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Garnet Wahlund

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that Ohio-based AXA Advisors broker/adviser Garnet Wahlund has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wahlund (CRD# 2685273).

Garnet Wahlund has spent 22 years in the securities industry and has been registered with AXA Advisors in Cincinnati, Ohio since 2010. Previous registrations include ProEquities in Cincinnati, Ohio (2004-2010); American General Securities in Phoenix, Arizona (2002-2004); and Franklin Financial Services Corporation in Houston, Texas (1996-2002). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 14, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 24, 1998; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 11, 1996; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on March 27, 2001. He is a registered broker and investment adviser with nine US states: California, Florida, Georgia, Indiana, Kentucky, Michigan, Ohio, Utah, and Virginia.

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

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Gale Brodie

Public records published by the Financial Industry Regulatory Authority (FINRA) on May 16, 2018 indicate that California-based Founders Financial Securities Services broker/adviser Gale Brodie has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Brodie (CRD# 1318619).

Gale Brodie has spent 33 years in the securities industry and has been registered with Founders Financial Securities in Elk Grove, California since October 2017. Previous registrations include Waddell & Reed in Sacramento, California (2013-2017); MetLife Securities in Sacramento, California (2010-2013); LPL Financial Corporation in Galt, California (2009-2010); Associated Securities Corporation in Galt, California (2008-2009); FSC Securities Corporation in Galt, California (2003-2008); Morgan Stanley DW in Purchase, New York (1998-2002); Merrill Lynch in New York, New York (1995-1998); and Dean Witter Reynolds (1984-1995). She has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on March 17, 1993; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on January 8, 1985; Series 31 (Futures Managed Funds Examination), which she obtained on December 3, 1993; and Series 7 (General Securities Representative Examination), which she obtained on December 15, 1984. She is a registered broker and investment adviser with four US states: California, Nevada, Texas, and Washington.

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

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Matthew Eckstein

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 16, 2018 indicate that New York-based Sisk Investment Services broker Matthew Eckstein has been named respondent in a pending FINRA complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Eckstein (CRD# 2997245).

Matthew Eckstein has spent 20 years in the securities industry and has been registered with Sisk Investment Services in Syosset, New York since 2015. He was previously registered with Gould Ambroson & Associates in Garden City, New York 91998-2015). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 4, 1998; Series 7 (General Securities Representative Examination), which he obtained on February 11, 1998; and Series 24 (General Securities Principal Examination), which he obtained on November 25, 1998. He is a registered broker with nine US states: Colorado, Connecticut, Florida, Minnesota, New Jersey, New York, North Carolina, Pennsylvania, and Virginia.

According to his BrokerCheck report, Matthew Eckstein has received one regulatory sanction and one pending regulatory complaint.

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Bernard McLaughlinPublicly records published by the Financial Industry Regulatory Authority (FINRA) on May 16, 2018 indicate that Minnesota-based Century Securities Associates broker/adviser Bernard McLaughlin, also known as Bud McLaughlin, is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. McLaughlin (CRD# 601178).

Bernard McLaughlin has spent 49 years in the securities industry and has been registered with Century Securities Associates in Chaska, Minnesota since 2001. Previous registrations include Equity Securities Investments in Golden Valley, Minnesota (1999-2001); RJ Steichen & Company in Minneapolis, Minnesota (1999); Everen Securities in St. Louis, Missouri (1998-1999); Principal Financial Securities in Dallas, Texas (1997-1998); Miller Johnson & Kuehn in Minneapolis, Minnesota (1995-1997); Principal Financial Securities in Dallas, Texas (1994-1995); Hamilton Investments (1993-1994); Craig Hallum (1984-1993); Summit Investment Corporation (1981-1984); Pagel (1977-1981); Margolis & Company (1971-1974); and Denis McCauley & Company (1968-1971). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 9, 1982, and Series 1 (Registered Representative Examination), which he obtained on February 29, 1968. He is a registered broker and investment adviser with six US states: Arizona, Michigan, Minnesota, North Dakota, South Dakota, and Wisconsin.

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

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Darrell HesfordPublic records provided by the Financial Industry Regulatory Authority (FINRA) on May 16, 2018 indicate that California-based Wells Fargo Clearing Services broker/adviser Darrell Hesford has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hesford (CRD# 1735905).

Darrell Hesford has spent 28 years in the securities industry and has been registered with Wells Fargo Clearing Services in Escondido and Carlsbad, California since 2011. Previous registrations include Wells Fargo Investments in Escondido, California (2001-2011); Wells Fargo Securities in San Francisco, California (1994-2001); Griffin Financial Services (1993-1994); and New England Securities in New York, New York (1990-1993). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 15, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 19, 1990; and Series 7 (General Securities Representative Examination), which he obtained on March 17, 1990. He is a registered broker and investment adviser with 25 US states ad territories: Alabama, Arizona, California, Colorado, Connecticut, Florida, Hawaii, Idaho, Iowa, Maryland, Minnesota, Missouri, Nevada, New Mexico, New York, North Carolina, Ohio, Oregon, South Carolina, South Dakota, Texas, Utah, Vermont, Virginia, and Washington. 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, he has received one customer complaint, one pending customer complaint, and one denied customer complaint.

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Nathan HookerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 16, 2018 indicate that Tennessee-based Wells Fargo Clearing Services broker/adviser Nathan Hooker has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hooker (CRD# 2813468).

Nathan Hooker has spent 21 years in the securities industry and has been registered with Wells Fargo Clearing Services in Memphis, Tennessee since 2004. Previous registrations include Legg Mason Wood Walker in Baltimore, Maryland (2000-2004) and JC Bradford & Company in New York, New York (1996-2000). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 23, 1996, and Series 7 (General Securities Representative Examination), which he obtained on December 6, 1996. He is a registered broker and investment adviser with 23 US states and territories: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Florida, Georgia, Indiana, Louisiana, Massachusetts, Mississippi, Missouri, New Hampshire, New Mexico, North Carolina, Oklahoma, Oregon, Pennsylvania, South Carolina, Tennessee, and Texas. 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, he has received one pending customer complaint.

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Jeffrey GlusmanPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 16, 2018 indicate that Florida-based SunTrust Investment Services broker/adviser Jeffrey Glusman is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Glusman (CRD# 4427168).

Jeffrey Glusman has spent 16 years in the securities industry and has been registered with SunTrust Investment Services in Jupiter, Florida since February 2018. He was previously registered with Merrill Lynch in Fort Lauderdale, Florida (2006-2017) and Merrill Lynch in New York, New York (2001-2005). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 4, 2001; Series 3 (National Commodity Futures Examination), which he obtained on July 9, 2010; Series 31 (Futures Managed Funds Examination), which he obtained on September 27, 2004; and Series 7 (General Securities Representative Examination), which he obtained on September 17, 2001. He is a registered broker and investment adviser with 45 US states and territories.

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

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William KoenigPublic records published by the Financial Industry Regulatory Authority (FINRA) on May 16, 2018 indicate that Florida-based JW Cole Financial broker/adviser William Koenig has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Koenig (CRD# 1507868).

William Koenig has spent 31 years in the securities industry and has been registered with JW Cole Financial in Spring Hill, Florida since 2009. Previous registrations include Raymond James Financial Services in Spring Hill, Florida (2000-2009); AG Edwards & Sons in St. Louis, Missouri (1988-2000); Fitzgerald Dearman & Roberts (1987-1990); and the Stuart-James Company (1987). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 9, 1987; Series 7 (General Securities Representative Examination), which he obtained on May 16, 1987; and Series 24 (General Securities Principal Examination), which he obtained on February 21, 2001. He is a registered broker and investment adviser with four US states: Florida, Illinois, New Jersey, and New York.

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

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shutterstock_164764706-300x185Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 16, 2018 indicate that Florida-based Wells Fargo Clearing Services broker/adviser John Kellar has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kellar (CRD# 1436046).

John Kellar has spent 32 years in the securities industry and has been registered wth Wells Fargo Clearing Services in Fort Lauderdale, Florida since 2003. Previous registrations include Prudential Securities in New York, New York (1999-2003); Dean Witter Reynolds in Purchase, New York (1992-1999); Morgan Keegan & Company in Memphis, Tennessee (1990-1993); Raymond James & Associates in St. Petersburg, Florida (1987-1990); and Painewebber (1985-1987). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 18, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 9, 1986; Series 31 (Futures Managed Funds Examination), which he obtained on May 21, 2003; and Series 7 (General Securities Representative Examination), which he obtained on December 14, 1985. He is a registered broker and investment adviser with 16 US states and territories: Alabama, Florida, Georgia, Kansas, Maryland, Massachusetts, Missouri, New Jersey, New York, North Carolina, Ohio, Texas, Utah, Virginia, Washington, and West Virginia. 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, he has received one customer complaint and four customer complaints that were withdrawn, denied or dismissed.

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Fifth Third Securities

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 10, 2018 indicate that Ohio-based brokerage and advisory firm Fifth Third Securities was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Fifth Third Securities (CRD# 628).

Founded in Ohio in 1925, Fifth Third Securities is headquartered in Cincinnati, Ohio and registered wth 52 US states and territories. According to the firm’s BrokerCheck report, it has received 36 regulatory sanctions and 19 customer complaints that evolved into arbitration.

In May 2018 FINRA sanctioned Fifth Third Securities in connection to allegations it failed to “appropriately consider and accurately describe the costs and benefits of variable annuity (VA) exchanges,” as well as for recommending variable annuity exchanges in the absence of a reasonable basis to believe such transactions were suitable for the customers in question. Fifth Third Securities failed to ensure that its representatives obtained and evaluated “accurate information” regarding the exchanges that it recommended to its customers, according to FINRA. The firm also allegedly did not adequately train its representatives and principals in proper methods for conducting a “comparative analysis of the material features” of variable annuity products. As a result, according to FINRA, Fifth Third Securities ultimately made inaccurate statements regarding the transactions’ costs and benefits, presenting them as better for the customer than they actually were.