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Roger KroegerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 14, 2017 indicate that former Florida-based Invest Financial Corporation broker/adviser Roger Kroeger has been charged with theft, money laundering, and other alleged felonies. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kroeger (CRD# 1526864).

Roger Kroeger has spent 30 years in the securities industry and was most recently registered with Invest Financial Corporation in Fort Lauderdale, Florida (1990-2017). Previous registrations include Glenfed Brokerage Services in Glendale, California (1989-1990) and Shearson Lehman Hutton (1986-1988). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 31, 1986, and Series 7 (General Securities Representative Examination), which he obtained on July 19, 1986. He is currently not registered with any state or firm.

According to his BrokerCheck report, Roger Kroeger was discharged from his former employer in connection to alleged rule violations and has received pending felony charges.

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Christopher NortonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 14, 2017 indicate that Florida-based Aegis Capital broker/adviser Christopher Norton has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Norton (CRD# 5386000).

Christopher Norton has spent nine years in the securities industry and has been registered with Aegis Capital in Boca Raton, Florida since 2015. Previous registrations include IAA Financial in Boca Raton, Florida (2012-2015); Obsidian Financial Group in Woodbury, New York (2011-2012); Brookestone Securities in Uniondale, New York (2011); Blackbook Capital in Northport, New York (2010-2011); Prestige Financial Center in Garden City, New York (2009-2010); John Thomas Financial in Hauppage, New York (2009); Obsidian Financial Group in Woodbury, New York (2008-2009); and Westrock Advisors in New York, New York (2007-2008). he has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 3, 2007, and Series 7 (General Securities Representative Examination), which he obtained on August 4, 2007. He is a registered broker and investment adviser with 42 US states and territories and with three self-regulatory organizations: FINRA, NYSE Arca, and the Nasdaq Stock Market.

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

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Terrance Arges

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 14, 2017 indicate that California-based Cuso Financial Services broker/adviser Terrance Arges has been involved in a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Arges (CRD# 5494713).

Terrance Arges has spent eight years in the securities industry and has been registered with Cuso Financial Services in Carlsbad, Encinitas, and San Diego, California since 2016. Previous registrations include LPL Financial in San Diego, California (2013-2016); Merrill Lynch in Scottsdale, Arizona (2011-2013); Vanguard Marketing Corporation in Scottsdale, Arizona (2011); and Charles Schwab & Company in Phoenix, Arizona (2008-2009; 2010-2011). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 28, 2011; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 10, 2008; and Series 7 (General Securities Representative Examination), which he obtained on August 7, 2008. He is a registered broker and investment adviser with four US states: California, Colorado, New Mexico, and North Carolina.

According to his BrokerCheck report, he has received one customer complaint and nine financial disclosures

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Thomas Curtis

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 14, 2017 indicate that Maryland-based Dawson James Securities broker Thomas Curtis has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Curtis (CRD# 1402285).

Thomas Curtis has spent 29 years in the securities industry and has been registered with Dawson James Securities in Columbia, Maryland since 2008. Previous registrations include Spencer Edwards in Centennial, Colorado (2007-2008); Moors & Cabot Financial Advisors in Dayton, Maryland (2005); Moors & Cabot in Dayton, Maryland (1999-2005); Schneider Securities in Denver, Colorado (1995-1997); Baraban Securities in Los Angeles, California (1994-1995); Tamaron Investments in Englewood, Colorado (1992-1994); JW Gant & Associates (1987-1992); and Michelin & Company (1985-1987). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 2, 1985; Series 7 (General Securities Representative Examination), which he obtained on August 17, 1985; Series 4 (Registered Options Principal Examination), which he obtained on November 30, 1987; and Series 24 (General Securities Principal Examination), which he obtained on November 10, 1985. He is a registered broker with 35 US states and territories and with two self-regulatory organizations: FINRA and the Nasdaq Stock Market.

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

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Frank DePaolaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 14, 2017 indicate that New Jersey-based Securities America and Lincoln Financial Securities Corporation broker/adviser Frank DePaola has been involved in a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. DePaola (CRD# 1253587).

Frank DePaola has spent 31 years in the securities industry and has been registered with Securities America in Iselin, New Jersey since December 2017, and with Lincoln Financial Securities Corporation in Pompton Plains, New Jersey since May 2017. Previous registrations include Hornor, Townsend & Kent in Edison, New Jersey (2002-2017); 1717 Capital Management in Newark, Delaware (1989-2002); Mony Securities Corporation (1986-1989); Calvert Securities Corporation (1985-1986); and Integrated Resources Equity Corporation (1985). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 26, 1994; Series 7 (General Securities Representative Examination), which he obtained on January 19, 1985; and Series 24 (General Securities Principal Examination), which he obtained on December 1, 1993. He is registered as a broker and an investment adviser in New Jersey.

According to his BrokerCheck report, he has received one customer complaint and one state regulatory sanction.

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Adam MacDonaldPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 12, 2017 indicate that California-based Wells Fargo Clearing Services broker/adviser Adam MacDonald is involved in pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. MacDonald (CRD# 5199964).

Adam MacDonald has spent 10 years in the securities industry and has been registered with Wells Fargo Clearing Services in Irvine, California since 2008. Previous registrations include AG Edwards & Sons in Laguna Woods, California (2007-2008) and Ameriprise Financial Services in Los Angeles, California (2006-2007). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on March 1, 2007; Series 31 (Futures Managed Funds Examination), which he obtained on March 16, 2009; and Series 7 (General Securities Representative Examination), which he obtained on November 20, 2006. He is a registered broker and investment adviser with 21 US states and territories: Alabama, Arizona, California, Delaware, Florida, Illinois, Maine, Massachusetts, Nevada, New Jersey, New Mexico, New York, North Carolina, Oregon, Pennsylvania, Tennessee, Texas, Utah, Virginia, Washington and Wisconsin. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, Adam MacDonald has received a pending customer complaint.

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Anthony Salerno

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 12, 2017 indicate that Massachusetts-based Ameriprise Financial Services and RBC Capital Markets broker/adviser Anthony Salerno is involved in pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Salerno (CRD# 1761733).

Anthony Salerno has spent 28 years in the securities industry and has been registered with Ameriprise Financial Services in Boston, Massachusetts since 2017 and with RBC Capital Markets in South Easton, Massachusetts since 2005. Previous registrations include AdVest in Hartford, Connecticut (2002-2005); AG Edwards & Sons in St. Louis, Missouri (1997-2002); Cowen & Company in New York, New York (1995-1997); Smith Barney in New York, New York (1991-1995); and Dean Witter Reynolds in Purchase, New York (1988-1991). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 6, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 26, 1989; and Series 7 (General Securities Representative Examination), which he obtained on December 17, 1988. He is a registered broker and investment adviser with 23 US states and territories: Arizona, California, Connecticut, the District of Columbia, Florida, Georgia, Illinois, Maine, Massachusetts, Michigan, Missouri, New Hampshire, New Jersey, New Mexico, New York, Pennsylvania, Rhode Island, South Carolina, Utah, Vermont, Virginia and Washington. He is registered with ten self-regulatory organizations (SROs): BOX Options Exchange LLC, the Chicago Board Options Exchange, FINRA, NYSE American LLC, NUSE Arca, Nasdaq BX, Nasdaq ISE, Nasdaq PHLX, the Nasdaq Stock Market, and the New York Stock Exchange.

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

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John KrohnPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 12, 2017 indicate that former Iowa-based Principal Securities broker/adviser John Krohn 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. Hodges (CRD# 2722975).

John Krohn has spent 20 years in the securities industry and was most recently registered with Principal Securities in West Des Moines, Iowa (1996-2017). He has no previous registrations. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 29, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 1, 1996; Series 7 (General Securities Representative Examination), which he obtained on March 20, 2009; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on March 25, 1996. He is currently not registered with any state or firm.

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

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John MaloneyPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 12, 2017 indicate that Tennessee-based Woodbury Financial Services broker/adviser John Maloney is involved in several resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Maloney (CRD# 726108).

John Maloney has spent 36 years in the securities industry and has been registered with Woodbury Financial Services in Morristown, Tennessee since 2016. He was previously registered with Edward Jones in Morristown, Pennsylvania (1981-2016). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on January 26, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 24, 1981; and Series 7 (General Securities Representative Examination), which he obtained on March 21, 1981. He is a registered broker and investment adviser with five US states: Florida, Indiana, Mississippi, Tennessee and Virginia.

According to his BrokerCheck report, he has received two customer complaints and three pending customer complaints, and was discharged from a former employer.

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Marilyn Zehntner

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 12, 2017 indicate that Texas-based Rhodes Securities broker/adviser Marilyn Zehntner, also known as Marilyn Clark, has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Tiderencel (CRD# 2645697).

Marilyn Zehntner has spent 17 years in the securities industry and has been registered with Rhodes Securities in Fort Worth, Texas since 2004. She was previously registered with Rhodes Securities in Fort Worth Texas (2000-2003). She has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on September 11, 2000; Series 7 (General Securities Representative Examination), which she obtained on May 8, 2000; Series 4 (Registered Options Principal Examination), which she obtained on September 29, 2006; and Series 24 (General Securities Principal Examination), which she obtained on June 28, 2004. She is a registered broker and investment adviser with 52 US states and territories.

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