Jul 26, 2022

Claudio Gambin Neto of MML Investors Services, LLC

As a client, you entrust your money to a broker who you can trust. This is why it’s important to know all there is to know about the individual investing your funds. This information might help you decide whether or not to deal with a specific broker. If you believe Claudio Gambin has caused you financial damage, we may be able to assist you in addressing any concerns or problems you have. DID CLAUDIO M. GAMBIN NETO CAUSE YOU INVESTMENT LOSSES? Claudio Gambin Of MML Investors Services, LLC And Formerly With Northwestern Mutual Investment Has 2 Customer Complaints For Alleged Broker Misconduct Who is Claudio Gambin of MML Investors Services, LLC? Claudio Gambin (CRD #5752180) who is currently registered with MML Investors Services, LLC and located in Orlando, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to MML Investors Services, LLC, Claudio Gambin was associated with Northwestern Mutual Investment and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Claudio Gambin Customer Complaints Claudio Gambin has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Claudio Gambin’s 2 customer complaints was settled in favor of investors. One of Claudio Gambin’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Claudio Gambin A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Misleading statements related to non-variable life insurance policy. Transfer of funds without customer’s authorization to pay premiums on life insurance policies. Claudio Gambin Red Flags & Your Rights As An Investor Of course, Claudio Gambin did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Claudio Gambin at MML Investors Services, LLC and Northwestern Mutual Investment on alert to review carefully the activity and performance of their accounts and question whether Claudio Gambin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services, LLC and Northwestern Mutual Investment also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At MML Investors Services, LLC Due To Claudio Gambin If you have questions about MML Investors Services, LLC, Northwestern Mutual Investment, and/or Claudio Gambin and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jun 27, 2022

Cedric Powell of Ameriprise Financial Services LLC

It’s critical for everyone to learn all they can about the individuals with whom they entrust their money. There are several places where you may discover information on a person’s background, including prior employment history, regulatory enforcement actions, and consumer complaints. If you suffered investment losses due to Cedric Powell, we will do our best to answer any questions you may have. DID CEDRIC PERCELL POWELL CAUSE YOU INVESTMENT LOSSES? Cedric Powell Of Ameriprise Financial Services LLC And Formerly With Northwestern Mutual Investment Services, LLC Has 4 Customer Complaints For Alleged Broker Misconduct Who is Cedric Powell of Ameriprise Financial Services LLC? Cedric Powell (CRD #3249130) who is currently registered with Ameriprise Financial Services LLC and located in Tampa, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Ameriprise Financial Services LLC, Cedric Powell was associated with Northwestern Mutual Investment Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cedric Powell Customer Complaints Cedric Powell has been the subject of 4 customer complaints that we know about, 4 of those complaints were filed in the last year to recover investment losses. Two of Cedric Powell’s 4 customer complaints were settled in favor of investors. Two of Cedric Powell’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Cedric Powell A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Unauthorized withdrawals of funds from mutual fund account to pay premiums on insurance policies the customers were not aware existed. Financial Advisor purchase new life insurance policies as part of an investment portfolio and completed applications without their permission. Failure to explain risks of withdrawals from a 403B retirement account leading to unintended tax consequences. Cedric Powell Red Flags & Your Rights As An Investor Of course, Cedric Powell did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Cedric Powell at Ameriprise Financial Services LLC and Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Cedric Powell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services LLC and Northwestern Mutual Investment Services, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Ameriprise Financial Services LLC Due To Cedric Powell If you have questions about Ameriprise Financial Services LLC, Northwestern Mutual Investment Services, LLC, and/or Cedric Powell and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Daniel Brunette of First Allied Securities, Inc.

DID DANIEL EDWARD BRUNETTE CAUSE YOU INVESTMENT LOSSES? Daniel Edward Brunette with First Allied Securities, Inc. Has 16 Customer Complaints For Alleged Broker Misconduct, 3 Complaints In the Past Year Who is Daniel E. Brunette with First Allied Securities, Inc.? Daniel Brunette (CRD #813924) who is currently registered with First Allied Securities, Inc. and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Allied Securities, Inc., Daniel Brunette was associated with 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Daniel Brunette has had his own share of regulatory problems. While he was employed with Northwestern Mutual investment Services, LLC, it was alleged that he misrepresented variable life insurance policies in the NASD censured, suspended and fined him for that alleged misconduct. Thereafter, he failed to notify the states of Indiana, Ohio, Wisconsin, Pennsylvania, and Illinois of the any as the action and he was subject to a variety of sanctions, including, revocation of his licenses, withdrawals of his registration, probation, heightened supervision, censures, cease-and-desist orders, and/or fines. First Allied Securities, Inc. And Northwestern Mutual Investment Services, LLC Broker Misconduct In his career, Daniel Brunette has been the subject of 16 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Nine of Daniel Brunette’s 16 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Daniel Brunette’s current employer First Allied Securities, Inc. for investment losses caused by his alleged misconduct. Allegations Against Daniel Brunette   A sample of the allegations made in the FINRA reported customer complaints, arbitration claims and settlements and pending complaints for investment losses are as follows: Multiple customers in separate arbitrations and written complaints alleged misrepresentation of variable life insurance policy. Complainant alleged that Daniel Brunette is misleading sales materials in misrepresenting a variable life insurance policy. Client alleged that financial advisor misrepresented a variable life insurance policy as a private pension plan and further that his signature and initials on certain applications were forgeries. Customer alleged that a variable life insurance policy offered and sold was not a suitable investment recommendation. Customers alleged that variable life insurance policy sold to them were misrepresented to be private pension plans and that Daniel Burnett guaranteed a certain rate of tax-free return, and further that the actual return would be greater than the guaranteed rate or return. Moreover, customers alleged that the registered representative stated they would only have to pay the premiums until the age of 55 and thereafter, the policy would provide certain annual payments, tax-free for a source of retirement income. Daniel Brunette Red Flags & Your Rights As An Investor Of course, Daniel Brunette did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Daniel Brunette at First Allied Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Daniel Brunette has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment Services, LLC also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At First Allied Securities, Inc. and Northwestern Mutual Investment Services, LLC If you have questions about First Allied Securities, Inc., Northwestern Mutual Investment Services, LLC, and/or Daniel Brunette and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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