Jerry DillonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 14, 2018 indicate that California-based JP Morgan Securities broker/adviser Jerry Dillon is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Dillon (CRD# 5112221).

Jerry Dillon has spent 12 years in the securities industry and has been registered with JP Morgan Securities in El Segundo, California since 2012. Previous registrations include Chase Investment Services Corporation in El Segundo, California (2011-2012); Morgan Stanley Smith Barney in Beverly Hills, California (2009-2011); Morgan Stanley & Company in Beverly Hills, California (2008-2009); and Merrill Lynch in El Segundo, California (2006-2008). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 19, 2006; Series 31 (Futures Managed Funds Examination), which he obtained on December 31, 2008; and Series 7 (General Securities Representative Examination), which he obtained on April 28, 2006. He is a registered broker and investment adviser with 13 US states and territories: Arizona, California, Colorado, Florida, Georgia, Illinois, Missouri, Nevada, New York, Pennsylvania, Texas, Washington, and Wisconsin.

According to his BrokerCheck report, he has received one pending customer complaint and one complaint that was closed with no action taken.

Gordon QuanPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 14, 2018 indicate that former California-based Cetera Advisor Networks broker/adviser Gordon Quan 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 speaking to investors who have complaints regarding Mr. Quan (CRD# 1326425).

Gordon Quan has spent 33 years in the securities industry and was most recently registered with Cetera Advisor Networks in Pasadena, California (1994-2018). He was previously registered with Financial Designs Corporation (1985-1994). He has passed two securities industry examinations: Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 3, 1987, and Series 22 (Direct Participation Programs Representative Examination), which he obtained on May 9, 1985. He is currently not registered with any state or firm.

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

Bill BurksPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 14, 2018 indicate that Texas-based Centaurus Financial broker/adviser William Burks II, also known as Bill Burks, has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Burks (CRD# 2944992).

William Burks has spent 20 years in the securities industry and has been registered with Centaurus Financial in Flower Mound, Texas since 2000. He was previously registered with PFS Investments in Duluth, Georgia (1997-2000). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 23, 2009; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 18, 1997; Series 7 (General Securities Representative Examination), which he obtained on February 18, 2009; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 17, 1997; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on December 8, 2003. He is a registered broker and investment adviser with 13 US states and territories: Arizona, California, Colorado, Florida, Kansas, Louisiana, Maryland, Minnesota, North Carolina, Tennessee, Texas, Utah, and Washington.

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

Thomas McCarthyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 14, 2018 indicate that Connecticut-based Oppenheimer & Company broker/adviser Thomas McCarthy has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McCarthy (CRD# 1082545).

Thomas McCarthy has spent 35 years in the securities industry and has been registered with Oppenheimer & Company in Cheshire, Connecticut since 1988. Previous registrations include Fahnestock & Company (1988); Moseley Securities Corporation (1984-1988); and Smith Barney Harris Upham & Company (1982-1984). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 28, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 22, 1982; Series 7 (General Securities Representative Examination), which he obtained on December 18, 1982; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on November 8, 1999; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on November 8, 1999. He is a registered broker and investment adviser with 15 US states and territories: California, Colorado, Connecticut, Florida, Georgia, Massachusetts, Michigan, Nevada, New Jersey, New York, Rhode Island, South Carolina, Texas, Virginia, and Washington. He is registered with nine self-regulatory organizations (SROs): Cboe Exchange, the Chicago Stock Exchange, FINRA, NYSE American, NYSE Arca, Nasdaq ISE, Nasdaq PHLX, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Fuad HabbaPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 13, 2018 indicate that former New York-based Morgan Stanley broker/adviser Fuad Habba has been 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. Habba (CRD# 4892638).

Fuad Habba has spent seven years in the securities industry and was most recently registered with Morgan Stanley in New York, New York (2016-2018). Previous registrations include Merrill Lynch in New York, New York (2013-2016); MetLife Securities in White Plains, New York (2008-2010); and Northwestern Mutual Investment Services in Westport, Connecticut (2007-2008). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on March 1, 2013; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 22, 2007; Series 7 (General Securities Representative Examination), which he obtained on January 24, 2013; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 23, 2007. He is currently not registered with any state or firm.

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

Lawrence MurphyPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 13, 2018 indicate that former Florida-based International Assets Advisory broker/adviser Lawrence Murphy was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Murphy (CRD# 1270120).

Lawrence Murphy has spent 33 years in the securities industry and has been registered with International Assets Advisory in Orlando, Florida since 2016. Previous registrations include Equity Services in Edison, New Jersey (2016); MSI Financial Services in Moorestown, New Jersey (2004-2016); AXA Advisors in Marlton, New Jersey (2008); Metropolitan Life Insurance Company in Mount Laurel, New Jersey (2004-2007); WS Griffith Securities in Hartford, Connecticut (1993-2004); Phoenix Equity Planning Corporation in Hartford, Connecticut (1991-1993); and Nathan & Lewis Securities in New York, New York (1984-1991). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 7, 1987; Series 7 (General Securities Representative Examination), which he obtained on July 18, 1987; Series 22 (Direct Participation Programs Representative Examination), which he obtained on July 12, 1984; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 26, 1984; and Series 24 (General Securities Principal Examination), which he obtained on May 21, 1993. He is a registered broker and investment adviser with nine US states: Connecticut, Delaware, Florida, Mississippi, New Jersey, New York, Pennsylvania, South Carolina, and Virginia.

According to his BrokerCheck report, Lawrence Murphy has received one customer complaint and one FINRA sanction, and resigned or was discharged from two former employers.

Christopher McClurePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 8, 2018 indicate that Connecticut-based Westport Capital Markets broker/adviser Christopher McClure, who has received resolved or pending customer disputes, was recently named in a complaint by the Securities and Exchange Commission (SEC). Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. McClure (CRD# 2289844).

Christopher McClure has spent 25 years in the securities industry and has been registered with Westport Capital Markets in Westport, Connecticut since 2001. Previous registrations include Prudential Securities in New York, New York (1997-2001); Merrill Lynch in New York, New York (1995-1997); Smith Barney in New York, New York (1993-1995); and Lehman Brothers in New York, New York (1992-1993). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 22, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 8, 1992; Series 7 (General Securities Representative Examination), which he obtained on December 2, 1992; Series 53 (Municipal Securities Principal Examination), which he obtained on February 12, 2008; Series 27 (Financial and Operations Principal Examination), which he obtained on June 14, 2007; and Series 26 (General Securities Principal Examination), which he obtained on September 26, 2006. He is a registered broker and investment adviser with 29 US states and territories.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one civil complaint by the SEC.

Michael BrumleyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 8, 2018 indicate that Missouri-based Farmers Financial Solutions broker Michael Brumley has been named in an investigation by state regulatory authorities. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Brumley (CRD# 4695724).

Michael Brumley has spent three years in the securities industry and has been registered with Farmers Financial Solutions in St. Genevieve, Missouri since October 2017. He was previously registered with Money Concepts Capital Corporation in Farmington, Missouri (2014-2017). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 25, 2014, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 9, 2014. He is registered as a broker in Michigan.

According to his BrokerCheck report, Michel Brumley has been named in an investigation by state regulatory authorities and a pending complaint by state regulatory authorities.

Rafael GolanPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 8, 2018 indicate that Florida-based Crystal Bay Securities broker Rafael Golan, who has received several resolved or pending customer disputes, has been named in several regulatory investigations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Golan (CRD# 1074079).

Rafael Golan has spent 33 years in the securities industry and has been registered with Crystal Bay Securities in Delray Beach, Florida since 2007. Previous registrations include Independent Financial Group in Delray Beach, Florida (2004-2006); Sentra Securities in Phoenix, Arizona (2001-2004); Prime Capital Services in Poughkeepsie, New York (1999-2001); Avalon Research Group in Boca Raton, Florida (1999); Shochet Securities in Boca Raton, Florida (1998-1999); Baxter Banks & Smith in St. Petersburg, Florida (1997-1998); US Securities & Futures Corporation in New York, New York (1996); Securities America in La Vista, Nebraska (1992-1996); Painewebber in Weehawken, New Jersey (1990-1992); AG Edwards & Sons in St. Louis, Missouri (1989-1990); Shearson Lehman Hutton (1988-1989); Kidder Peabody & Company (1984-1988); CVR Financial Corporation of America (1983-1984); and the Keyes Investment Group (1983). He has passed six securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 29, 2003; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 22, 1984; Series 3 (National Commodity Futures Examination), which he obtained on August 4, 1988; Series 7 (General Securities Representative Examination), which he obtained on January 21, 1984; Series 22 (Direct Participation Programs Representative Examination), which he obtained on January 10, 1983; and Series 24 (General Securities Principal Examination), which he obtained on January 22, 2002. He is a registered broker with eight US states: California, Connecticut, Florida, New Jersey, Ohio, Pennsylvania, South Carolina, and Texas.

According to his BrokerCheck report, Rafael Golan has received two customer complaints, five pending customer complaints, and three regulatory investigations.

Aaron Sheehy

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 8, 2018 indicate that former New York-based Morgan Stanley broker Aaron Sheehy 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 speaking to investors who have complaints regarding Mr. Sheehy (CRD# 1847401).

Aaron Sheehy has spent twenty-five years in the securities industry and was most recently registered with Morgan Stanley in New York, New York (2009-2018). Previous registrations include Citigroup Global Markets in New York, New York (1997-2009) and Salomon Brothers in New York, New York (1992-1998). He has passed six securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 23, 1992; Series 3 (National Commodity Futures Examination), which he obtained on July 9, 1993; Series 7 (General Securities Representative Examination), which he obtained on April 10, 1992; Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on December 8, 1997; Series 24 (General Securities Principal Examination), which he obtained on July 9, 1997; and Series 4 (Registered Options Principal Examination), which he obtained on February 18, 1997. He is currently not registered with any state or firm.

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

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