Sandra McCabePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2017 indicate that former New York-based Wells Fargo Clearing Services broker/adviser Sandra McCabe has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. McCabe (CRD# 1509542).

Sandra McCabe has spent 18 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in Melville, New York (2005-2017). Previous registrations include Citigroup Global Markets in New York, New York; Wachovia Securities in St. Louis, Missouri; and Prudential Securities in New York, New York. She has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). She is currently not registered with any state or firm.

According to her BrokerCheck report, Sandra McCabe has been sanctioned by FINRA and was recently terminated from her former employer.

Christopher Hawn

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2017 indicate that former California-based Alps Distributors broker/adviser Christopher Hawn 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. Hawn (CRD# 4776341).

Christopher Hawn has spent 3 years in the securities industry and was most recently registered with Alps Distributors in Denver, Colorado (2013-2015). Previous registrations include SC Distributors in Costa Mesa, California; KBS Capital Markets in Newport Beach, California; and Hartford Life Distributors in Simsbury, California. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was recently sanctioned by FINRA and resigned from a former employer.

Roy WoehrmanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2017 indicate that California-based LPL Financial broker/adviser Roy Woehrman has been sanctioned by FINRA. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Woehrman (CRD# 2564754).

Roy Woehrman has spent 22 years in the securities industry and has been registered with LPL Financial in Long Beach, California since 2005. Previous registrations include Wachovia Securities in St. Louis, Missouri and Merrill Lynch in New York, New York. He is a registered broker and investment adviser with 17 US states and territories.

According to his BrokerCheck report, Roy Woehrman was recently sanctioned by FINRA.

David Gott
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2017 indicate that former Iowa-based Ausdal Financial Partners broker/adviser David Gott 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. Gott (CRD# 1915608).

David Gott has spent 26 years in the securities industry and was most recently registered with Ausdal Financial Partners in Tipton, Iowa (2012-2015). Previous registrations include Berthel Fisher & Company in North Liberty, Iowa and Edward D. Jones & Company in St. Louis, Missouri. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two FINRA sanctions.

Judy HealyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2017 indicate that former Florida-based Merrill Lynch broker/adviser Judy Healy has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Healy (CRD# 4000812).

Judy Healy has spent 15 years in the securities industry and was most recently registered with Merrill Lynch in Melbourne, Florida (1999-2015). She has no previous registrations. She is currently not registered with any state or firm.

According to her BrokerCheck report, she has received one FINRA sanction and one customer complaint, and was terminated from her former employer.

James OrleansPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2017 indicate that Florida-based Shearson Financial Services broker James Orleans was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Orleans (CRD# 1335726).

James Orleans has spent 32 years in the securities industry and has been registered with Shearson Financial Services in Boca Raton, Florida since 2010. Previous registrations include Oppenheimer & Company in Boca Raton, Florida; Ryan Beck & Company in Boca Raton, Florida; Mesirow Financial in Chicago, Illinois; Suncoast Capital Partners in Fort Lauderdale, Florida; Access Financial Group in Chicago, Illinois; Securities Corporation of Indiana in Cedar Rapids, Virginia; and Mesirow Capital. He has received 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 six US states: Connecticut, Florida, Illinois, Massachusetts, New York, and Ohio.

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

Toby McGrath

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2017 indicate that former Connecticut-based Lincoln Financial Distributors broker Toby McGrath has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. McGrath (CRD# 5437369).

Toby McGrath has spent 8 years in the securities industry and was most recently registered with LIncoln Financial Distributors in Hartford, Connecticut (2015-2017). She was previously registered with Prudential Annuities Distributors in Shelton, Connecticut (2008-2014). She is currently not registered with any state or firm.

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

William BaumPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 10, 2017 indicate that Kansas-based Great American Investors broker William Baum was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Baum (CRD# 1528847).

William Baum has spent 30 years in the securities industry and has been registered with Great American Investors in Overland Park, Kansas since 2001. Previous registrations include First Union Securities in St. Louis, Missouri; George K. Baum & Company in Kansas City, Missouri; Dain Bosworth; General Securities in North Kansas City, Missouri; and ML Stern & Company. He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 4 (Registered Options Principal Examination); and Series 24 (General Securities Principal Examination). He is a registered broker with nine US states and territories.

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

Walter Marino

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 11, 2017 indicate that former New York-based Benjamin Securities broker/adviser Walter Marino has been named respondent in a pending FINRA complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Marino (CRD# 2121623).

Walter Marino has spent 22 years in the securities industry and was most recently registered with Benjamin Securities in Hauppage, New York (2016). Previous registrations include Lincoln Investment in Dix Hills, New York; Planmember Securities in Farmingville, New York; Legend Equities in Bohemia, New York; Ehrenkrantz King Nussbaum in Melville, New York; and Ehrenkrantz King Nussbaum in New York, New York. He is currently not registered with any state or firm.

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

Michael JumpPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2017 indicate that Illinois-based Chelsea Financial Services broker Michael Jump has received regulatory sanctions and a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Jump (CRD# 1146669).

Michael Jump has spent 32 years in the securities industry and has been registered with Chelsea Financial Services in in Somonauk, Illinois since August 2016. Previous registrations include Mutual Trust Company of America Securities in Clearwater, Florida; Investment Planners in Somonauk, Illinois; American General Securities in Somonauk, Illinois; Pruco Securities in Newark, New Jersey; and Pruco Securities. He is a registered broker with four US states: Illinois, Iowa, Nebraska and Oklahoma.

According to his BrokerCheck report, Michael Jump has received two regulatory sanctions and one customer complaint.

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