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Michael DawsonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that Texas-based UBS Financial Services broker/adviser Michael Dawson has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Dawson (CRD# 62907).

Michael Dawson has spent 44 years in the securities industry and has been registered with UBS Financial Services in Houston, Texas since 2015. Previous registrations include Deutsche Bank Securities in Houston, Texas (2013-2015); Merrill Lynch in Houston, Texas (2007-2013); UBS Financial Services in Houston, Texas (2002-2007); and Goldman Sachs & Company in New York, New York (1974-2002). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 12, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 17, 1987; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 5 (Interest Rate Options Examination), which he obtained on October 11, 1982; PC (AMEX Put and Call Exam), which he obtained on July 27, 1977; and Series 1 (Registered Representative Examination), which he obtained on February 11, 1974. He is a registered broker and investment adviser with five US states: Arizona, New Jersey, New York, Tennessee, and Texas. He is registered with nine self-regulatory organizations (SROs): BOX Exchange LLC, Cboe Exchange Inc., FINRA, NYSE American LLC, NYSE Arca Inc., 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.

Ricky ManteiPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that South Carolina-based Centaurus Financial broker/adviser Ricky Mantei has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mantei (CRD# 1098981).

Ricky Mantei has spent 35 years in the securities industry and has been registered with Centaurus Financial in Lexington, South Carolina since 2015. Previous registrations include JP Turner & Company in Lexington, South Carolina (2010-2015); Gunnallen Financial in Lexington, South Carolina (2008-2010); First Allied Securities in Lexington, South Carolina (2000-2008); DE Frey & Company in Denver, Colorado (1995-2000); and Merrill Lynch in New York, New York (1983-1995). He has passed six securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 8, 1983; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on May 25, 1983; Series 5 (Interest Rate Options Examination), which he obtained on March 30, 1983; Series 7 (General Securities Representative Examination), which he obtained on February 19, 1983; and Series 24 (General Securities Principal Examination), which he obtained on July 15, 1997. He is a registered broker and investment adviser with three US states: Georgia, South Carolina, and Tennessee.

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

Geoffrey TurnerPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2018 indicate that Georgia-based BB&T Securities broker/adviser Geoffrey Turner was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Turner (CRD# 4007735).

Geoffrey Turner has spent 18 years in the securities industry and has been registered with BB&T Securities in Savannah, Georgia since January 2018. Previous registrations include BB&T Investment Services in Rincon, Georgia (2006-2018); Linsco/Private Ledger Corporation in Okatie, South Carolina (2006); SunTrust Investment Services in Atlanta, Georgia (2005-2006); AllState Financial Services in Lincoln, Nebraska (2004-2005); NCF Financial Services in Durham, North Carolina (2003-2004); First Citizens Investor Services in Raleigh, North Carolina (2001-2003); and Merrill Lynch in New York, New York (1999-2000. He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 12, 2000; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on September 1, 1999; and Series 24 (General Securities Principal Examination), which he obtained on May 30, 2006. He is a registered broker and investment adviser with 17 US states and territories: Alabama, California, Florida, Georgia, Illinois, Indiana, Kentucky, Maryland, New Jersey, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, and West Virginia. He is registered with four self-regulatory organizations (SROs): FINRA, Investors’ Exchange LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, Geoffrey Turner has received one regulatory sanction.

Sharon OgbornPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2018 indicate that Florida-based FSC Securities Corporation broker/adviser Sharon Ogborn has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Ogborn (CRD# 3075256).

Sharon Ogborn has spent 20 years in the securities industry and has been registered with FSC Securities Corporation in Odessa, Florida since 1998. She has no previous registrations. She has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on August 3, 2007; SIE (Securities Industry Essentials Examination), which she obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which she obtained on August 21, 1998; and Series 24 (General Securities Principal Examination), which she obtained on September 20, 2010. She is a registered broker and investment adviser with 19 US states and territories: California, Colorado, Connecticut, Florida, Georgia, Idaho, Illinois, Maryland, Missouri, Nevada, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, West Virginia, and Wisconsin.

According to her BrokerCheck report, Sharon Ogborn has received one pending customer complaint.

Robert TorciviaPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2018 indicate that former Arizona-based Moors & Cabot broker/adviser Robert Torcivia was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Torcivia (CRD# 700880).

Robert Torcivia has spent 44 years in the securities industry and was most recently registered with Moors & Cabot in Phoenix, Arizona (2015-2018). Previous registrations include Ameriprise Financial Services in Sun City, Arizona (2010-2015); Wells Fargo Advisors in Surprise, Arizona (2004-2010); Piper Jaffray & Company in Minneapolis, Minnesota (2000-2004); Painewebber in Weehawken, New Jersey (1994-2000); Dean Witter Reynolds in Purchase, New York (1988-1994); EF Hutton & Company (1984-1988); Boettcher & Company (1981-1984); Wedbush Noble Cooke (1979-1982); Shearson Loeb Rhoades (1977-1979); Shearson Hayden Stone (1975-1977); the Variable Annuity Marketing Company (1974-1975); and Shearson Hammill & Company (1974). He has passed ten securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 9, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 14, 1984; SIE (Securities Industry Essentials Examination), which he obtained on September 11, 2018; Series 3 (National Commodity Futures Examination), which he obtained on November 6, 1984; PC (AMEX Put and Call Exam), which he obtained on May 19, 1997; Series 000 (General Securities Principal Examination), which he obtained on May 23, 1974; Series 1 (Registered Representative Examination), which he obtained on May 23, 1974; Series 4 (Registered Options Principal Examination), which he obtained on December 16, 1980; Series 24 (General Securities Principal Examination), which he obtained on June 29, 1980; and Series 12 (NYSE Branch Manager Examination), which he obtained on May 23, 1974. He is currently not registered with any state or firm.

According to his BrokerCheck report, Robert Torcivia was recently sanctioned by FINRA and has been terminated from a former employer in connection to alleged rule violations.

Kimberly KendrotPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2018 indicate that Florida-based Cambridge Investment Research broker/adviser Kimberly Kendrot has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Kendrot (CRD# 2298796).

Kimberly Kendrot has spent 25 years in the securities industry and has been registered with Cambridge Investment Research in Boca Raton, Florida since 2015. Previous registrations include Voya Financial Advisors in Boca Raton, Florida (2006-2015) and HD Vest Investment Services in West Palm Beach, Florida (1993-2006). She has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on March 15, 2002; SIE (Securities Industry Essentials Examination), which she obtained on October 1, 2018; Series 62 (Corporate Securities Limited Representative Examination), which she obtained on November 3, 2007; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on October 22, 1993. She is a registered broker and investment adviser with seven US states and territories: Colorado, Connecticut, Florida, New Hampshire, Oklahoma, Texas, and Washington.

According to her BrokerCheck report, she has received one customer complaint, one pending customer complaint, and two denied customer complaints.

Robert CohenPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2018 indicate that New York-based Stifel Nicolaus & Company broker/adviser Robert Cohen, who has received customer disputes, was recently discharged from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cohen (CRD# 1162192).

Robert Cohen has spent 35 years in the securities industry and has been registered with Stifel Nicolaus & Company in Garden City, New York since October 2018. Previous registrations include UBS Financial Services in Garden City, New York (2008-2018); Morgan Stanley & Company in Jericho, New York (2007-2008); Morgan Stanley DW in Jericho, New York (1990-2007); and Butcher & Singer (1983-1990). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 16, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 23, 1983; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on January 25, 1991; Series 7 (General Securities Representative Examination), which he obtained on August 20, 1983; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on August 16, 1994. He is a registered broker and investment adviser with 25 US states and territories: Arizona, California, Colorado, Connecticut, the District of Columbia, Florida, Georgia, Kansas, Maryland, Massachusetts, Michigan, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, Tennessee, Texas, Vermont, Virginia, Washington, and Wisconsin. He is registered with six self-regulatory organizations (SROs): Cboe BZX Exchange Inc., FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Randolph McNeillPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2018 indicate that former New Jersey-based Buckman Buckman & Reid broker/adviser Randolph McNeill was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. McNeill (CRD# 4312991).

Randolph McNeill has spent 16 years in the securities industry and was most recently registered with Buckman Buckman & Red in Little Silver, New Jersey (2015-2018). Previous registrations include Garden State Securities in Scotch Plains, New Jersey (2009-2015) and Merrill Lynch in East Brunswick, New Jersey (2001-2009). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 3, 2001; SIE (Securities Industry Essentials Examination), which he obtained on June 19, 2018; and Series 7 (General Securities Representative Examination), which he obtained on April 4, 2001. He is currently not registered with any state or firm.

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

Chad KeimPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2018 indicate that Michigan-based Summit Brokerage Services broker/adviser Chad Keim has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Keim (CRD# 2516391).

Chad Keim has spent 23 years in the securities industry and has been registered with Summit Brokerage Services in Sturgis, Michigan since March 2018. Previous registrations include Raymond James Financial Services in Sturgis, Michigan (2016-2018); LPL Financial in Sturgis, Michigan (1999-2016); Capital Brokerage Corporation in Richmond, Virginia (1995-1999); and Edward D. Jones & Company in St. Louis, Missouri (1994-1995). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 15, 2010; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 25, 1994; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on August 18, 1994; and Series 24 (General Securities Principal Examination), which he obtained on March 17, 1999. He is a registered broker and investment adviser with 20 US states and territories: Alabama, Arizona, Arkansas, California, Colorado, Florida, Illinois, Indiana, Kansas, Kentucky, Maryland, Michigan, Minnesota, New Jersey, Ohio, Oklahoma, Oregon, South Carolina, Texas, and Virginia.

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

Adam LopezPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 15, 2018 indicate that former Illinois-based Country Capital Management Company broker Adam Lopez was recently sanctioned by state regulatory authorities in connection to alleged rule violations and is currently not affiliated with any state or firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lopez (CRD# 5562750).

Adam Lopez has spent 10 years in the securities industry and was most recently registered with Country Capital Management Company in Springfield, Illinois (2008-2018). He has no previous registrations. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 25, 2008; SIE (Securities Industry Essentials Examination), which he obtained on September 21, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 15, 2008. He is currently not registered with any state or firm.

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