Herbert HafenPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 16, 2018 indicate that former New York-based Wells Fargo Clearing Services broker/adviser Herbert Hafen 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. Hafen (CRD# 867068).

Herbert Hafen has spent 39 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in New York, New York (2018). Previous registrations include Morgan Stanley in New York, New York (2009-2018); Morgan Stanley & Company in New York, New York (2008-2009); Bear Stearns & Company in New York, New York (1990-2008); Bateman Eichler Hill Richards (1982-1990); Consolidated Capital Securities Corporation (1983-1984); Sutro & Company (1979-1982); and Merrill Lynch (1979). He has passed six securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 15, 2009; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 6, 1980; SIE (Securities Industry Essentials Examination), which he obtained on September 13, 2018; Series 3 (National Commodity Futures Examination), which he obtained on June 30, 2004; Series 7 (General Securities Representative Examination), which he obtained on May 19, 1979; and Series 4 (Registered Options Principal Examination), which he obtained on June 10, 1981. He is currently not registered with any state or firm.

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

David Silberg

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 16, 2018 indicate that New York-based Allied Millennial Partners broker/adviser David Silberg has been sanctioned by state regulatory authorities in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Silberg (CRD# 1970484).

David Silberg has spent 28 years in the securities industry and has been registered with Allied Millennial Partners in Garden City, New York since July 2018. Previous registrations include Gunnallen Financial in Farmingdale, New York (2006-2010); Great Eastern Securities in New York, New York (2004-2006); Kirlin Securities in Syosset, New York (2003-2004); Maxim Group in New York, New York (2002-2003); Investec Ernst & Company in New York, New York (2002); Kirlin Securities in Syosset, New York (2000-2002); Northeast Securities in Mitchelfield, New York (1999-2000); Triad Financial in Holbrook, New York (1999-2000); NYLife Securities in New York, New York (1996-1998); John Hancock Distributors in Boston, Massachusetts (1989-1996); and John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1989-1996). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 2, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 21, 1989; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on May 17, 1999; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 25, 1989. He is a registered broker and investor with 18 US states and territories: Arizona, California, Connecticut, Florida, Georgia, Maryland, Massachusetts, Minnesota, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Virginia, and West Virginia.

According to his BrokerCheck report, David Silberg has received two customer complaints and one regulatory sanction, and he was discharged from two former employers in connection to alleged rule violations.

Chris KubiakPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 16, 2018 indicate that former Wisconsin-based Calton & Associates broker Chris Kubiak was recently terminated from his former employer in connection to alleged rule violations and has been charged with felony theft. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kubiak (CRD# 1527367).

Chris Kubiak has spent 32 years in the securities industry and was most recently registered with Calton & Associates in Brookfield, Wisconsin (2017-2018). Previous registrations include American Global Wealth Management in McDonough, Georgia (2017); Freedom Investors Corporation in Brookfield, Wisconsin (1989-2017); and Dreher & Associates in Oakbrook Terrace, Illinois (1986-1989). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 7, 1986; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on February 21, 1987; Series 22 (Direct Participation Programs Representative Examination), which he obtained on August 1, 1986; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 24, 1986. He is currently not registered with any state or firm.

According to his BrokerCheck report, Chris Kubiak was recently discharged from his former employer and has received a criminal charge.

John TorresPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 16, 2018 indicate that former California-based JP Morgan Securities broker John Torres has received pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Torres (CRD# 6322231).

John Torres has spent four years in the securities industry and was most recently registered with JP Morgan Securities in Woodland Hills, California (2014-2018). He has no previous registrations. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 25, 2014; SIE (Securities Industry Essentials Examination), which he obtained on August 20, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 9, 2014. He is currently not registered with any state or firm.

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

Trevor Rahn

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 15, 2018 indicate that former California-based JP Morgan Securities broker/adviser Trevor Rahn was recently discharged from his former employer in connection to alleged rule violations and has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rahn (CRD# 2196155).

Trevor Rahn has spent 26 years in the securities industry and was most recently registered with JP Morgan Securities in Los Angeles, California (2010-2018). Previous registrations include Deutsche Bank Securities in Los Angeles, California (2008-2010); Morgan Stanley & Company in Beverly Hills, California (2007-2008); Morgan Stanley DW in Beverly Hills, California (1999-2007); and Merrill Lynch in New York, New York (1992-1999). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 16, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 16, 1992; SIE (Securities Industry Essentials Examination), which he obtained on September 27, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on April 27, 2004; and Series 7 (General Securities Representative Examination), which he obtained on January 7, 1992. He is currently not registered with any state or firm.

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

Donald PadillaPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 15, 2018 indicate that former California-based National Securities Corporation and Kestra Investment Services broker/adviser Donald Padilla was recently discharged from his former employer in connection to alleged rule violations and has been named in a FINRA investigation. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Padilla (CRD# 3053711).

Donald Padilla has spent 20 years in the securities industry and was most recently registered with National Securities Corporation in Alhambra, California (2018). Previous registrations include Kestra Investment Services in Alhambra, California (2015-2018); LPL Financial in Alhambra, California (2009-2015); Wamu Investments in Alhambra, California (2000-2009); and Signator Investors in Boston, Massachusetts (1998-2001). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 23, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 24, 1998; SIE (Securities Industry Essentials Examination), which he obtained on September 20, 2018; Series 7 (General Securities Representative Examination), which he obtained on September 28, 2000; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 27, 1998; and Series 24 (General Securities Principal Examination), which he obtained on February 17, 2010. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was recently discharged from a former employer in connection to alleged rule violations, resigned from another former employer in connection to alleged rule violations, and has been named in a FINRA investigation.

Bruce WorthingtonPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 15, 2018 indicate that former Massachusetts-based Founders Financial Securities broker/adviser Bruce Worthington was recently terminated from his former employer in connection to alleged rule violations and has been named in a pending SEC investigation. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Worthington (CRD# 2193895).

Bruce Worthington has spent 26 years in the securities industry and was most recently registered with Founders Financial Securities in Middleton, Massachusetts (2013-2018). Previous registrations include Commonwealth Financial Network in Rowley, Massachusetts (1999-2013) and PFS Investments in Duluth, Georgia (1992-1999). He has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on November 9, 2004; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 7, 1992; SIE (Securities Industry Essentials Examination), which he obtained on September 20, 2018; Series 7 (General Securities Representative Examination), which he obtained on July 18, 2000; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 3, 1992. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was recently terminated from his former employer and named in an SEC investigation into alleged rule violations. He has also received two unsatisfied tax liens.

Justin PagelPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 15, 2018 indicate that Minnesota-based Feltl & Company broker Justin Pagel has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pagel (CRD# 2554168).

Justin Pagel has spent 23 years in the securities industry and has been registered with Feltl & Company in Wayzata, Minnesota since 2011. Previous registrations include Northland Securities in Minneapolis, Minnesota (2003-2011); Stifel Nicolaus & Company in St. Louis, Missouri (2001-2003); Liss Financial Services in Milwaukee, Wisconsin (1997-2001); and Dougherty Summit Securities in Minneapolis, Minnesota (1995-1997). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 3, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on July 26, 1995. He is a registered broker with nine US states: Arizona, California, Colorado, Florida, Minnesota, Tennessee, Texas, Vermont, and Wisconsin. He is registered with two self-regulatory organizations (SROs): FINRA and the Nasdaq Stock Market.

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

Namaste TechnologiesPublicly available records indicate that a class action lawsuit has been filed on behalf of investors in Namaste Technologies (OTC:NXTTF) in connection to alleged violations of securities laws by NXTTF. Fitapelli Kurta is interested in speaking to investors who have complaints regarding investments made in Namaste Technologies between November 29, 2017 and October 4, 2018.

The class action complaint specifically alleges that during the period in question, NXTTF might have provided false and/or misleading material information, and/or failed to disclose adverse material information, chiefly: that the company sold its US-based subsidiary, which was wholly owned by Namaste, to its own executives; that as a result, the company’s sale of its subsidiary was not made in an arm’s length transaction; and that consequently the company’s statements to the public during the relevant period about its business, operations and prospects were false and/or misleading and/or had no reasonable basis. A Citron Research report published on October 4, 2018 stated that the company’s CEO stated the asset was sold to “an arm’s length party” when in fact it was sold to the company’s own executives, and additionally that the company “lied to its shareholders, Canadian Regulators, US Regulators; and most of all has attempted to hide US assets from the Justice Department in an attempt to obtain a US listing.” This publication was followed by the company’s stock declining more than 10%, or $0.19/share, over two trading days, closing at $1.62/share on October 5th. The complaint alleges that when true facts emerged, investors suffered losses.

According to the company’s website, Namaste Technologies is is “a worldwide collective of industry experts focused on providing the best cannabis-related products & services available.” Continuing, its description states that Namaste was originally an “international cannabis eCommerce company” that operated in 20 countries, and is currently in the “final stage” of applying for licensing in Canada. It is also developing a “secure telemedicine portal,” Namaste MD, which it says will connect physicians with patients who use medical marijuana. The company trades over-the-counter under the symbol NXTTF.

TG TherapeuticsPublicly available records indicate that a class action lawsuit has been filed on behalf of investors in TG Therapeutics (NASDAQ:TGTX) in connection to alleged violations of securities laws by TGTX. Fitapelli Kurta is interested in speaking to investors who have complaints regarding investments made in TG Therapeutics between June 4, 2018 and September 25, 2018.

The class action complaint specifically alleges that during the period in question, TGTX might have provided false and/or misleading material information, and/or failed to disclose adverse material information, chiefly: that the company participated in a data cleaning process which provided insight into its UNITY-CLL trial; that the data cleaning revealed to the company that the trial had not met its goal, and that consequently the company knew it would not be able to pursue expedited approval for the therapy; that consequently it was unlikely that the therapy would meet its primary endpoint; and that as a result the company’s statements to the public during the relevant period were false and misleading. On September 25, 2018, the company announced that that the UNITY-CLL study had not met its goal, and that the Data Safety Monitoring Board was unable to complete an analysis of the study’s data. After this revelation, the company’s stock price fell $4.10/share, more than 44%, and closed at $5.15/share on that day. The complaint alleges that when true facts emerged, investors suffered losses.

According to the company’s website, TG Therapeutics is a biopharmaceutical firm involved in acquiring, developing and commercializing treatments for “B-cell malignancies and autoimmune diseases.” Current therapies in development include TG-1101, “a novel, glycoengineered monoclonal antibody that targets a specific and unique epitope on the CD20 antigen found on mature B-lymphocytes,” and TGR-1202, “an orally available PI3K delta inhibitor for various hematologic malignancies.” Based in New York City, the company trades on the Nasdaq exchange under the symbol TGTX.

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