Jan 20, 2022

Andrew Vitek of Janney Montgomery Scott, LLC

DID ANDREW S. VITEK JR CAUSE YOU INVESTMENT LOSSES? Andrew S. Vitek Jr with Janney Montgomery Scott, LLC And Formerly with Wells Fargo Clearing Services Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Andrew S. Vitek Jr with Janney Montgomery Scott, LLC? Andrew Vitek (CRD #2305884) who is currently registered with Janney Montgomery Scott, LLC and located in Wyncote, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.   Prior to with Janney Montgomery Scott, LLC, Andrew Vitek was associated with Wells Fargo Clearing Services, LLC and 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Janney Montgomery Scott, LLC And Wells Fargo Broker Misconduct In his career, Andrew Vitek has been the subject of 3 customer complaints that we know about, two of those complaints were filed in the last 2 years to recover investment losses. One of Andrew Vitek’s 3 customer complaints was settled in favor of investors.  One customer complaint was denied by his former employer, Wells Fargo, and the customer took no further action.  There is still one pending customer complaints filed against Andrew Vitek’s former employer, Wells Fargo Clearing Services, LLC for investment losses caused by his alleged misconduct. Allegations Against Andrew Vitek A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleged that Andrew Vitek made unsuitable investment recommendations and overcharged her financial advisory fees. The client alleged that Andrew Vitek made unauthorized purchases of shares of BP common stock. Claimant alleged that the financial advisor-sold securities in her account and then purchased investments that were unsuitable, including structured products, C share mutual funds, and speculative stocks. Andrew Vitek Red Flags & Your Rights as An Investor Of course, Andrew Vitek 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 that should put all current and former customers of Andrew Vitekat Janney Montgomery Scott, LLC and Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Andrew Vitekhas engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints about Andrew Vitek at Janney Montgomery Scott, LLC and Wells Fargo Clearing Services, LLC also raises questions about their 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 Janney Montgomery Scott, LLC And Wells Fargo Clearing Services, LLC If you have questions about Janney Montgomery Scott, LLC, Wells Fargo Clearing Services, LLC, and/or Andrew Vitekand 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

Anthony Vultaggio of American Capital Partners, LLC

DID ANTHONY VULTAGGIO JR CAUSE YOU INVESTMENT LOSSES? Anthony Vultaggio Jr formerly with American Capital Partners, LLC Has to Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Anthony Vultaggio Jr formerly with American Capital Partners, LLC? Anthony Vultaggio (CRD #5292477) who was formerly registered with American Capital Partners, LLC and located in East Meadow, New York is a subject of one of our many securities industry sales practice abuse investigations.   Anthony Vultaggio has had regulatory problems. In September 2017, FINRA commenced an investigation about his alleged did undisclosed offering of securities through an undisclosed outside business without prior notice or consent from his member firm and he refused to appear for FINRA requested on-the-record testimony.  He entered into an Acceptance, Waiver, and Consent (AWC) agreement, without admitting or denying the findings, and consented to a permanent bar from any further association in the securities industry with any member firm in any capacity. American Capital Partners, LLC Broker Misconduct In his career, Anthony Vultaggio has been the subject of2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses.   Both are currently pending customer complaints filed against Anthony Vultaggio’s former employer American Capital Partners, LLC for investment losses caused by his alleged misconduct. The alleged damages in each complaint or $1 million and $700,000. Allegations Against Anthony Vultaggio The allegations made in the FINRA reported arbitration pending complaints about investment losses are for Anthony Vultaggio’s alleged offer and sale of private placement investments.  According to the allegations, his former employer, American Capital Partners, LLC did not know of or approve the private placement investments.  This former stockbroker misconduct is commonly referred to as “selling away” and a violation of FINRA rules. Anthony Vultaggio Red Flags & Your Rights as An Investor Of course, Anthony Vultaggio 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 Anthony Vultaggio at American Capital Partners, LLC alert to review carefully the activity and performance of their accounts and question whether Anthony Vultaggio has engaged in any stockbroker misconduct that may have caused them investment losses. The two “selling away” customer complaints at American Capital Partners, 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 American Capital Partners, LLC If you have questions about American Capital Partners, LLC and/or Anthony Vultaggioand 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

Frank Avallone of National Securities Corporation

DID FRANK LOUIS AVALLONE CAUSE YOU INVESTMENT LOSSES? Frank Louis Avallone with National Securities Corporation Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Frank L. Avallone with National Securities Corporation? Frank Avallone (CRD #4814368) who is currently registered with National Securities Corporation and located in South Norwalk, Connecticut is a subject of one of our many securities industry sales practice abuse investigations.   Prior to National Securities Corporation, Frank Avallone was associated with Newbridge Securities Corporation and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. National Securities Corporation Broker Misconduct In his career, Frank Avallone has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Two of Frank Avallone’s 4 customer complaints were settled in favor of investors. One of the customer complaints was recently denied by his current employer, and to date, the customer is not taking any further action There is currently one pending customer complaint filed against Frank Avallone’s current employer National Securities Corporation for investment losses caused by his alleged misconduct. Allegations Against Frank Avallone   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged unsuitable investment recommendations, breach of, churning, violation of FINRA conduct rules connection with over-the-counter common stock and the trust fund transactions. The customer alleged that Frank Avallone in unsuitable investment recommendations and churned his account. The customer alleged that Frank Avallone an unsuitable recommendation to invest in a private placement. Claimant alleged unsuitable over-the-counter stock investment recommendations. Frank Avallone Red Flags & Your Rights As An Investor Of course, Frank Avallone 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 that should put all current and former customers of Frank Avallone at National Securities Corporation and Newbridge Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Frank Avallone has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at National Securities Corporation 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 National Securities Corporation If you have questions about National Securities Corporation, Newbridge Securities Corporation, and/or Frank Avalloneand 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

Douglas Bray of J.P. Morgan Securities, LLC

DID DOUGLAS M. BRAY CAUSE YOU INVESTMENT LOSSES? Douglas M. Bray with J.P. Morgan Securities, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Douglas M. Bray with J.P. Morgan Securities, LLC? Douglas Bray (CRD #2907254) who is currently registered with J.P. Morgan Securities, LLC and located in Madison, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations.   Prior to J.P. Morgan Securities LLC, Douglas Bray has associated with6other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. J.P. Morgan Securities, LLC Broker Misconduct In his career, Douglas Bray has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. Both of the complaints were recently denied by Mr. Bray and his employer, and to date, the customers have not taken any further action. Allegations Against Douglas Bray A sample of the allegations made in the FINRA reported customer complaints for investment losses are as follows: The client alleged unsuitable recommendations in connection with a managed account. The client alleged misappropriation of funds. Douglas Bray Red Flags & Your Rights As An Investor Of course, Douglas Bray 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 Bray at J.P. Morgan Securities, LLC alert to review carefully the activity and performance of their accounts and question whether Douglas Brayhas engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at J.P. Morgan Securities, LLC about Douglas Bray such a short period of time 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 J.P. Morgan Securities LLC   If you have questions about J.P. Morgan Securities, LLC and/or Douglas Bray 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

Edward Delaney of Edward Jones

DID EDWARD M. DELANEY CAUSE YOU INVESTMENT LOSSES? Edward M. Delaney with Edward Jones Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Edward M. Delaney with Edward Jones? Edward Delaney (CRD #2946899) who is currently registered with Edward Jones and located in Hillsboro, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Edward Jones is an investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Edward Jones Broker Misconduct In his career, Edward Delaney has been the subject of 5 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Three of Edward Delaney’s 5 customer complaints were settled in favor of investors. The other 2 complaints were denied and the customer did not take any further action.  Allegations Against Edward Delaney A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Two clients separately alleged that the financial advisor did not liquidate his equities as instructed. Clients alleged that they, Edward Delaney misrepresented sales charges with respect to mutual fund transactions and engaged in the switching of mutual funds in their accounts without any reasonable basis. The client alleged that Edward Delaney “pushed” pushed him to invest in a different Putnam fund over his objections. Edward Delaney Red Flags & Your Rights as An Investor Of course, Edward Delaney 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 Edward Delaney at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Edward Delaney has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Edward Jones also raises questions about 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 Edward Jones If you have questions about Edward Jones and/or Edward Delaney 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

Gabriel Gulotta of BBVA Securities, Inc

DID GABRIEL N. GULOTTA CAUSE YOU INVESTMENT LOSSES? Gabriel N. Gulotta with BBVA Securities, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Gabriel N. Gulotta with BBVA Securities, Inc.? Gabriel Gulotta (CRD #4740700) who is currently registered with BBVA Securities, Inc. and located in Galveston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to BBVA Securities, Inc., Gabriel Gulotta was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. BBVA Securities, Inc. Broker Misconduct In his career, Gabriel Gulotta has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. Both complaints were denied by BBVA Securities, Inc., and to date, the customers have not taken any further action. Allegations Against Gabriel Gulotta A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customers alleged that the financial advisor made unsuitable recommendations of the 1035 fixed index annuity exchange transaction. The customer alleged that Gabriel Gulotta misrepresented the features of the variable annuity investment made as part of a 1035 exchange transaction. Gabriel Gulotta Red Flags & Your Rights as An Investor Of course, Gabriel Gulotta 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 that should put all current and former customers of Gabriel Gulotta at BBVA Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Gabriel Gulotta has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at BBVA Securities, Inc. also raises questions about 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 BBVA Securities Inc. If you have questions about BBVA Securities, Inc. and/or Gabriel Gulottaand 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

Emmett Johnson of LPL Financial, LLC

DID EMMETT ANDREW JOHNSON CAUSE YOU INVESTMENT LOSSES? Emmett Andrew Johnson formerly with LPL Financial, LLC Has 5 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Emmett A. Johnson formerly with LPL Financial, LLC? Emmett Johnson (CRD #2433014) who was formerly registered with LPL Financial, LLC and located in Austin, Texas is a subject of one of our many securities industry sales practice abuse investigations.   Prior to LPL Financial, LLC, Emmett Johnson was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.   Emmett Johnson was terminated by LPL Financial, LLC over concerns relating to his unit investment trust and mutual fund transaction sales practices. LPL Financial, LLC Broker Misconduct In his career, Emmett Johnson has been the subject of 5 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses.  Two of those customers file the arbitration claims against Emmett Johnson’s employer and himself and obtained arbitration awards in their favor. Two of Emmett Johnson’s 5customer complaints were settled by Pension Mark Financial Group, LLC in favor of investors. One customer complaint filed against Emmett Johnson’s former employer LPL Financial, LLC for investment losses caused by his alleged misconduct was denied by the firm and luckily for the firm the customer took no further action as it probably related to the unsuitable mutual fund transactions for which he was terminated. Allegations Against Emmett Johnson A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleged breach of fiduciary duty, negligence, misrepresentations, fraud unsuitable investment recommendations, and churning related to variable annuity and other stock transactions. The claimant alleged unsuitable investment recommendations, churning, and materials for the delay in the stocks, and annuities, and mutual fund transactions. The claimant alleged that Emmett Johnson gave them investment advice and made unsuitable recommendations. The customer alleged that Emmett Johnson had LPL Financial, LLC made unsuitable mutual fund investment recommendations. Emmett Johnson Red Flags & Your Rights as An Investor Of course, Emmett Johnson 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. These red flags should put all current and former customers of Emmett Johnson at LPL Financial, LLC on alert to review carefully the activity and performance of their accounts and question whether Emmett Johnson has engaged in any stockbroker misconduct that may have caused them investment losses. 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 If you have questions about LPL Financial, LLC and/or Emmett Johnson 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

Felipe Lopes of XP Investments US, LLC

DID FELIPE SEBE LOPES CAUSE YOU INVESTMENT LOSSES? Felipe Sebe Lopes with XP Investments US, LLC Has 3 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Felipe S. Lopes with XP Investments US, LLC? Felipe Lopes (CRD #6717350) who is currently registered with XP Investments US, LLC and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Prior to XP Investments US, LLC, Felipe Lopes was associated with 6other investment advisory and brokerage firms in Brazil with a history of customer complaints and securities industry regulatory problems. XP Investments US, LLC Broker Misconduct In his career, Felipe Lopes has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. All of Felipe Lopes’ customer complaints were settled in favor of investors.  The firm settled those disputes in one case for the full amount of damages. Allegations Against Felipe Lopes A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged that Felipe Lopes recommended an unsuitable alternative investment. The client alleged that Felipe Lopes recommended an alternative investment without fully disclosing the risks, including the illiquidity of the investment recommended. Felipe Lopes Red Flags & Your Rights As An Investor Of course, Felipe Lopes 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 that should put all current and former customers of Felipe Lopes at XP Investments US, LLC on alert to review carefully the activity and performance of their accounts and question whether Felipe Lopeshas engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at XP Investments US, LLC in such a short period of time 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 XP Investments US, LLC   If you have questions about XP Investments US, LLC and/or Felipe Lopesand 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

Eric Rapczyk of National Securities Corporation

DID ERIC FRANCIS RAPCZYK CAUSE YOU INVESTMENT LOSSES? Eric Francis Rapczyk with National Securities Corporation Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Eric F. Rapczyk with National Securities Corporation? Eric Rapczyk (CRD #4842264) who is currently registered with National Securities Corporation and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to National Securities Corporation, Eric Rapczyk was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. National Securities Corporation Broker Misconduct In his career, Eric Rapczyk has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. There are currently two pending customer complaints filed against Eric Rapczyk’s current employer National Securities Corporation for investment losses caused by his alleged misconduct. Allegations Against Eric Rapczyk A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged unauthorized trading in over-the-counter stocks in his account. To customers and separate arbitrations filed against Eric Rapczyk alleged that he made unsuitable recommendations to them to invest in private placements. Eric Rapczyk Red Flags & Your Rights as An Investor Of course, Eric Rapczyk 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 Eric Rapczyk at National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Eric Rapczyk has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at National Securities Corporation in such a short period of time 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 National Securities Corporation If you have questions about National Securities Corporation and/or Eric Rapczyk 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

Eladio Santiago of Cambridge Investment Research, Inc

DID ELADIO ARTURO SANTIAGO CAUSE YOU INVESTMENT LOSSES? Eladio Arturo Santiago Of Cambridge Investment Research, Inc. And Formerly UBS Financial Services, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Eladio A. Santiago with Cambridge Investment Research, Inc.? Eladio Santiago (CRD #3060628) who is currently registered with Cambridge Investment Research, Inc. and located in Fulton, Maryland is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Cambridge Investment Research, Inc., Eladio Santiago was associated with UBS Financial Services Inc. and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services, Inc. Broker Misconduct In his career, Eladio Santiago has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. Two of Eladio Santiago’s 3 customer complaints were settled by UBS Financial Services, Inc. in favor of investors. Allegations Against Eladio Santiago   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customers alleged unsuitable transactions in their accounts. Two claimants and separate arbitration proceedings alleged unsuitable investment recommendations and mismanagement of their accounts. Eladio Santiago Red Flags & Your Rights as An Investor Of course, Eladio Santiago 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 that should put all current and former customers of Eladio Santiagoat Cambridge Investment Research, Inc. and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Eladio Santiagohas 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 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 Cambridge Investment Research, Inc.  And UBS Financial Services, Inc. If you have questions about Cambridge Investment Research, Inc., UBS Financial Services Inc., and/or Eladio Santiago 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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