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James Clark

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 18, 2018 indicate that Texas-based Worth Financial Group broker/adviser James Clark has received customer disputes and regulatory sanctions. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Clark (CRD# 1225726).

James Clark has spent 34 years in the securities industry and has been registered with Worth Financial Group in Dallas and San Antonio, Texas since 2001. Previous registrations include Oxford Financial Group in Houston, Texas (1999-2003); Rushmore Securities Corporation in Dallas, Texas (1991-1999); Accredited Investors in Dallas, Texas (1986-1999); Anspacher Securities (1985-1986); PBS Securities (1984-1985); and Texas Securities (1984). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 28, 1992; Series 3 (National Commodity Futures Examination), which he obtained on April 19, 1984; Series 7 (General Securities Representative Examination), which he obtained on January 21, 1984; Series 28 (Introducing Broker/Dealer Financial Operations Principal Examination), which he obtained on June 5, 1991; and Series 24 (General Securities Principal Examination), which he obtained on August 15, 1984. He is a registered broker and investment adviser with seven US states: Arizona, Arkansas, Colorado, Kansas, Oklahoma, Texas, and Virginia.

According to his BrokerCheck report, he has received three customer complaints and four regulatory sanctions.

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Robert Abramowitz

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 18, 2018 indicate that New York-based National Securities Corporation broker/adviser Robert Abramowitz has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Abramowitz (CRD# 4437589).

Robert Abramowitz has spent 16 years in the securities industry and has been registered with National Securities Corporation in Melville, New York since September 2017. Previous registrations include Oppenheimer & Company in Jericho, New York (2016-2017); Raymond James Financial Services in Garden City, New York (2011-2016); Wells Fargo Advisors in Great Neck, New York (2005-2011); and David Lerner Associates in Syosset, New York (2001-2005). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 15, 2016; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 5, 2001; and Series 7 (General Securities Representative Examination), which he obtained on October 19, 2001. He is a registered broker and investment adviser with seven US states: California, Florida, New Jersey, New York, Tennessee, Texas, and Virginia. He is registered with two self-regulatory organizations (SROs): FINRA and the Nasdaq Stock Market.

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

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Joseph LudovicoPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 17, 2018 indicate that former New York-based Cantor Fitzgerald broker Joseph Ludovico recently resigned from his former employer in connection to alleged rule violations and was recently named in a state regulatory investigation. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ludovico (CRD# 3137825).

Joseph Ludovico has spent 18 years in the securities industry and was most recently registered with Cantor Fitzgerald in New York, New York (2000-2018). He has passed four securities industry examinations: Series 55 (Limited Representative-Equity Trader Exam), which he obtained on July 24, 2002; Series 7 (General Securities Representative Examination), which he obtained on March 13, 2000; and Series 24 (General Securities Principal Examination), which he obtained on May 12, 2016. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one regulatory sanction, was permitted to resign from his former employer, and was recently named in a regulatory investigation.

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Joan NortonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 18, 2018 indicate that Florida-based International Assets Advisory broker/adviser Joan Norton has received resolved or pending customer disputes and a regulatory sanction. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Norton (CRD# 1777913).

Joan Norton has spent 30 years in the securities industry and has been registered with International Assets Advisory in Orlando, Florida since 2016. Previous registrations include Ausdal Financial Partners in Woburn, Massachusetts (2009-2016); Waterstone Financial Group in Woburn, Massachusetts (2003-2009); FSC Securities Corporation in Atlanta, Georgia (2001-2003); and Waddell & Reed in Overland Park, Kansas (1987-2001). She has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on March 11, 1997; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on December 15, 1987; Series 7 (General Securities Representative Examination), which she obtained on June 3, 1997; Series 22 (Direct Participation Programs Representative Examination), which she obtained on August 2, 1988; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on December 10, 1987. She is a registered broker and investment adviser with ten US states: Connecticut, Florida, Massachusetts, Michigan, New Hampshire, New Jersey, New York, North Carolina, Rhode Island, and Virginia.

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

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William LancasterPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 17, 2018 indicate that former Oklahoma-based Arvest Wealth Management broker/adviser William Lancaster, also known as David Lancaster, recently resigned from his former employer in connection to alleged rule violations and was recently named in a pending state regulatory investigation. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lancaster (CRD# 3188168).

William Lancaster has spent 18 years in the securities industry and was most recently registered with Arvest Wealth Management in Wagoner, Oklahoma (2018). He was previously registered with Edward Jones in Wagoner, Oklahoma (1999-2018). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on January 12, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 22, 1999; and Series 7 (General Securities Representative Examination), which he obtained on April 20, 1999. He is currently not registered with any state or firm.

According to his BrokerCheck report, he recently resigned from his former employer and was named in a state regulatory investigation.

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James Pettit

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2018 indicate that former Connecticut-based Ameriprise Financial Services broker/adviser James Pettit has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pettit (CRD# 733916).

James Pettit has spent 34 years in the securities industry and was most recently registered with Ameriprise Financial Services in Suffield, Connecticut (2015-2016). Previous registrations include Janney Montgomery Scott in Glastonbury, Connecticut (2007-2014); Merrill Lynch in West Hartford, Connecticut (2006-2007); Advest in Hartford, Connecticut (2001-2006); Salomon Smith Barney in New York, New York (1986-2001); and Painewebber (1981-1986). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 12, 1986, and Series 7 (General Securities Representative Examination), which he obtained on June 20, 1981. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two regulatory sanctions and one pending regulatory complaint.

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John ForsterPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 17, 2018 indicate that DC-based Merrill Lynch broker/adviser John Forster has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Forster (CRD# 1303832).

John Forster has spent 33 years in the securities industry and has been registered with Merrill Lynch in Washington, DC since 2012. Previous registrations include Morgan Stanley in Washington, DC (2009-2012); Citigroup Global Markets in Washington, DC (1993-2009); Lehman Brothers in New York, New York (1988-1993); and EF Hutton & Company (1984-1988). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 12, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 28, 1984; Series 7 (General Securities Representative Examination), which he obtained on September 15, 1984; and Series 3 (National Commodity Futures Examination), which he obtained on May 11, 1984. He is a registered broker and investment adviser with 31 US states and territories.

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

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Joel Weber

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 17, 2018 indicate that former Minnesota-based Securities America broker Joel Weber has received customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Weber (CRD# 1717681).

Joel Weber has spent 30 years in the securities industry and has been registered with Securities America in Saint Cloud, Minnesota since October 2017. Previous registrations include SII Investments in Saint Cloud, Minnesota (2002-2017) and Franklin Financial Services Corporation in Houston, Texas (1987-2002). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 7, 1987; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 10, 1987; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on June 6, 2001. He is a registered broker with six US states: Arizona, Iowa, Minnesota, Oregon, Washington, and Wisconsin.

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

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William HeidenPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 17, 2018 indicate that California-based Wedbush Securities broker/adviser William Heiden has been involved in resolved or pending customer disputes and was recently named in a pending FINRA investigation. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Heiden (CRD# 2885156).

William Heiden has spent 20 years in the securities industry and has been registered with Wedbush Securities in Newport Beach, California since 2013. Previous registrations include Morgan Stanley in Newport Beach, California (2009-2013); Morgan Stanley & Company in Newport Beach, California (2007-2009); RBC Dain Rauscher in Newport Beach, California (2002-2007); Sutro & Company in San Francisco, California (2000-2002); and Crowell Weedon & Company in Los Angeles, California (1997-2000). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 20, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 20, 1997; Series 31 (Futures Managed Funds Examination), which he obtained on March 4, 2011; and Series 7 (General Securities Representative Examination), which he obtained on June 16, 1997. He is a registered broker and investment adviser with 19 US states: Arizona, California, Colorado, Connecticut, Florida, Idaho, Illinois, Iowa, Michigan, Minnesota, Missouri, Nevada, New Mexico, New York, North Carolina, South Carolina, Texas, Utah, and Washington.

According to his BrokerCheck report, he has received seven customer complaints and three pending customer complaints, and he was recently named in a FINRA investigation into alleged rule violations.

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Thomas McDavid

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 17, 2018 indicate that Georgia-based Morgan Stanley broker/adviser Thomas McDavid has received pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McDavid (CRD# 3174259).

Thomas McDavid has spent 19 years in the securities industry and has been registered with Morgan Stanley in Atlanta, Georgia since 2012. He was previously registered with Merrill Lynch in Atlanta, Georgia (1999-2012). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on June 1, 1999, and Series 7 (General Securities Representative Examination), which he obtained on April 14, 1999. He is a registered broker and investment adviser with 29 US states and territories: Alabama, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Illinois, Indiana, Iowa, Kentucky, Maine, Maryland, Minnesota, Missouri, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, and West Virginia. . He is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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