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Stuart Horowitz
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 19, 2017 indicate that former Florida-based Securities America broker/adviser Stuart Horowitz has received several dozen resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Horowitz (CRD# 2795019).

Stuart Horowitz has spent nineteen years in the securities industry and was most recently registered with Securities America in Coral Gables, Florida (2009-2016). Previous registrations include NFP Securities in Coral Springs, Florida; Commonwealth Financial Network in Waltham, Massachusetts; Investacorp. in Miami, Florida; and Linsco/Private Ledger Corporation in Boston, Massachusetts. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received 33 customer complaints, five pending customer complaints, and one regulatory sanction.

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Alex EtterPublic records published by the Financial Industry Regulatory Authority (FINRA) on May 19, 2017 indicate that former New Jersey-based Caldwell International Securities broker Alex Etter has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Etter (CRD# 2981742).

Alex Etter has spent fifteen years in the securities industry and was most recently registered with Caldwell International Securities in Englewood Cliffs, New Jersey (2011-2016). Previous registrations include World Equity Group in Englewood Cliffs, New Jersey; Investors Capital Corporation in Englewood Cliffs, New Jersey; Brookstreet Securities in New York, New York; and National Securities in Seattle, Washington. He has passed two securities industry examination: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Alex Etter has been sanctioned by FINRA.

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Deja JeffersonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2017 indicate that former North Carolina-based MetLife Investors Distribution Company broker Deja Jefferson has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Jefferson (CRD# 6550180).

Deja Jefferson has spent one year in the securities industry and was most recently registered with MetLife Investors Distribution Company in Charlotte, North Carolina (2015-2016). She was previously registered with MetLife Securities in Charlotte, North Carolina (2015-2016). She has passed one securities industry examination: Series 6 (Investment Company Products/Variable Contracts Representative Examination). She is currently not registered with any state or firm.

According to her BrokerCheck report, Deja Jefferson has been sanctioned by FINRA.

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Joseph FarahPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2017 indicate that former California-based Gold Coast Securities broker Joseph Farah has been named in a pending FINRA complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Farah (CRD# 2978633).

Joseph Farah has spent seventeen years in the securities industry and was most recently registered with Gold Coast Securities in Irvine, California (2002-2015). Previous registrations include National Planning Corporation in El Segundo, California (1998-2002) and Financial Network Investment Corporation in El Segundo, California (1998). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), Series 6 (Investment Company Products/Variable Contracts Representative Examination) and Series 7 (General Securities Representative Examination). He is currently not affiliated with any broker-dealer firm.

According to his BrokerCheck report, Joseph Farah has received one pending customer complaint and one pending FINRA complaint.

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Eli UngarPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2017 indicate that New Jersey-based Wells Fargo Clearing Services broker/adviser Eli Ungar has been sanctioned by FINRA. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ungar (CRD# 4748236).

Eli Ungar has spent twelve years in the securities industry and has been registered with Wells Fargo Advisors in Chatham, New Jersey since 2016. Previous registrations include HSBC Securities in Florham Park, New Jersey; PNC Investments in North Brunswick, New Jersey; Banc of America Investment Services in Summit, New Jersey; E-Trade Securities in Jersey City, New Jersey; TD Waterhouse Investment Services in Omaha, Nebraska; Ladenburg Thalmann & Company in New York, New York; and Harrison Securities in Port Washington, New York. He is a registered broker with six US states and territories: Alabama, Florida, Maryland, New Jersey, New York, and North Carolina.

According to his BrokerCheck report, Eli Ungar has received one FINRA sanction.

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Fred NewsomePublicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 17, 2017 indicate that New York-based Windsor Street Capital broker Fred Newsome, also known as Tyre Fred Newsome, resigned from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested ins peaking to investors who have complaints regarding Mr. Newsome (CRD# 4812894).

Fred Newsome has spent nine years in the securities industry and has been registered with Windsor Street Capital in New York, New York since May 2017. Previous registrations include Cape Securities in New York, New York; Spartan Capital Securities in New York, New York; Garden State Securities in New York, New York; Meyers Associates in New York, New York; Maxim Group in New York, New York; Caldwell International Securities in Nassau; Maximum Financial Investment Group in New York, New York; Avalon Partners in New York, New York; and Great Eastern Securities in New York, New York. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker with two US states: California and New York.

According to his BrokerCheck report, Fred Newsome recently resigned from a former employer and is the subject of an unsatisfied tax lien.

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Peter Doyle

Public records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2017 indicate that former Maryland-based H. Beck broker/adviser Peter Doyle has received several customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Doyle (CRD# 2370593).

Peter Doyle has spent 21 years in the securities industry and was most recently registered with H. Beck in Bethesda, Maryland (2016-2017). Previous registrations include Morgan Stanley in Washington, DC; Morgan Stanley & Company in Washington, DC (2008-2009); Wachovia Securities in Washington, DC (2003-2008); and Prudential Securities in New York, New York (1995-2003). He is currently not registered with any state or firm.

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

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Joseph ThurnherrPublic records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2017 indicate that New York-based Spartan Capital Securities broker Joseph Thurnherr has received several pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Thurnherr (CRD# 5045624).

Joseph Thurnherr has spent eight years in the securities industry and has been registered with Spartan Capital Securities in New York, New York since January 2017. Previous registrations include Windsor Street Capital in New York, New York; First Standard Financial Compliance Company in Staten Island, New York; National Securities Corporation in New York, New York; Obsidian Fianncial Group, which has been expelled by FINRA, in Red Bank, New Jersey; Legend Securities in New York, New York; National Securities in Iselin, New Jersey; and JP Turner & Company in Staten Island, New York. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker with ten US states and territories: California, the District of Columbia, Idaho, Iowa, Michigan, New Jersey, New York, Ohio, Pennsylvania, and Texas.

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

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Dion PadillaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2017 indicate that former Texas-based Next Financial Group broker/adviser Dion Padilla has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Padilla (CRD# 4432230).

Dion Padilla has spent fourteen years in the securities industry and was most recently registered with Next Financial Group in San Antonio, Texas (2016-2017). Previous registrations include Securities America in La Vista, Nebraska; UBS Financial Services in Weehawken, New Jersey; Valic Financial Advisors in Houston, Texas; and Merrill Lynch in New York, New York. He is currently not registered with any state or firm.

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

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Douglas LeonePublic records published by the Financial Industry Regulatory Authority (FINRA) on May 17, 2017 indicate that former New York-based Salomon Whitney Financial broker Douglas Leone has been sanctioned by FINRA and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Leone (CRD# 2453784).

Douglas Leone has spent 22 years in the securities industry and was most recently registered with Salomon Whitney Financial in Farmingdale, New York (2013-2017). Previous registrations include Newport Coast Securities in New York, New York; Basic Investors in Hicksville, New York; Joseph Stevens & Company in Brooklyn, New York; Advanced Planning Securities in Smithtown, New York; and Whitehall Wellington Investments in Port Washington, New York. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination).

According to his BrokerCheck report, Douglas Leone has received five customer complaints and one FINRA sanction.