Marc Friedson

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on November 13, 2017 indicate that former Florida-based RBC Capital Markets broker/adviser Marc Friedson has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Friedson (CRD# 1178838).

Marc Friedson has spent 32 years in the securities industry and was most recently registered with RBC Capital Markets in West Palm Beach, Florida (2009-2016). Previous registrations include JB Hanauer & Company in West Palm Beach, Florida (2005-2009); Citigroup Global Markets in New York, New York (2001-2005); JB Hanauer & Company in Parsippany, New Jersey (1985-2001); Shearson Lehman Hutton (1988); and Prudential-Bache Securities (1984-1985). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

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

Rick Konecny

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 9, 2017 indicate that former Illinois-based National Securities Corporation broker Rick Konecny has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Konecny (CRD# 1727785).

Rick Konecny has spent 26 years in the securities industry and was most recently registered with National Securities Corporation in Chicago, Illinois (2016). JP Morgan Securities in Chicago, Illinois (2013-2016); UBS Financial Services in Chicago, Illinois (2008-2013); Morgan Stanley & Company in Chicago, Illinois (2007-2008); Morgan Stanley DW in Chicago, Illinois (1995-2007); Prudential Securities in New York, New York (1993-1995); Mathews Holmquist & Associates in Hiawatha, Iowa (1991-1993); Heartland Investment Associates in Hiawatha, Illinois (1991-1992); Dickinson & Company in Des Moines, Iowa (1992); Berthel Fisher & Fleischman Financial Services in Clear Rapids, Iowa (1989); Pruco Securities Corporation (1988); the Prudential Insurance Company of America (1988); and Blinder Robinson & Company (1987-1988). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 3 (National Commodity Futures Examination); and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

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

William HerritagePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 2, 2017 indicate that South Carolina-based Crown Capital Securities broker/adviser William Herritage has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Herritage (CRD# 4027113).

William Herritage has spent 17 years in the securities industry and has been registered with Crown Capital Securities in Columbia, South Carolina since 2012. Previous registrations include Brookstone Securities in Columbia, South Carolina (2010-2012); Broker Dealer Financial Services Corporation in Columbia, South Carolina (2008-2010); Lifemark Securities Corporation in Rochester, New York (2005-2008); and MML Investors Services in Springfield, Massachusetts (2000-2005). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 16, 2004; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 16, 2000; Series 7 (General Securities Representative Examination), which he obtained on February 2, 2007; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 21, 2000. He is a registered broker and investment adviser with eight US states: Arizona, California, Georgia, North Carolina, South Carolina, Texas, Virginia and Washington.

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

Gonzalo Castano

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 2, 2017 indicate that Florida-based UBS Financial Services broker/adviser Gonzalo Castano is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Castano (CRD# 4368051).

Gonzalo Castano has spent 15 years in the securities industry and has been registered with UBS Financial Services in Coral Gables, Florida since 2010. Previous registrations include UBS International in Coral Gables, Florida (2002-2010) and UBS Painewebber in Weehawken, New Jersey (2001-2002). He has passed two securities industry examination: Series 66 (Uniform Combined State Law Examination), which he obtained on January 24, 2005, and Series 7 (General Securities Representative Examination), which he obtained on December 2, 2001. He is a registered broker and investment adviser with 14 US states and territories: Alabama, Arizona, California, Colorado, Florida, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Texas, Utah, the Virgin Islands and Virginia. He is registered with nine self-regulatory organizations (SROs): BOX Options Exchange LLC, the Chicago Board Options Exchange, FINRA, NYSE American LLC, NYSE Arca, Nasdaq ISE 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.

Matthew Garrett

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 2, 2017 indicate that former Tennessee-based MML Distributors broker Matthew Garrett 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. Garrett (CRD# 6485387).

Matthew Garrett has spent one year in the securities industry and was most recently registered with MML Distributors in Cordova, Tennessee (2015-2017). He has passed one securities industry examination: Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 23, 2015. He is currently not registered with any state or firm.

According to his BrokerCheck report, Matthew Garrett has received one FINRA sanction and one pending criminal charge.

Adam QuarelloPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 2, 2017 indicate that California-based Oppenheimer & Company broker/adviser Adam Quarello is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Quarello (CRD# 4461542).

Adam Quarello has spent 15 years in the securities industry and has been registered with Oppenheimer & Company in Los Angeles, California since 2009. Previous registrations include UBS Financial Services in Los Angeles, California (2006-2009); Ameriprise Financial Services in Los Angeles, California (2001-2006); and IDS Life Insurance Company in Minneapolis, Minnesota (2001-2006). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on November 16, 2001; Series 3 (National Commodity Futures Examination), which he obtained on September 6, 2008; and Series 7 (General Securities Representative Examination), which he obtained on November 7, 2001. He is a registered broker and investment adviser with 30 US states and nine self-regulatory organizations (SROs): the Chicago Board Options Exchange, the Chicago Stock Exchange, FINRA, NYSE American LLC, 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 and three denied customer complaints.

Jordan RiderPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 2, 2017 indicate that Kansas-based LPL Financial broker/adviser Jordan Rider has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rider (CRD# 5292169).

Jordan Rider has spent ten years in the securities industry and has been registered with LPL Financial in Overland Park, Kansas since 2010. He was previously registered with MetLife Securities in Overland Park, Kansas (2007-2010). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 1, 2009; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 1, 2007; Series 7 (General Securities Representative Examination), which he obtained on August 12, 2010; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 25, 2007. He is a registered broker and investment adviser with 13 US states and territories: Arizona, California, Colorado, Kansas, Missouri, Nebraska, New Mexico, Ohio, Oklahoma, Oregon, Tennessee, Texas and Washington.

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

Rod Skaf

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 30, 2017 indicate that Ohio-based MML Investors Services broker/adviser Rod Skaf has been involved in several denied customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Skaf (CRD# 2822001).

Rod Skaf has spent 20 years in the securities industry and has been registered with MML Investors Services in Dublin, Ohio since March 2017. Previous registrations include MSI Financial Services in Dublin, Ohio (2002-2017); Metropolitan Life Insurance Company in Dublin, Ohio (2002-2007); and Mony Securities Corporation in New York, New York (1996-2002). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 17, 1996; Series 7 (General Securities Representative Examination), which he obtained on August 5, 2002; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on November 12, 1996. He is a registered broker and investment adviser with eleven US states and territories: California, Florida, Georgia, Illinois, Maryland, Massachusetts, Michigan, New Jersey, New York, Ohio, Pennsylvania, Texas and Washington.

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

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 30, 2017 indicate that New York-based Wells Fargo Clearing Services broker/adviser Michael Ledva is involved in pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ledva (CRD# 1372401).

Michael Ledva has spent 32 years in the securities industry and has been registered with Wells Fargo Clearing Services in Port Jefferson, New York since 2011. He was previously registered with Janney Montgomery Scott in Hauppage, New York (1985-2011). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 26, 1985; Series 31 (Futures Managed Funds Examination), which he obtained on November 21, 2011; Series 7 (General Securities Representative Examination), which he obtained on July 20, 1985; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on May 20, 1997. He is a registered broker and investment adviser with 14 US states and territories: Arkansas, Connecticut, Florida, Indiana, Maryland, Massachusetts, Mississippi, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, Utah 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.

Timothy MurphyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 27, 2017 indicate that former Illinois-based Wells Fargo Clearing Services broker/adviser Timothy Murphy was recently discharged from his former employed 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. Murphy (CRD# 343458).

Timothy Murphy has spent 49 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in Naperville, Illinois (1990-2017). Previous registrations include Blunt Ellis & Loewi (1984-1990); Prudential-Bache Securities (1977-1984); Bache Halsey Stuart (1976-1977); and Bache & Company (1967-1976). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 4, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 27, 1983; PC (AMEX Put and Call Exam), which he obtained on June 13, 1977; and Series 1 (Registered Representative Examination), which he obtained on October 23, 1967. He is currently not registered with any state or firm.

According to his BrokerCheck report, Timothy Murphy was discharged from his former employer in connection to alleged rule violations.

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