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Martin WaldmanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 22, 2017 indicate that Florida-based Raymond James & Associates broker/adviser Martin Waldman has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Waldman (CRD# 4566228).

Martin Lewis has spent 14 years in the securities industry and has been registered with Raymond James & Associates in Boca Raton, Florida since 2009. Previous registrations include Vision Investment Services in Boca Raton, Florida (2006-2009) and Northern Trust Securities in Boca Raton, Florida (2003-2009). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 17 US states and territories: California, Connecticut, Florida, Illinois, Iowa, Louisiana, Maryland, Massachusetts, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas and Vermont.

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

Timothy Miller

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 23, 2017 indicate that Wisconsin-based TradingBlock broker Timothy Miller has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Miller (CRD# 2650611).

Timothy Miller has spent 21 years in the securities industry and has been registered with TradingBlock in Neenah, Wisconsin since 2012. Previous registrations include brokersXpress in Neenah, Wisconsin; Stifel Nicolaus & Company in Kimberly, Wisconsin; and Everen Securities in St. Louis, Missouri. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), Series 63 (Uniform Securities Agent State Law Examination), and Series 7 (General Securities Representative Examination). He is a registered broker with seven US states and territories: Arizona, Florida, Massachusetts, Michigan, Minnesota, North Carolina and Wisconsin.

According to his BrokerCheck report, he has received three customer complaints.

John Conroy

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 23, 2017 indicate that New York-based Andrew Garrett Inc. broker/adviser John Conroy has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Conroy (CRD# 3008995).

John Conroy has spent 18 years in the securities industry and has been registered with Andrew Garrett in New York, New York since 2008. Previous registrations include New Castle Financial Services in Melville, New York; the Concord Equity Group in Iselin, New Jersey; Benson York Group in Melville, New York; and Milestone Group Management in Lake Success, New York. He is a registered broker and investment adviser with 45 US states and territories.

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

Richard Botkin

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 23, 2017 indicate that California-based Stifel Nicolaus broker/adviser Richard Botkin has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Botkin (CRD# 1571729).

Richard Botkin has spent 30 years in the securities industry and has been registered with Stifel Nicolaus & Company in Roseville, California since 2015. Previous registrations include Morgan Stanley in Roseville, California; Morgan Stanley & Company in Folsom, California; Wachovia Securities in Folsom, California; Salomon Smith Barney in New York, New York; Lehman Brothers in New York, New York; and E.F. Hutton & Company. He is a registered broker and investment adviser with 11 US states and territories: Arizona, California, Colorado, the District of Columbia, Idaho, Indiana, Ohio, Oregon, Texas, Virginia and Washington.

According to his BrokerCheck report, Richard Botkin was recently sanctioned by FINRA.

Louis Horwin

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 22, 2017 indicate that Arizona-based Lifemark Securities Corporation broker Louis Horwin has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Horwin (CRD# 1845047).

Louis Horwin has spent 28 years in the securities industry and has been registered with Lifemark Securities Corporation in Scottsdale, Arizona since March 2016. Previous registrations include Legend Equities Corporation in Scottsdale, Arizona; First Financial Equity Corporation in Scottsdale, Arizona; Oppenheimer & Company in Scottsdale, Arizona; Piper Jaffray & Company in Minneapolis, Minnesota; and Smith Barney in New York, New York. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), Series 63 (Uniform Securities Agent State Law Examination), and Series 7 (General Securities Representative Examination). He is a registered broker with two US states: California and Arizona.

According to his BrokerCheck report, Louis Horwin has received one pending customer complaint and resigned from a former employer.

Christopher StoddardPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 22, 2017 indicate that Massachusetts-based Stifel Nicolaus & Company broker/adviser Christopher Stoddard has been sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Stoddard (CRD# 2773797).

Christopher Stoddard has spent 20 years in the securities industry and has been registered with Stifel Nicolaus & Company in Boston, Massachusetts in December 2016. Previous registrations include Wells Fargo Advisors in Norwell, Massachusetts; Morgan Stanley in Norwell, Massachusetts; and Citigroup Global Markets in Hingham, Massachusetts. He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 9 (General Securities Sales Supervisor – Options Module Examination); and Series 10 (General Securities Sales Supervisor – General Module Examination). He is a registered broker and investment adviser with 23 US states and territories.

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

Scott Reed

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 22, 2017 indicate that Pennsylvania-based FS Investment Services broker Scott Reed has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Reed (CRD# 2213108).

Scott Reed has spent 24 years in the securities industry and has been registered with FS Investment Services in Philadelphia, Pennsylvania since October 2016. He was previously registered with David A. Noyes & Company in Indianapolis, Indiana from 1993 through 2016. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 53 (Municipal Securities Principal Examination). He is a registered broker with two US states: Indiana and Michigan.

According to his BrokerCheck report, Scott Reed has received one pending customer complaint in connection to his conduct at David A. Noyes & Company.

Robert Bulloch

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 21, 2017 indicate that California-based Infinity Financial Services broker Robert Bulloch has been sanctioned by FINRA and censured in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bulloch (CRD# 2541075).

Robert Bulloch has spent 22 years in the securities industry and has been registered with Infinity Financial Services in Oakland, California since January 2017. Previous registrations include LPL Financial in Raleigh, North Carolina; Morgan Stanley Smith Barney in Raleigh, North Carolina; Morgan Stanley & Company in Raleigh, North Carolina; and Morgan Stanley DW in Raleigh, North Carolina. He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 31 (Futures Managed Funds Examination); Series 7 (General Securities Representative Examination); Series 9 (General Securities Sales Supervisor – Options Module Examination); and Series 10 (General Securities Sales Supervisor – General Module Examination). He is a registered broker with eight US states: Alabama, California, Connecticut, Georgia, Maryland, North Carolina, Ohio, and Virginia.

According to his BrokerCheck report, he has been sanctioned by FINRA and was discharged from his former employer.

Calvin WillisPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 21, 2017 indicate that New Mexico-based EK Riley Investments broker Calvin Willis was recently terminated from his former employer, Edward Jones, in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Willis (CRD# 2827320).

Calvin Willis has spent 20 years in the securities industry and has been registered with EK Riley Investments in Albuquerque, New Mexico since May 2017. He was previously registered with Edward Jones in Albuquerque, New Mexico from 1997 to 2017. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 24 (General Securities Principal Examination). He is a registered broker with 13 US states and territories: Arkansas, California, Colorado, Indiana, Maryland, New Jersey, New Mexico, New York, Pennsylvania, Utah, Virginia, Washington and Wisconsin.

According to his BrokerCheck report, Calvin Willis was recently terminated from his employer in connection to alleged rule violations.

Theodore FransePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 21 2017 indicate that former South Carolina-based Sandlapper Securities broker/adviser Theodore Franse has received a pending customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Franse (CRD# 1418012).

Theodore Franse has spent 31 years in the securities industry and has been registered with Sandlapper Securities in Greenville, South Carolina since April 2017. Previous registrations include Independent Financial Group in Fair Oaks, California; First Allied Securities in Fair Oaks, California; AIG Financial Advisors in Fair Oaks, California; SunAmerica Securities in Phoenix, Arizona; and Pruco Securities in Newark, New Jersey. He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 6 (Investment Company Products/Variable Contracts Representative Examination); Series 51 (Municipal Fund Securities Principal Examination); Series 24 (General Securities Principal Examination); and Series 26 (Investment Company Products/Variable Contracts Principal Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, he was terminated from his former employer and has received one pending customer complaint.

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