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Michael MurphyPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2019 indicate that New York-based Columbus Advisory Group broker Michael Murphy has been named in a pending FINRA complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Murphy (CRD# 2596905).

Michael Murphy has spent 23 years in the securities industry and has been registered with Columbus Advisory Group in New York, New York since 2003. Previous registrations include Murjen Financial in Jericho, New York (1999-2003); JWGenesis Financial Services in St. Louis, Missouri (1998-2000); Continental Broker-Dealer Corporation in Carle Place, New York (1997-1998); Investors Associates in Hackensack, New Jersey (1996-1997); First United Equities Corporation in New York, New York (1996-1997); Investors Associates in Hackensack, New Jersey (1995-1996); JW Charles Securities in Boca Raton, Florida (1995); and Oppenheimer & Company in New York, New York (1995). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 28, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on June 14, 1995; and Series 24 (General Securities Principal Examination), which he obtained on August 7, 1998. He is a registered broker with 19 US states and territories.

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

William Byrd

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 18, 2017 indicate that Florida-based Capital Financial Services broker/adviser William Byrd has received a new pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Byrd (CRD# 1334634).

William Byrd has spent 33 years in the securities industry and has been registered with Capital Financial Services in Tampa, Florida since September 2016. Previous registrations include Invest Financial Corporation in Tampa, Florida (2016); TransAmerica Financial Advisors in Tampa, Florida (2001-2016); Pruco Securities Corporation in Newark, New Jersey (1992-2001); Merrill Lynch Pierce Fenner & Smith in New York, New York (1990-1992); American Express Financial Advisors in Minneapolis, Minnesota (1988-1990); IDS Life Insurance Company in Minneapolis, Minnesota (1988-1990); Cigna Securities (1987-1988); and Security First Financial (1985-1988). He has passed six securities examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 15, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 11, 1988; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on October 15, 1988; Series 22 (Direct Participation Programs Representative Examination), which he obtained on August 25, 1986; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 4, 1985. He is a registered broker and investment adviser in Florida.

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

Benjamin BourgeoisPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that former Louisiana-based Commonwealth Financial Network broker/adviser Benjamin Bourgeois, who was terminated from a former employer and is currently not affiliated with any broker-dealer firm, has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Benjamin Bourgeois (CRD# 728368).

Benjamin Bourgeois has spent 27 years in the securities industry and was most recently registered with Commonwealth Financial Network in Metairie, Louisiana (2015-2019). Previous registrations include LPL Financial in Metairie, Louisiana (2014-2015); Sterne Agee & Leach in New Orleans, Louisiana (2009-2014); FBT Investments in Harvey, Louisiana (2001-2009); Sisung Securities Corporation in New Orleans, Louisiana (2000-2001); Invest Financial Corporation in Appleton, Wisconsin (2000); American Fronteer Financial Corporation in Denver, Colorado (1996-2000); Dickinson & Company in Des Moines, Iowa (1994-1996); and FN Wolf & Company (1991-1994). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 22, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 13, 1991; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on May 15, 1991; and Series 24 (General Securities Principal Examination), which he obtained on June 1, 1994. He is currently not registered with any state or firm.

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

James Parrelly

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that Michigan-based Investment Planners broker/adviser James Parrelly has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Parrelly (CRD# 728368).

James Parrelly has spent 37 years in the securities industry and has been registered with Investment Planners in Dearborn, Michigan (2004-2015); Girard Securities in San Diego, California (2002-2004); Spelman & Company in Phoenix, Arizona (2001-2002); American Investment Services in Oklahoma City, Oklahoma (1996-2001); North American Financial Group in Warren, Michigan (1994-1996); Hamilton Investments (1990-1994); Painewebber in Weehawken, New Jersey (1987-1990); and Kidder Peabody & Company (1981-1987). He has passed six securities industry examination: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 16, 2004; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 27, 1981; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on April 11, 1981; Series 24 (General Securities Principal Examination), which he obtained on September 2, 2003; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on July 14, 1988. He is a registered broker and investment adviser with nine US states and territories: California, Florida, Georgia, Illinois, Michigan, Nevada, North Carolina, Ohio, and Texas.

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

Jonathan FreezePublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that former Pennsylvania-based Fortune Financial Services broker/adviser Jonathan Freeze, who is currently not affiliated with any broker-dealer firm, has received numerous pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Freeze (CRD# 2642023).

Jonathan Freeze has spent 21 years in the securities industry and was most recently registered with Fortune Financial Services in Canonsburg, Pennsylvania (2015-2017). Previous registrations include Summit Brokerage Services in Fredericksburg, Virginia; LPL Financial in Fredericksburg, Virginia; Lincoln Financial Advisors in Canonsburg, Pennsylvania; and the Lincoln National Life Insurance Company in Glastonbury, Connecticut. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 12, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 22, 1995; SIE (Securities Industry Essentials Examination), which he obtained on April 17, 2017; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on October 6, 1995. He is currently not registered with any state or firm.

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

Jason WatsonPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that Pennsylvania-based Purshe Kaplan Sterling Investments broker/adviser Jason Watson has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Watson (CRD# 4414439).

Jason Watson has spent 15 years in the securities industry and has been registered with Purshe Kaplan Sterling Investments in Philadelphia, Pennsylvania since 2014. He was previously registered with New England Securities in Newtown Square, Pennsylvania (2002-2013). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 28, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 28, 2002; 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 May 24, 2002. He is a registered broker and investment adviser with four US states: Maryland, New Jersey, New York, and Pennsylvania.

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

Robert MuellerPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Texas-based UBS Financial Services broker/adviser Robert Mueller has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mueller (CRD# 2647227).

Robert Mueller has spent 23 years in the securities industry and has been registered with UBS Financial Services in Houston, Texas since 2009. Previous registrations include Morgan Stanley & Company in Houston, Texas (2000-2009) and Goldman Sachs & Company in New York, New York (1995-2000). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 8, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 8, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on August 30, 1995; and Series 7 (General Securities Representative Examination), which he obtained on August 24, 1995. He is registered with 22 US states and territories: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Hawaii, Illinois, Louisiana, Nebraska, New York, North Carolina, Oklahoma, Pennsylvania, Tennessee, Texas, Utah, Washington, and Wisconsin.

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

Christopher TuckPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Pennsylvania-based LPL Financial broker/adviser Christopher Tuck has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Tuck (CRD# 5971765).

Christopher Tuck has spent seven years in the securities industry and has been registered with LPL Financial in Doylestown, Pennsylvania since 2011. He has no previous registrations. He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on November 29, 2011; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on October 22, 2011; and Series 24 (General Securities Principal Examination), which he obtained on August 13, 2013. He is a registered broker and investment adviser with 13 US states and territories: Arizona, California, Delaware, Florida, Georgia, Maryland, Massachusetts, New Jersey, New York, Oregon, Pennsylvania, South Carolina, and Virginia.

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

Neil KonigsbergPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that California-based UBS Financial Services broker/adviser Neil Konigsberg has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Konigsberg (CRD# 1784265).

Neil Konigsberg has spent 30 years in the securities industry and has been registered with UBS Financial Services in San Francisco, California since 2008. Previous registrations include Lehman Brothers in San Francisco, California (2004-2008); Banc of America Investment Services in Boston, Massachusetts (2003-2004); Banc of America Securities in New York, New York (1999-2003); Merrill Lynch in New York, New York (1997-1999); The Boston Group in Los Angeles, California (1995-1997); AS Goldmen & Company in Red Bank, New Jersey (1994-1995); and Lehman Brothers in New York, New York (1987-1994). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 2, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 21, 1988; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on December 19, 1987. He is a registered broker and investment adviser with 12 US states: Arizona, California, Colorado, Connecticut, Florida, Illinois, Nevada, New Jersey, New York, Oregon, South Dakota, and Texas. He is registered with nine self-regulatory organizations (SROs): BOX Exchange LLC, Cboe Exchange, FINRA, NYSE American, 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 one denied customer complaint.

Neil Mehta

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Florida-based Merrill Lynch broker/adviser Neil Mehta, who has received a pending customer dispute, recently resigned from a former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mehta (CRD# 5802739).

Neil Mehta has spent eight years in the securities industry and has been registered with Merrill Lynch in Fort Lauderdale, Florida since 2016. Previous registrations include JP Morgan Securities in Pompano Beach, Florida (2012-2016) and Chase Investment Services in Pompano Beach, Florida (2010-2012). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on November 2, 2011; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on October 11, 2011; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 30, 2010. He is a registered broker and investment adviser with 13 US states and territories: California, Colorado, the District of Columbia, Florida, Georgia, Indiana, Maryland, Michigan, New Jersey, New York, North Carolina, Texas, and Virginia.

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