Mark Trewitt of VFG Securities, Inc.

DID MARK ANDREW TREWITT CAUSE YOU INVESTMENT LOSSES? Mark Andrew Trewitt Formerly With VFG Securities, Inc. And Madison Avenue Securities, Inc. Has 19 Customer Complaints For Alleged Broker Misconduct Who is Mark A. Trewitt formerly with VFG Securities, Inc., and Madison Avenue Securities, Inc.? Mark Trewitt (CRD #1364490) who was formerly registered with VFG Securities, Inc. and located in Plano, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to VFG Securities, Inc., Mark Trewitt was associated with Niagara International Capital Limited and 8 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Trewitt has had his own regulatory problems. In 2019, a complaint was made to the Texas State Securities Board about his recommendations to clients to invest in non-listed REITs and business development companies and private placements that were unsuitable investment recommendations to many clients. Shortly thereafter, the financial advisor sought registration in the State of Texas with another company. An agreement was made where by Mark Trewitt’s application to be registered as an investment advisor was granted, but on the condition he enter into an agreement with the State of Texas that included a 90 day suspension. VFG Securities, Inc. And Madison Avenue Securities, Inc. Broker Misconduct In his career, Mark Trewitt has been the subject of 19 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. Fourteen of Mark Trewitt’s customer complaints were settled in favor of investors. There are currently 4 pending customer complaints filed against Mark Trewitt’s former employers VFG Securities, Inc. and/or Madison Avenue Securities, Inc. for investment losses caused by his alleged misconduct. Allegations Against Mark Trewitt   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged that Mark Trewitt recommended an unsuitable over-concentration of alternative investments in his portfolio. Products included variable annuities, direct investments, and private placements in the equipment leasing, oil and gas, and real estate sectors. Claimants alleged negligence and breach of fiduciary duty against Mark Trewitt for making unsuitable investment recommendations alternative investments. Claimant alleged Mark Trewitt was negligent and breached his fiduciary duty related to recommendations to invest in non-traded REITs. Claimant alleged Mark Trewitt made misrepresentations and unsuitable investment recommendations relating multiple alternative investments in his portfolio. Claimants allege breach of fiduciary duty, and breach of contract and negligence pertaining to the recommendation and sales of oil and gas investments. Claimants allege negligence, breach of fiduciary duty in relation to unsuitable investment recommendations to invest in a variety of private placements. Claimants allege that Mark Trewitt made misrepresentations concerning the safety of the investment strategy. Claimant alleged that he was misled by Mark Trewitt to invest in non-traded REITs and private placements. Mark Trewitt Red Flags & Your Rights As An Investor Of course, Mark Trewitt 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 Mark Trewitt at VFG Securities, Inc. and Niagara International Capital Limited on alert to review carefully the activity and performance of their accounts and question whether Mark Trewitt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at VFG Securities, Inc. and Madison Avenue Securities, Inc. 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 VFG Securities, Inc., and Madison Avenue Securities, Inc. If you have questions about VFG Securities, Inc., Niagara International Capital Limited and/or Mark Trewitt 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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Joseph Roop of Dempsey Lord Smith, LLC

DID JOSEPH PATRICK ROOP CAUSE YOU INVESTMENT LOSSES? Joseph Patrick Roop Of Dempsey Lord Smith, LLC And Formerly With Kalos Capital, Inc. Has 9 Customer Complaints For Alleged Broker Misconduct Who is Joseph P. Roop with Dempsey Lord Smith, LLC? Joseph Roop (CRD #2774470) who is currently registered with Dempsey Lord Smith, LLC and located in Belmont, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Dempsey Lord Smith, LLC, Joseph Roop was associated with Kalos Capital, Inc. and 8 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Dempsey Lord Smith, LLC And Kalos Capital, Inc. Broker Misconduct In his career, Joseph Roop has been the subject of 9 customer complaints that we know about, 4 of those complaints were filed in the last year to recover investment losses. Eight of Joseph Roop’s 9 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Joseph Roop’s former employer Kalos Capital, Inc. for investment losses caused by his alleged misconduct. Allegations Against Joseph Roop A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged Joseph Roop failed to conduct reasonable due diligence, made misrepresentations, and recommended an investment portfolio comprised of speculative private placements offered by GPB Capital Holdings, LLC. Client alleged that Joseph Roop made unsuitable investment recommendations to invest in alternative investments such as REITs and other securities in the oil and gas sector. Client alleged that Joseph Roop made unsuitable investment recommendations to invest in the REITs and business development companies and sold securities in the State of Alabama where he was not registered.  Customer alleged unsuitable investment recommendations, misrepresentations, and excessive trading of options in a margin account. Client alleged that Joseph Roop made unsuitable investment recommendations to invest in equity products and options. Client alleged unsuitable option trading in his account. Joseph Roop Red Flags & Your Rights As An Investor Of course, Joseph Roop 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 Joseph Roop at Dempsey Lord Smith, LLC and Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether Joseph Roop has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kalos Capital, Inc. 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 Dempsey Lord Smith, LLC And Kalos Capital, Inc. If you have questions about Dempsey Lord Smith, LLC, Kalos Capital, Inc. and/or Joseph Roop 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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Mark Reffett of Arkadios Capital

DID MARK ALEXANDER REFFETT CAUSE YOU INVESTMENT LOSSES? Mark Alexander Reffett Of Arkadios Capital Has One Recent Customer Complaint For Alleged Broker Misconduct Who is Mark A. Reffett with Arkadios Capital? Mark Reffett (CRD #5894110) who is currently registered with Arkadios Capital and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Arkadios Capital, Mark Reffett was associated with Triad Advisors, LLC another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Triad Advisors, LLC Broker Misconduct Mark Reffett has recently been identified as the subject of a customer filed in the last year against his former employer, Triad Advisors, LLC to recover investment losses. The allegations are that Mark Reffett made unsuitable investment recommendations to pursue a strategy of investing in alternative investments in the real estate sector. The customer complaint filed against Mark Reffett’s former employer, Triad Advisors, LLC for investment losses caused by his alleged misconduct remains pending. Mark Reffett Red Flags & Your Rights As An Investor Of course, Mark Reffett 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 Mark Reffett at Arkadios Capital and Triad Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Reffett has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arkadios Capital and Triad Advisors, 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 Arkadios Capital And Triad Advisors, LLC If you have questions about Arkadios Capital, Triad Advisors, Inc. and/or Mark Reffett 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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Allen Neuenschwander of G.F. Investment Services, LLC

DID MICHAEL ALLEN NEUENSCHWANDER CAUSE YOU INVESTMENT LOSSES? Michael Allen Neuenschwander Formerly With G.F. Investment Services, LLC Has One Customer Complaint For Alleged Broker Misconduct In the Past 2 Years Who is Michael A. Neuenschwander formerly with G.F. Investment Services, LLC? Michael Neuenschwander (CRD #4212297) who was formerly registered with G.F. Investment Services, LLC and located in Shenandoah, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to G.F. Investment Services, LLC, Michael Neuenschwander was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Neuenschwander is currently the subject of an investigation by the Texas State Securities Board relating to REIT investments. G.F. Investment Services, LLC Broker Misconduct Michael Neuenschwander is also the subject of a customer complaint that was filed in the last 2 years to recover investment losses. The customer complaint alleges unsuitable investment recommendations of REITs. The customer complaints filed against Michael Neuenschwander’s former employer G.F. Investment Services, LLC for investment losses caused by his alleged misconduct is still pending. Michael Neuenschwander Red Flags & Your Rights As An Investor Of course, Michael Neuenschwander 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 Neuenschwander at G.F. Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Michael Neuenschwander has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at G.F. Investment Services, LLC 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 G.F. Investment Services, LLC If you have questions about G.F. Investment Services, LLC and/or Michael Neuenschwander 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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Michael Maloney of First Allied Securities, Inc.

DID MICHAEL PATRICK MALONEY CAUSE YOU INVESTMENT LOSSES? Michael Patrick Maloney Formerly With First Allied Securities, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Michael P. Maloney formerly with First Allied Securities, Inc.? Michael Maloney (CRD #2371261) who was formerly registered with First Allied Securities, Inc. and located in Surprise, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Allied Securities, Inc., Michael Maloney was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. First Allied Securities, Inc. Broker Misconduct In his career, Michael Maloney has been the subject of 3 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. One of Michael Maloney’s 3 customer complaints was settled in favor of investors. There are currently 2 pending customer complaints, one of which was an arbitration claim filed against Michael Maloney’s former employer First Allied Securities, Inc. for investment losses caused by his alleged misconduct and the other is a court proceeding involving a Multi-Financial Securities Corporation insurance matter.  Allegations Against Michael Maloney   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged Michael Maloney committed negligence, misrepresentation, fraud in connection with the offer and sale of three ING variable annuities. Claimants alleged that their financial advisor Michael Maloney made unsuitable investment recommendations to invest in direct investments in the real estate sector. Plaintiff alleged breach of contract and misrepresentation, as well as breach of fiduciary duty in connection with an insurance policy in the Arizona state courts. Michael Maloney Red Flags & Your Rights As An Investor Of course, Michael Maloney 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 Maloney at First Allied Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Michael Maloney has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at First Allied Securities, Inc. which 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. If you have questions about First Allied Securities, Inc. and/or Michael Maloney 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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Michael Lucia of Brokers International Financial Services, LLC

DID MICHAEL JOSEPH LUCIA CAUSE YOU INVESTMENT LOSSES? Michael Joseph Lucia Of Brokers International Financial Services, LLC And Formally With H. Beck, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Michael J. Lucia with Brokers International Financial Services, LLC? Michael Lucia (CRD #2229559) who is currently registered with Brokers International Financial Services, LLC and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Brokers International Financial Services, LLC, Michael Lucia was associated with H. Beck, Inc. and 12 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. H. Beck, Inc. Broker Misconduct In his career, Michael Lucia has been the subject of 3 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. One of Michael Lucia’s 3 customer complaints was settled by his former employer Securities America in favor of investors. The other two complaints arose in connection with his employment at H. Beck, Inc. There is currently one pending customer complaint filed against Michael Lucia’s former employer H. Beck, Inc. for investment losses caused by his alleged misconduct. Allegations Against Michael Lucia A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged that Michael Lucia made unsuitable investment recommendations to invest in REITs and business development companies. Client alleged unsuitable investment recommendations to invest in direct investments. Customer alleged that Michael Lucia made unauthorized and unsuitable transactions. Michael Lucia Red Flags & Your Rights As An Investor Of course, Michael Lucia 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 Lucia at Brokers International Financial Services, LLC and H. Beck, Inc. on alert to review carefully the activity and performance of their accounts and question whether Michael Lucia has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Brokers International Financial Services, LLC and H. Beck, 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 Brokers International Financial Services, LLC And H. Beck, Inc. If you have questions about Brokers International Financial Services, LLC, H. Beck, Inc. and/or Michael Lucia 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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Lisa Jackson of Avantax Investment Services, Inc.

DID LISA SUE JACKSON CAUSE YOU INVESTMENT LOSSES? Lisa Sue Jackson Of Avantax Investment Services, Inc., and Formerly With 1st Global Capital Corp. Has A Recent Customer Complaint For Alleged Broker Misconduct In the Past Year Who is Lisa S. Jackson with Avantax Investment Services, Inc.? Lisa Jackson (CRD #4040674) who is currently registered with Avantax Investment Services, Inc. and located in Phoenix, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to Avantax Investment Services, Inc., Lisa Jackson was associated with 1st Global Capital Corp. and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. 1st Global Capital Corp. Broker Misconduct Lisa Jackson has been named as the subject of a customer complaint filed in the last year against her former employer 1st Global Capital Corp. to recover investment losses. The allegations are that she made misrepresentations and unsuitable investment recommendations to invest in REITs. The arbitration claim filed against Lisa Jackson’s former employer 1st Global Capital Corp. for investment losses caused by her alleged misconduct remains pending. Lisa Jackson Red Flags & Your Rights As An Investor Of course, Lisa Jackson 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 Lisa Jackson at Avantax Investment Services, Inc. and 1st Global Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Lisa Jackson has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Avantax Investment Services, Inc. and 1st Global Capital Corp. which 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 Avantax Investment Services, Inc. And 1st Global Capital Corp. If you have questions about Avantax Investment Services, Inc., 1st Global Capital Corp. and/or Lisa Jackson 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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Kristine Howell of Sigma Financial Corporation

DID KRISTINE ELIZABETH HOWELL CAUSE YOU INVESTMENT LOSSES? Kristine Elizabeth Howell with Sigma Financial Corporation Has One Customer Complaint For Alleged Broker Misconduct In the Past Year Who is Kristine E. Howell with Sigma Financial Corporation? Kristine Howell (CRD #2214295) who is currently registered with Sigma Financial Corporation and located in Chesterfield, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to Sigma Financial Corporation, Kristine Howell was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sigma Financial Corporation Broker Misconduct Kristine Howell was named as the subject of a customer complaints filed in September last year to recover investment losses. The allegations are that Kristine Howell made unsuitable investment recommendations to our client to invest in alternative investments, including, the variable annuities and direct investments in the real estate sector. Claimant alleges $5 million in damages. The customer complaint filed against Kristine Howell’s current employer Sigma Financial Corporation for investment losses caused by her alleged misconduct is still pending. Kristine Howell Red Flags & Your Rights As An Investor Of course, Kristine Howell 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 Kristine Howell at Sigma Financial Corporation on alert to review carefully the activity and performance of their accounts and question whether Kristine Howell has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Sigma Financial Corporation, which 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 Sigma Financial Corporation If you have questions about Sigma Financial Corporation and/or Kristine Howell 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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Myron Erstad of Triad Advisors LLC

DID MYRON DALE ERSTAD CAUSE YOU INVESTMENT LOSSES? Myron Dale Erstad with Triad Advisors LLC Has One Customer Complaint For Alleged Broker Misconduct In the Past 2 Years Who is Myron D. Erstad with Triad Advisors LLC? Myron Erstad (CRD #4771925) who is currently registered with Triad Advisors LLC and located in Mankato, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Prior to Triad Advisors LLC, Myron Erstad was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Triad Advisors LLC Broker Misconduct Myron Erstad was recently the subject of a customer complaint that that was filed in the last 2 years to recover investment losses. The customer complaint was about Myron Erstad’s recommendation of unsuitable alternative direct investments in the real estate sector. The customers’ complaint was settled in favor of the investors by his current employer Triad Advisors LLC . Myron Erstad Red Flags & Your Rights As An Investor Of course, Myron Erstad 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 Myron Erstad at Triad Advisors LLC on alert to review carefully the activity and performance of their accounts and question whether Myron Erstad has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Triad Advisors LLC which 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 Triad Advisors LLC If you have questions about Triad Advisors LLC and/or Myron Erstad 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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Kenneth Barroga of Crown Capital Securities, L.P.

DID KENNETH JAMES BARROGA CAUSE YOU INVESTMENT LOSSES? Kenneth James Barroga formerly with Crown Capital Securities, L.P. Has 5 Customer Complaints For Alleged Broker Misconduct Who is Kenneth J. Barroga formerly with Crown Capital Securities, L.P.? Kenneth Barroga (CRD #2288752) who was formerly registered with Crown Capital Securities, L.P. and located in Watsonville, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Crown Capital Securities, L.P., Kenneth Barroga was associated with 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Crown Capital Securities, L.P. Broker Misconduct In his career, Kenneth Barroga has been the subject of 5 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. In November 2019, an arbitration award was entered against Kenneth Barroga and in favor of one of the investors who filed a complaint and received an award of $90,000 in compensatory damages, plus $36,000 in attorney’s fees. Three of Kenneth Barroga’s 5 other customer complaints were settled in favor of investors.  Allegations Against Kenneth Barroga   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged Kenneth Barroga committed fraud, made negligent misrepresentations, breached his fiduciary duty, negligence, elder financial abuse, and violations of the Consumer Legal Remedies Act under California law. Customer alleged Kenneth Barroga made unsuitable investment recommendations and breach of his fiduciary duty, misrepresentation, omissions of the facts and lack of due diligence in connection with alternative investment products offered and sold by financial advisor. Client alleged Kenneth Barroga made misrepresentations in connection with bond transactions. Client alleged Kenneth Barroga made misrepresentations in connection with variable annuity transactions. Claimant alleged Kenneth Barroga failed to follow his instructions to liquidate securities. Kenneth Barroga Red Flags & Your Rights As An Investor Of course, Kenneth Barroga 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 Kenneth Barroga at Crown Capital Securities, L.P. on alert to review carefully the activity and performance of their accounts and question whether Kenneth Barroga has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Crown Capital Securities, L.P. 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 Crown Capital Securities, L.P. If you have questions about Crown Capital Securities, L.P. and/or Kenneth Barroga and the management or performance of your accounts, to please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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