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Ronald KnightPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 10, 2018 indicate that former Maryland-based NY Life Securities broker/adviser Ronald Knight has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Knight (CRD# 5265446).

Ronald Knight has spent nine years in the securities industry and was most recently registered with NYLife Securities in Timonium, Maryland (2008-2017). 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 1, 2008; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on December 27, 2007; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on September 1, 2010. He is currently not registered with any state or firm.

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

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Patrick WalshPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 10, 2018 indicate that New Jersey-based Hennion & Walsh broker/adviser Patrick Walsh is involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Walsh (CRD# 2383640).

Patrick Walsh has spent 24 years in the securities industry and has been registered with Hennion & Walsh in Parsippany, New Jersey since 1993. He has no previous registrations. He is registered as a broker and investment adviser with 42 US states and territories.

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

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Sibanye Gold LimitedPublicly available records indicate that a class action lawsuit has been filed on behalf of investors in Sibanye Gold Limited (NYSE:SBGL) in connection to alleged violations of securities laws by SBGL. Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments made in Sibanye Gold Limited from April 7, 2017 until June 26, 2018.

The class action complaint specifically alleges that during the period in question, SBGL might have provided false and/or misleading material information, and/or failed to disclose adverse material information to the public, chiefly: that the company’s corporate culture emphasized short-term profits above safety; that consequently, fatalities in the company’s mines comprised almost 50% of South Africa’s mining fatalities in 2018; and that consequently the company’s statements to the public about its business, operations and prospects were false and misleading. When a Bloomberg report published on June 26, 2018 stated that a worker had been killed at one of the company’s operations in South Africa, “bringing the total deaths at the company’s mines this year to 21,” the company’s stock declined.

According to the company’s website, Sibanye is “an independent, global, precious metals mining company, produces a unique mix of metals that includes gold and PGMs.” It describes itself as the world’s third-largest producer of platinum and palladium and states that it owns and operates “a portfolio of high-quality operations and projects” located and managed in South Africa and in the United States. The company is headquartered in South Africa and trades on the New York Stock Exchange under the symbol SBGL.

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Restoration RoboticsPublicly available records indicate that a class action lawsuit has been filed on behalf of investors in Restoration Robotics (NASDAQ:HAIR) in connection to alleged violations of securities laws by HAIR. Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments made in Restoration Robotics, particularly in securities pursuant to its IPO, between October 9, 2017 and June 21, 2018.

The class action complaint specifically alleges that during the period in question, HAIR might have provided false and/or misleading material information, and/or failed to disclose adverse material information to the public, namely when the company held its initial public offering, it represented to investors that proceeds from the IPO would fund the company’s operations for a year, and that its robotic implantation functionality was prepared for launch. Later, on March 20, 2018, the company revealed that it intended to “complete the necessary design and engineering work to launch the implantation functionality” by the end of that year. The company additionally represented that it was in a good position to expand its domestic operations by ramping up sales, but in fact, it did not have a salesforce adequate to do so. The company acknowledged by the close of Q1 2018 that it lacked “sufficient capital to fund its planned operations,” and currently trades at less than half its IPO price.

According to the company’s website, Restoration Robotics is a “medical device company developing and commercializing the ARTAS® Robotic Hair Transplant System.” It describes itself as possessing “unique expertise” in such areas as machine vision, visual servoing and robotics, and image guidance. The company is headquartered in Silicon Valley and trades on the Nasdaq exchange under the symbol HAIR.

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Switch, Inc.Publicly available records indicate that a class action lawsuit has been filed on behalf of investors in Switch, Inc. (NYSE:SWCH) in connection to alleged violations of securities laws by SWCH. Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments made in Switch, Inc., in particular, Class A common stock pursuant to its initial public offering, between October 3, 2017 and June 11, 2018.

The class action complaint specifically alleges that during the period in question, SWCH might have provided false and/or misleading material information, and/or failed to disclose adverse material information to the public, namely: that the company’s facilities in Grand Rapids, Michigan and Atlanta, Georgia would never reach the same profitability of its Las Vegas, Nevada facility; that this reduced the yield on the company’s capital expenditures which will be borne by the acquisition and building out of those facilities; that the company’s high capital expenditures, made to generate high redundancy levels at these facilities, were not attaining the same profitability that they had previously; that the company had spent more than $64 million in additional funds on un-budgeted capital expenditures in Q3 2017, and that it had not disclosed these expenditures to its investors until after its initial public offering; that the company recognized revenues of $9.4 million in fiscal year 2017 for which it would not provide colocation services until fiscal year 2018; that consequently it had overstated its reported revenue growth for FY17, as well as its revenue prospects for FY18; that the company’s biggest colocation customer, eBay, was not going to possess its reserved colocation space at the company’s facility in Tahoe/Reno at the beginning of 2018; and that consequently the company’s business and financial prospects at the time of its IPO did not match with representations made in its Registration Statement. The complaint alleges that when true facts emerged, investors suffered losses.

According to the company’s website, Switch, Inc. is a “technology infrastructure ecosystem corporation whose core business is the design, construction and operation of the most advanced data centers, which are the foundations of the most powerful technology ecosystems on the planet.” Founded in 2000, the company builds and operates data centers and has more than 500 issued patents or pending patent claims. It is headquartered in Las Vegas, Nevada and trades on the New York Stock Exchange under the symbol SWCH.

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Flex Pharma Class ActionPublicly available records indicate that a class action lawsuit has been filed on behalf of investors in Flex Pharma (NASDAQ:FLKS) in connection to alleged violations of securities laws by FLKS. Fitapelli Kurta is interested in hearing from investors who have complaints regarding investments made in Flex Pharma between November 6, 2017 and June 12, 2018.

The class action complaint specifically alleges that during the period in question, FLKS might have provided false and/or misleading material information, and/or failed to disclose adverse material information to the public, chiefly: that the company made overstatements regarding the viability and approval prospects of FLX-787, its product candidate for ALS and CMT treatment; and that consequently the company’s statements to the public during the relevant period were false and misleading. When the company announced, on June 13, 2018, that it intended to cease two separate trials of FLX-787, as a result of tolerability concerns, and announced additionally that it would undergo restructuring to cut costs, as well as its board’s consideration of a potential sale or merger, the company’s stock declined $3.14/share in value, or 75.12%, to a close of $1.04/share on that day.

According to the company’s website, Flex Pharma is a biotechnology company engaged in the development of “innovative and proprietary treatments for muscle cramps, spasms and spasticity associated with the severe neurological diseases of ALS, MS and peripheral neuropathies such as Charcot-Marie-Tooth.” It is headquartered in Boston, Massachusetts and trades on the Nasdaq exchange under the symbol FLKS.

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The GMS GroupPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 29, 2018 indicate that New Jersey-based brokerage and advisory firm The GMS Group has received numerous regulatory sanctions and customer complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding The GMS Group (CRD# 8000).

Formed in Delaware in 1997, The GMS Group is headquartered in Livingston, New Jersey and registered with 52 US states and territories. According to its BrokerCheck report, it has received six regulatory sanctions and twelve customer complaints that evolved into arbitration. For instance, in 2016 FINRA sanctioned The GMS Group following allegations it recommended and sold municipal bond investments below the minimum denomination, and that in several instances it failed to disclose to its retail customers that their purchase fell short of the minimum denomination; in addition, customers in certain transactions were not qualified institutional buyers, and thus did not meet the qualifications to purchase the bonds in question, according to FINRA. In this action, the firm was censured and issued a fine of $45,000.

In 2015, FINRA sanctioned the firm in connection to allegations it failed to adequately supervise a registered representative who made unsuitable recommendations and trades of non-traditional exchange-traded funds, and who also exercised discretion without proper authorization. FINRA found that the firm failed to establish and maintain supervisory procedures designed to achieve compliance with rules governing non-traditional ETF sales and that the firm also failed to provide training to the representative about non-traditional ETFs. According to FINRA, the principal supervising the representative neglected to take certain steps to do so, such as determining whether the representative was using discretionary authority, discussing the risks of non-traditional ETF trades, or discussing the commissions that were being generated. In connection to these findings, FINRA censured The GMS Group and issued it a fine of $75,000.

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Barry WoldPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 26, 2018 indicate that former Minnesota-based Raymond James & Associates broker/adviser Barry Wold was recently terminated from his 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. Wold (CRD# 2095296).

Barry Wold has spent 27 years in the securities industry and was most recently registered with Raymond James & Associates in Edina, Minnesota (2009-2018). Previous registrations include Robert W. Baird & Company in Edina, Minnesota (1998-2009) and Piper Jaffray in Minneapolis, Minnesota (1990-1998). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 2, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 25, 1990; and Series 7 (General Securities Representative Examination), which he obtained on October 16, 1990. He is currently not registered with any state, firm or self-regulatory organization.

According to his BrokerCheck report, he was recently discharged from his former employer in connection to alleged rule violations.

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Jerald AloofPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 27, 2018 indicate that New Jersey-based Royal Alliance Associates broker/adviser Jerald Aloof has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Aloof (CRD# 1567086).

Jerald Aloof has spent 31 years in the securities industry and has been registered with Royal Alliance Associates in Clark, New Jersey since 2003. Previous registrations include UBS Painewebber in Weehawken, New Jersey (1993-2003); Dean Witter Reynolds in Purchase, New York (1989-1993); Shearson Lehman Hutton in New York, New York (1988-1989); and EF Hutton & Company (1986-1988). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 20, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 9, 1986; Series 3 (National Commodity Futures Examination), which he obtained on October 22, 1986; Series 7 (General Securities Representative Examination), which he obtained on September 22, 1986; Series 53 (Municipal Securities Principal Examination), which he obtained on June 15, 2010; and Series 24 (General Securities Principal Examination), which he obtained on December 28, 2009. He is a registered broker and investment adviser with 13 US states and territories: California, Colorado, Connecticut, Delaware, Florida, Massachusetts, Minnesota, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, and Rhode Island.

According to his BrokerCheck report, he has received one customer complaint and two unsatisfied tax liens.

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Mark RaezerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 27, 2018 indicate that former Colorado-based Taylor Capital Management broker Mark Raezer, who was recently sanctioned by state authorities in connection to alleged rule violations, has received a pending customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Raezer (CRD# 6439772).

Mark Raezer has spent two years in the securities industry and was most recently registered with Taylor Capital Management in Aurora, Colorado (2015-2018). He has no previous registrations. He has passed one securities industry examination: Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 9, 2015. He is currently not registered with any state or firm.

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