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Everton Lewis

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2019 indicate that New York-based NYLife Securities broker Everton Lewis has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lewis (CRD# 2469780).

Everton Lewis has spent 24 years in the securities industry and has been registered with NYLife Securities in New York, New York since 1994. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on AUgust 15, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 15, 1994. He is a registered broker with 19 US states and territories: Arizona, California, Connecticut, the District of Columbia, Florida, Georgia, Kentucky, Massachusetts, Mississippi, Nevada, New Jersey, New York, North Carolina, North Dakota, Ohio, Pennsylvania, Virginia, South Carolina, and Washington.

According to his BrokerCheck report, he has received one pending customer complaint and five unsatisfied tax liens.

Steven MoerdykPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2019 indicate that former Michigan-based Center Street Securities broker/adviser Steven Moerdyk, who has received a customer dispute, was recently 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. Moerdyk (CRD# 1421358).

Steven Moerdyk has spent 30 years in the securities industry and was most recently registered with Center Street Securities in Grand Rapids, Michigan (2009-2018). Previous registrations include Kalos Capital in Grand Rapids, Michigan (2005-2009); USA Financial Securities in Ada, Michigan (2000-2005); Ameritas Investment Corporation in Lincoln, Nebraska (1998-2000); WMA Securities in Duluth, Georgia (1994-1998); Pruco Securities Corporation in Newark, New Jersey (1994); Lutheran Brotherhood Securities in Minneapolis, Minnesota (1993-1994); and Amerivest Securities Corporation (1985-1990). He has passed six securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 26, 2010; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 14, 1993; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on March 13, 2006; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 14, 1993; and Series 22 (Direct Participation Programs Representative Examination), which he obtained on July 16, 1985. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and was recently sanctioned by FINRA.

Mark SindrichPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2019 indicate that Colorado-based Kestra Investment Services broker/adviser Mark Sindrich has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sindrich (CRD# 1097529).

Mark Sindrich has spent 35 years in the securities industry and has been registered with Kestra Investment Services in Denver, Colorado since since 1999. Previous registrations include Royal Alliance Associates in Jersey City, New Jersey (1989-1999) and Integrated Resources Equity Corporation (1983-1989). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 30, 1989; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on March 19, 1983; Series 51 (Municipal Fund Securities Principal Examination), which he obtained on April 26, 2003; and Series 24 (General Securities Principal Examination), which he obtained on August 17, 1987. He is a registered broker and investment adviser with 23 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Georgia, Hawaii, Illinois, Iowa, Kansas, Massachusetts, Missouri, Montana, Nevada, New York, North Carolina, Oklahoma, Pennsylvania, Texas, Utah, Virginia, Washington, and Wisconsin.

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

Adam PalmerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2019 indicate that Florida-based Morgan Stanley broker/adviser Adam Palmer has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Palmer (CRD# 2152815).

Adam Palmer has spent 22 years in the securities industry and has been registered with Morgan Stanley in Tampa, Florida since 2009. Previous registrations include Citigroup Global Markets in Tampa, Florida (2006-2009); UBS Financial Services in Tampa, Florida (2000-2006); and JB Hanauer & Company in Parsippany, New Jersey (1996-2000). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 15, 1996; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2016; Series 7 (General Securities Representative Examination), which he obtained on October 2, 1996; and Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on September 11, 2006. He is a registered broker and investment adviser with 30 US states and territories.

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

Marc GreenbergPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2019 indicate that New York-based JH Darbie & Company broker Marc Greenberg has received pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Greenberg (CRD# 2276287).

Marc Greenberg has spent 16 years in the securities industry and has been registered with JH Darbie & Company in New York, New York since 2016. Previous registrations include Legend Securities in New York, New York (2012-2016); John Thomas Financial in New York, New York (2007-2011); Palladium Capital Advisors in New York, New York (2007); Pond Equities in Lawrence, New York (2007); Spencer-Winston Securities Corporation in New York, New York (2004-2005); Schonfeld Securities in Jericho, New York (2001-2002); Shochet Securities in Boca Raton, Florida (1998-2001); and GKN Securities Corporation in New York, New York (1998-2001). He has passed nine securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 27, 1998; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 55 (Limited Representative-Equity Trader Exam), which he obtained on December 19, 2000; Series 7 (General Securities Representative Examination), which he obtained on August 5, 1998; Series 53 (Municipal Securities Principal Examination), which he obtained on July 2, 2009; Series 4 (Registered Options Principal Examination), which he obtained on September 23, 2008; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on May 15, 2001; Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on March 27, 2001; and Series 24 (General Securities Principal Examination), which he obtained on November 30, 1998. He is a registered broker with one US state—New York—and with two self-regulatory organizations (SROs): FINRA and the Nasdaq Stock Market.

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

Liberty Health SciencesPublicly available records indicate that a class action lawsuit has been filed on behalf of investors in Liberty Health Sciences (OTC:LHSIF) in connection to alleged violations of securities laws by LHSIF. Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments made in Liberty Health Sciences between June 28, 2018 and December 3, 2018.

The class action complaint specifically alleges that during the period in question, LHSIF provided false and/or misleading material information, and/or failed to disclose adverse material information to the public, chiefly:that the company was participating in a scheme with Aphria Inc. that involvement the execution of fraudulent transactions and acquisitions for the purpose of benefiting certain individuals within the companies’ to the detriment of their investors; and that consequently the company’s statements to the public during the relevant period were false and misleading and/or had no reasonable basis. The complaint alleges that when true details emerged in the form of a December 3, 2018 report stating that Aphria was participating in the acquisition of certain shell companies at prices that were artificially inflated, and a December 6, 2018 report connecting LHSIF to those activities, investors suffered losses.

According to the company’s website, Liberty Health Sciences “provides investors with access to the growing United States cannabis market.” It notes that the cannabis market is the “fastest growing industry in the United States” and that medical cannabis sales are projected to grow from $4.7 billion in 2016 to $13.3 billion in 2020, with adult recreation sales expected to rise from $2.6 billion to $11.2 billion. The company’s products include Balanced Capsules, Balance Oral Spray, vaporizer units and cartridges, and CBD oils. It trades over the counter under the symbol LHSIF.

Yangtze River Port and LogisticsPublicly available records indicate that a class action lawsuit has been filed on behalf of investors in Yangtze River Port and Logistics (NASDAQ:YRCW) in connection to alleged violations of securities laws by YRIV. Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments made in Yangtze River Port and Logistics between February 2, 2016 and December 5, 2018.

The class action complaint specifically alleges that during the period in question, YRIV provided false and/or misleading material information, and/or failed to disclose adverse material information to the public, chiefly: that the company’s primary asset, a lease of the Wuhan Yangtze River Newport Logistics Center, was fabricated; that the company’s lone subsidiary in operation, Wuhan Yangtze River Newport Logistics Company, had been deemed insolvent in China as a result of default judgments rendered against it; and that consequently the company’s statements to the public during the relevant period about its business, operations and prospects were false and misleading and/or had no reasonable basis. The complaint alleges that when true facts emerged in a December 6, 2018 report by Hindenburg Research stating that “evidence shows that YRIV’s claim to its main asset is likely fabricated,” investors suffered losses.

According to the company’s website, Yangtze River Port and Logistics is “a Nevada corporation that operates through its wholly-owned subsidiary, Wuhan Yangtze River Newport Logistics Co., Ltd., a non-state-owned logistics and port management company focused on helping its clients from all over the world, enter Wuhan Yangluo Comprehensive Bonded Area and Pilot Free Trade Area.” It provides that service, according to the description, by offering “a range of services” that include office space, logistics, waterways, railways, road transportation, storage, processing, and logistics finance. The company trades on the Nasdaq exchange under the symbol YRIV.

YRC Worldwide

Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in YRC Worldwide (NASDAQ:YRCW) in connection to alleged violations of securities laws by YRCW. Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments made in YRC Worldwide between March 10, 2014 and December 14, 2018.

The class action complaint specifically alleges that during the period in question, YRCW provided false and/or misleading material information, and/or failed to disclose adverse material information to the public, chiefly: that the company made systematic overcharges of the US federal government for certain freight carrier services starting in 2005 and extending until at least 2013; that as a result of these alleged overcharges, the federal government (and specifically the Department of Defense) made overpayments of millions of dollars for lighter shipments than the government was charged for; that such conduct, if true and discovered, would subject the company to heightened scrutiny from federal and regulatory authorities, and potentially subject it to significant liabilities; and that consequently the company’s statements to the public during the relevant period were false and misleading. The complaint alleges that when true facts emerged, investors suffered losses.

According to the company’s website, YRC Worldwide is “the holding company for a portfolio of successful brands including YRC Freight, YRC Reimer, New Penn, Holland and Reddaway.” Per that description, YRC’s companies operate the “largest, most comprehensive network in America,” boasting capabilities at the local, regional, national and international levels. Its logistics units “offer industry-leading expertise in heavyweight shipments and flexible supply chain solutions.” The company is headquartered in Overland Park, Kansas and trades on the Nasdaq exchange under the symbol YRCW.

Nova Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in Nova LifeStyle (NASDAQ:NVFY) in connection to alleged violations of securities laws by NVFY. Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments made in Nova LifeStyle between December 3, 2015 and December 20, 2018.

The class action complaint specifically alleges that during the period in question, NVFY provided false and/or misleading material information, and/or failed to disclose adverse material information to the public, chiefly: that the company made overstatements regarding what it described as a “strategic alliance” with Shanxi Wanqing in which it would function as the lead manufacturer and designer of furnishings for the senior care center that company was developing in China; that NVFY made overstatements of its reported sales with Merlino Lewis LLP and Shanxi Wangqing in both 2016 and 2017; and that consequently the company’s statements to the public during the relevant period were materially false and misleading. The complaint alleges that when true facts emerged, investors suffered losses.

According to the company’s website, Nova LifeStyle is a design and manufacturing company headquartered in California and involved in the design of “sofas, dining room sets, cabinets, office furniture and related components, bedroom sets, and various accessories in matching collections.” The company’s products are manufactured in Europe, Asia, and the United States; they include lifestyle brands such as Nova QwiK, Bright Swallow International, and Diamond Sofa. According to the company’s description, it features “urban contemporary styles that integrate comfort and functionality incorporating upscale luxury designs appealing to style-conscious middle and upper middle-income consumers in the U.S., China, Europe, and elsewhere in the world.” The company trades on the Nasdaq exchange under the symbol NVFY.

YogaWorksPublicly available records indicate that a class action lawsuit has been filed on behalf of investors in YogaWorks (NASDAQ:YOGA) in connection to alleged violations of securities laws by YOGA. Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments made in YogaWorks between August 7, 2017 and December 27, 2018.

The class action complaint specifically alleges that during the period in question, YOGA provided false and/or misleading material information, and/or failed to disclose adverse material information to the public, chiefly concerning: that the company’s internal economics at its studio level as well as negative market trends relating to the falling profitability of its studios; various causes of its falling revenue, such as growing overhead costs at the corporate level; the company’s infrastructure costs at its corporate level; and the company’s incapacity to reach economies of scale. Among other things, the complaint notes that the company conducted its initial public offering on or around August 11, 2017, during which it issued about 7.3 million shares of common stock at a price of $5.50/share. About one year later, on August 14, 2018, the company issued reports regarding its financial and operating results for Q2 2018, and during a conference call disclosed that it had lowered certain guidance concerning the midpoint of earnings before interest, taxes, depreciation and amortization by about $2.5 million. It attributed this to certain changes in promotion, training initiatives, and brand building initiatives. At this time, the company also announced that it would be moving from an acquisition strategy to a refined focus on its core business activities and increasing profitability.

According to the company’s website, YogaWorks is a “healthy lifestyle brand that enriches and transforms lives through the joy of yoga.” It offers classes in a diversity of yoga styles, with a faculty roster that includes senior instructors who have “honed their craft for at least 20 years.” The company caters to beginners and experienced students alike, including children, athletes, seniors and “people in need of rehabilitation,” according to its website. The company trades on the Nasdaq exchange under the symbol YOGA.