February Publicly available records provided by FINRA and accessed on March 17, 2019 list 10 investment representatives who were reported in February 2019 as subject to disciplinary actions barring them from association with FINRA member firms. The individuals listed below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) in connection to these disciplinary actions; they have not admitted to or denied the alleged underlying conduct. They include Mitchell Kurtz, barred in connection with allegations he violated FINRA and SEC rules concerning outside business activities and selling away; Michael Prikopa, barred in connection with allegations he converted customer funds; Ralph Von Lutzow, barred in connection with allegations he participated in private securities transactions for compensation; Nicholas Radke, barred in connection with allegations he participated in an unapproved private securities transaction; Thomas Cooper, barred in connection with allegations he converted firm funds; Christopher Hellman, barred in connection with allegations he failed to provide requested documents and investigation during a FINRA investigation; George Robertson, barred in connection with allegations he participated in outside business activities and a private securities transaction without giving his firm prior written notice; and Nina Tran, barred in connection to allegations she failed to respond to a FINRA request for information and documents. More information about these allegations is available via FINRA.

Name Current/Former Employers
Mitchell Allen Kurtz Henley & Company
Ralph Richard Von Lutzow Oberweis Securities
Craig Scott Hartman AXA Advisors
Nicholas Randolph Radke Jr. MML Investors Services
Thomas G. Cooper Jr. PriceWaterhouseCoopers Corporate Finance
Christopher Charles Hellman Merrill Lynch
Robert S. Jamison II PNC Investments
George Mackley Robertson Kestra Investment Services
Adam Michael Lopez Country Capital Management Company
Kyle Patrick Harrington Aurora Capital