott broker/adviser Kenneth Byrne has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Byrne (CRD# 1191939).

Kenneth Byrne has spent 34 years in the securities industry and has been registered with Janney Montgomery Scott in Garden City, New York since 2003. Previous registrations include Monarch Financial Corporation of America in New York, New York (1994-2003) and Stoever Glass & Company in New York, New York (1983). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 22, 1983; Series 7 (General Securities Representative Examination), which he obtained on March 17, 1984; and Series 52 (Municipal Securities Representative Examination), which he obtained on November 9, 1983. He is a registered broker and investment adviser with 19 US states and territories: Arizona, Connecticut, Florida, Iowa, Louisiana, Massachusetts, Michigan, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, Tennessee, Texas, Virginia, Washington, and Wisconsin.

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

Ronald McCookPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that Arizona-based First Allied Securities broker/adviser Ronald McCook is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McCook (CRD# 4155186).

Ronald McCook has spent 17 years in the securities industry and has been registered with First Allied Securities in Scottsdale, Arizona since 2014. Previous registrations include National Planning Corporation in Scottsdale, Arizona (2009-2014); Sagepoint Financial in Scottsdale, Arizona (2005-2009); SunAmerica Securities in Phoenix, Arizona (2001-2005); and Washington Square Securities in Des Moines, Iowa (2000-2001). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 8, 2000, and Series 7 (General Securities Representative Examination), which he obtained on July 22, 2000. He is a registered broker and investment adviser with 15 US states and territories: Arizona, California, Colorado, Florida, Illinois, Iowa, Kansas, Michigan, Nevada, New York, Oklahoma, Oregon, Texas, Utah, and Washington.

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

Matthew LawsonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that Tennessee-based Raymond James Financial Services broker/adviser Matthew Lawson is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lawson (CRD# 2869619).

Matthew Lawson has spent 20 years in the securities industry and has been registered with Raymond James Financial Services in Chattanooga, Tennessee since 2012. Previous registrations include LPL Financial in Chattanooga, Tennessee (2007-2012); SunTrust Investment Services in Chattanooga, Tennessee (2005-2007); Amsouth Investment Services in Birmingham, Alabama (2004-2005); and Merrill Lynch in New York, New York (1997-2004). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 30, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 21, 1997; Series 31 (Futures Managed Funds Examination), which he obtained on December 15, 2008; Series 7 (General Securities Representative Examination), which he obtained on May 9, 1997; and Series 24 (General Securities Principal Examination), which he obtained on March 28, 2006. He is a registered broker and investment adviser with 36 US states and territories.

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

James WaltersPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that former Georgia-based Edward Jones broker/adviser James Walters 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 speaking to investors who have complaints regarding Mr. Walters (CRD# 5943354).

James Walters has spent six years in the securities industry and was registered with Edward Jones in Macon, Georgia from 2011-2018. He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 26, 2011, and Series 7 (General Securities Representative Examination), which he obtained on September 1, 2011. 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.

Robert Iola

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 17, 2018 indicate that New Jersey-based Kestra Investment Services broker/adviser Robert Iola has received a customer dispute and a regulatory sanction. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Iola (CRD# 2103831).

Robert Iola has spent 27 years in the securities industry and has been registered with Kestra Investment Services in Raritan, New Jersey since October 2017. Previous registrations include Commonwealth Financial Network in Raritan, New Jersey (2014-2017); Summit Equities in Parsippany, New Jersey (2004-2014); Lincoln Financial Advisors Corporation in Fort Wayne, Indiana (1998-2004); and Cigna Financial Advisors in Radnor, Pennsylvania (1990-1998). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 22, 2010; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 1, 1991; and Series 7 (General Securities Representative Examination), which he obtained on November 16, 1990. He is a registered broker and investment adviser with 22 US states and territories: Arizona, California, Colorado, Connecticut, Delaware, Florida, Illinois, Kentucky, Maryland, Massachusetts, Michigan, Minnesota, Missouri, New Hampshire, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island and South Carolina.

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

Bradley Tennison

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 16, 2018 indicate that former Arizona-based Geneos Wealth Management broker/adviser Bradley Tennison, who has received resolved or pending customer disputes, 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 hearing from investors who have complaints regarding Mr. Tennison (CRD# 1561988).

Bradley Tennison has spent 29 years in the securities industry and was most recently registered with Geneos Wealth Management in Mesa, Arizona (2005-2018). Previous registrations include Oberlin Financial Corporation in Bryan, Ohio (2004-2005); First Allied Securities in San Diego, California (2000-2004); DE Frey & Company in Denver, Colorado (1992-2000); Kemper Securities Group in St. Louis, Missouri (1990-1992); and Boettcher & Company (1989-1990). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 20, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 23, 1989; Series 7 (General Securities Representative Examination), which he obtained on March 18, 1989; and Series 24 (General Securities Principal Examination), which he obtained on May 8, 1992. He is currently not registered with any state or firm.

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

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