Jan 3, 2023

Gary Imel formerly with Ameriprise Financial Services, Inc.

DID GARY LEE IMEL CAUSE YOU INVESTMENT LOSSES? Gary Imel Formerly With Ameriprise Financial Services, Inc. and Kalos Capital, Inc. Has 13 Customer Complaints For Alleged Broker Misconduct Who is Gary Imel formerly with Ameriprise Financial Services, Inc.? Gary Imel (CRD #254765) who was formerly registered with Ameriprise Financial Services, Inc. and located in Gig Harbor, Washington, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Ameriprise Financial Services, Inc., Gary Imel was associated with Kalos Capital, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gary Imel Customer Complaints Gary Imel has been the subject of 13 customer complaints that we know about to recover investment losses.  Ten of the 13 customer complaints were settled in favor of the investors. One customer complaint was denied and, to date, the customer has not taken any further action. The other 2 customer complaints remained pending. Allegations Against Gary Imel A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Gary Imel Red Flags & Your Rights As An Investor Of course, Gary Imel 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 Gary Imel at Ameriprise Financial Services, Inc. and Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether Gary Imel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, Inc. and Kalos Capital, Inc. 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, Inc. Due To Gary Imel If you have questions about Ameriprise Financial Services, Inc., Kalos Capital, Inc., and/or Gary Imel 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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Dec 29, 2022

Frederick Guist of LPL Financial LLC

DID FREDERICK JAMES GUIST CAUSE YOU INVESTMENT LOSSES? Frederick James Guist of LPL Financial LLC And Formerly With SII investments, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Frederick Guist of LPL Financial LLC? Frederick Guist (CRD #5308813) who is currently registered with LPL Financial LLC and located in Janesville, Wisconsin, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, Frederick Guist was associated with SII investments, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Frederick Guist Customer Complaint Frederick Guist has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for breach of fiduciary duty and negligence in connection with the purchase of a REIT and a business development company investment. Frederick Guist Red Flags & Your Rights As An Investor Of course, Frederick Guist 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 Frederick Guist at LPL Financial LLC and SII investments, Inc. on alert to review carefully the activity and performance of their accounts and question whether Frederick Guist has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and SII investments, Inc. 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 LPL Financial LLC Due to Frederick Guist If you have questions about LPL Financial LLC and SII investments, Inc. and/or Frederick Guist 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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Dec 28, 2022

Fred Berens of Oppenheimer & Co. Inc.

DID FRED BERENS CAUSE YOU INVESTMENT LOSSES? Fred Berens of Oppenheimer & Co. Inc. And Formerly With Wells Fargo Clearing Services, LLC Has 5 Customer Complaints For Alleged Broker Misconduct Who is Fred Berens of Oppenheimer & Co. Inc.? Fred Berens (CRD #18877) who is currently registered with Oppenheimer & Co. Inc. and located in Miami, Florida, is a subject of one of many securities industry sales practice abuse investigations.  Prior to Oppenheimer & Co. Inc., Fred Berens was associated with Wells Fargo Clearing Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Fred Berens Customer Complaints Fred Berens has been the subject of 5 customer complaints that we know about. Two of the customer complaints resulted in an arbitration awards in favor of the investors, one award was in excess of $2.5 million. The other 3 customer complaints were settled in favor of the investors. Allegations Against Fred Berens A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Fred Berens Red Flags & Your Rights As An Investor Of course, Fred Berens 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 Fred Berens at Oppenheimer & Co. Inc. and Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Fred Berens has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. Inc. and Wells Fargo Clearing 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 Oppenheimer & Co. Inc. Due To Fred Berens If you have questions about Oppenheimer & Co. Inc., Wells Fargo Clearing Services, LLC and/or Fred Berens 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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Dec 7, 2022

Douglas Ruth of Lenox Financial Services, Inc.

DID DOUGLAS SCOTT RUTH CAUSE YOU INVESTMENT LOSSES? Douglas Ruth Of Lenox Financial Services, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Douglas Ruth of Lenox Financial Services, Inc.? Douglas Ruth(CRD #1381205) who is currently registered with Lenox Financial Services, Inc. and located in New Lenox, Illinois is a subject of one of our many securities industry sales practice abuse investigations.   Douglas Ruth Customer Complaint Douglas Ruth has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were breach of fiduciary duty, negligence, breach of contract, and unsuitable investment recommendations. Douglas Ruth’s customer complaint was settled in favor of the investor. Douglas Ruth Red Flags & Your Rights As An Investor Of course, Douglas Ruth 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 Douglas Ruth at Lenox Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Douglas Ruth has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lenox Financial Services, 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. File A Claim To Recover Your Investment Losses At Lenox Financial Services, Inc. Due To Douglas Ruth If you have questions about Lenox Financial Services, Inc. and/or Douglas Ruth 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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Dec 7, 2022

Douglas Massey of UBS Financial Services, Inc.

DID DOUGLAS MADISON MASSEY CAUSE YOU INVESTMENT LOSSES? Douglas Massey Of UBS Financial Services, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Douglas Massey of UBS Financial Services, Inc.? Douglas Massey(CRD #4740798) who is currently registered with UBS Financial Services, Inc. and located in Boston, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations.   Douglas Massey Customer Complaint Douglas Massey has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were misrepresentations and unsuitable investment recommendations to invest in and hold an option’s overlay strategy. Douglas Massey’s customer complaint was withdrawn and, to date, the customer has not taken any further action. Douglas Massey Red Flags & Your Rights As An Investor Of course, Douglas Massey 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 Douglas Massey at UBS Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Douglas Massey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services, 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. File A Claim To Recover Your Investment Losses At UBS Financial Services, Inc. Due To Douglas Massey If you have questions about UBS Financial Services, Inc. and/or Douglas Massey 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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Nov 28, 2022

Dennis Karjanis of Aegis Capital Corp.

DID DENNIS JOSEPH KARJANIS CAUSE YOU INVESTMENT LOSSES? Dennis Karjanis Of Aegis Capital Corp. And Formerly With National Securities Corporation Has 2 Customer Complaints For Alleged Broker Misconduct Who is Dennis Karjanis of Aegis Capital Corp.? Dennis Karjanis (CRD #5280862) who is currently registered with Aegis Capital Corp. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Aegis Capital Corp., Dennis Karjanis was associated with National Securities Corporation and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Dennis Karjanis Customer Complaints Dennis Karjanis 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. Both of Dennis Karjanis’ customer complaints were settled in favor of investors. Allegations Against Dennis Karjanis A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendation of private placement. Misrepresentation and unsuitable investment recommendation a over-the-counter securities. Dennis Karjanis Red Flags & Your Rights As An Investor Of course, Dennis Karjanis 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 Dennis Karjanis at Aegis Capital Corp. and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Dennis Karjanis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp. and National Securities Corporation 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 Aegis Capital Corp. Due To Dennis Karjanis If you have questions about Aegis Capital Corp., National Securities Corporation, and/or Dennis Karjanis 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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Nov 15, 2022

David Cohen of Craft Capital Management LLC

DID DAVID MATTHEW COHEN CAUSE YOU INVESTMENT LOSSES? David Cohen Of Craft Capital Management LLC And Formerly With Spartan Capital Securities, LLC Has 5 Customer Complaints For Alleged Broker Misconduct Who is David Cohen of Craft Capital Management LLC? David Cohen (CRD #5858234) who is currently registered with Craft Capital Management LLC and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Craft Capital Management LLC, David Cohen was associated with Spartan Capital Securities, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Cohen Customer Complaints David Cohen has been the subject of 5 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Four of David Cohen’s 5 customer complaints were settled in favor of investors. One of David Cohen’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against David Cohen A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable trading in common and preferred stocks Excessive commissions, unauthorized trading, and failure to place stop loss order Unauthorized trading Excessive trading and improper use of margin account Misrepresentation of account value David Cohen Red Flags & Your Rights As An Investor Of course, David Cohen 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 David Cohen at Craft Capital Management LLC and Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether David Cohen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Craft Capital Management LLC and Spartan Capital Securities, 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 Craft Capital Management LLC Due To David Cohen If you have questions about Craft Capital Management LLC, Spartan Capital Securities, LLC, and/or David Cohen 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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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

Adam Goodman of Stoever, Glass & Company Inc.

DID ADAM C. GOODMAN CAUSE YOU INVESTMENT LOSSES? Adam Goodman Of Stoever, Glass & Company Inc. And Formerly With Herbert J. Sims & Co., Inc. Has 7 Customer Complaints For Alleged Broker Misconduct Who is Adam Goodman of Stoever, Glass & Company Inc.? Adam Goodman (CRD #2263780) who is currently registered with Stoever, Glass & Company Inc. and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Stoever, Glass & Company Inc., Adam Goodman was associated with Herbert J. Sims & Co. Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Adam Goodman Customer Complaints Adam Goodman has been the subject of 7 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Four of Adam Goodman’s 7 customer complaints were settled in favor of investors. Two of Adam Goodman’s customer complaints were denied and, to date, the customers have not taken any further action. There is currently 1 pending customer complaint filed against Adam Goodman’s current employer Stoever, Glass & Company Inc. for investment losses caused by the alleged misconduct. Allegations Against Adam Goodman A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Customer alleged unsuitable investment recommendations in connection with a private placement and bond anticipation note investment. Client alleged unauthorized trading in overconcentration involving municipal and corporate bonds. Customer alleged misrepresentations and unauthorized trading in connection with junk bonds. Client alleged high pressure sales tactics unsuitable investment recommendations, fraud and negligence in connection with municipal bond transactions. Customer alleged that investment recommendation of an alleged speculative investment was unsuitable. Client complained about the suitability of a bond anticipation note investment. Customer alleged unauthorized trading and unsuitable corporate bond transactions. Adam Goodman Red Flags & Your Rights As An Investor Of course,  Adam Goodman 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 Adam Goodman at Stoever, Glass & Company Inc. and Herbert J. Sims & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Adam Goodman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stoever, Glass & Company Inc. and Herbert J. Sims & Co. Inc. 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 Stoever, Glass & Company Inc. Due To Adam Goodman If you have questions about Stoever, Glass & Company Inc., Herbert J. Sims & Co. Inc., and/or Adam Goodman 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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