May 23, 2024

Michael Halkitis of The Rockwell Financial Group, Inc  REviews

DID MICHAEL JOHN HALKITIS CAUSE YOU INVESTMENT LOSSES? Michael Halkitis Of The Rockwell Financial Group, Inc. Has A Customer Complaint For Alleged Broker Misconduct Michael Halkitis Customer Complaint and Reviews Allegations Against Michael Halkitis These points collectively suggest that while Michael J. Halkitis possesses extensive experience and qualifications which are significantly tainted by past conduct. Frank Gusmano Red Flags & Your Rights As An Investor Of course, Michael Halkitis 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 Michael Halkitis at The Rockwell Financial Group, Inc. on alert to review carefully the activity and performance of their accounts and question whether Michael Halkitis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The Rockwell Financial Group, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 833-300-6983. File A Claim To Recover Your Investment Losses At The Rockwell Financial Group, Inc. Due To Michael Halkitis  If you have questions about The Rockwell Financial Group, Inc. and/or Michael Halkitis 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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May 21, 2024

Ryan Shoop of Westminster Financial Securities, Inc

Ryan Shoop (CRD #4522151) who is currently registered as a broker and investment adviser with Westminster Financial Securities, Inc. and located in Westlake, Ohio, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Westminster Financial Securities, Inc., Ryan Shoop was associated with Stifel Independent Advisors, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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May 19, 2024

Shaiza Rizavi of Gilder Gagnon Howe & Co. LLC

Shaiza Rizavi (CRD #2874858) who is currently registered as a broker and investment adviser with Gilder Gagnon Howe & Co. LLC and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations. She was registered with the brokerage firm since 1997 and the investment advisory arm since 2021. It appears she was relatively new and providing investment advisory services to clients.

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May 18, 2024

John Orlando formerly with SW Financial

John Orlando (CRD #2002197) who was formerly registered with SW Financial and located in Melbourne Beach, Florida, is a subject of one of our many securities industry sales practice abuse investigations. Prior to SW Financial, John Orlando was associated with Joseph Gunnar & Co. LLC, Westpark Capital, Inc and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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May 16, 2024

Ashlynn Mohan of Equitable Advisors, LLC Reviews

Ashlynn Mohan (CRD #6783536) ,has been employed with Equitable Advisors, LLC in Folsom, CA, since February 2018. Her tenure in the financial industry is relatively short, having passed only three general industry/product exams and two state securities law exams. Mohan’s professional qualifications do not include any principal/supervisory exams, limiting her roles to less authoritative positions within the brokerage firm. Registered in six U.S. states and territories, her geographic licensure is modest compared to more seasoned brokers. This limited scope and lack of higher-level certifications might concern clients looking for well-rounded expertise in financial management.

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May 12, 2024

Anthony Dorsey of PFS Investments Inc.  Reviews

Anthony Dorsey (CRD #3196293) , has been a registered broker since 1999, primarily with PFS Investments Inc. and Primerica Advisors in Rancocas, NJ. Despite a long tenure in the industry, his career has not been without issues. Dorsey is registered in 8 U.S. states and has passed two general industry/product exams and two state securities law exams, in addition to one principal/supervisory exam. The extent of his registration might initially imply a broad and versatile service capability, yet this is somewhat marred by a lack of further professional qualifications and a noticeable presence in only a handful of states. This limited geographical footprint and professional growth might raise questions about his ambition or capability in expanding his client base or expertise.

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May 11, 2024

Daniel Nielsen of LPL Financial LLC

Daniel Nielsen (CRD #5481403) who is currently registered as a broker and investment adviser with LPL Financial LLC and located in Winterset, Iowa, is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Daniel Nielsen was associated with Cambridge Investment Research, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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May 10, 2024

Lincoln Mason formerly with Edward Jones

Lincoln Mason (CRD #7057393) who was formerly registered with Edward Jones and located in Arnolds Park, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Both Edward Jones and Lincoln Mason have had their share of problems with the regulators. In Lincoln, Mason’s case, he was recently suspended and fined for engaging in outside business activities without providing prior written notice to and receiving his firm’s approval of that activity. He was suspended for 90 days, and fined $5,000 for that misconduct. This is in addition to the suspension he suffered as a result of the Iowa Insurance Commissioners actions.

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May 9, 2024

Curtis Mason of GWN Securities Inc

Curtis Mason (CRD #3246419) who is currently registered as a broker and investment adviser with GWN Securities Inc. and located in West Linn, Oregon, is a subject of one of our many securities industry sales practice abuse investigations. Prior to GWN Securities Inc., Curtis Mason was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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May 9, 2024

Martinez formerly with Pruco Securities LLC

Justin Martinez (CRD #6636905) who was formerly registered with Pruco Securities LLC and located in Pinole, California, is a subject of one of our many securities industry sales practice abuse investigations. He recently resigned from the firm when he was under review for submitting life insurance policy applications that indicated fraud. The representative allegedly submitted applications for the same insureds, including multiple applications for himself and his family members under the same email address, all of which either lapsed or were withdrawn. Representative did not identify himself as the insured on 2 of the applications, thereby receiving express commissions to which she was not entitled.

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