Jan 20, 2022

Cynthia Cowden of NPB Financial Group, LLC

DID CYNTHIA DIANE COWDEN CAUSE YOU INVESTMENT LOSSES? Cynthia Diane Cowden Formerly with NPB Financial Group, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Cynthia D. Cowden formerly with NPB Financial Group, LLC? Cynthia Cowden (CRD #2054676) who was formerly registered with NPB Financial Group, LLC and located in Lake Isabella, California is a subject of one of our many securities industry sales practice abuse investigations.   Prior to NPB Financial Group, LLC, Cynthia Cowden was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cynthia Cowden has had her own regulatory problems.  In October 2020, without admitting or denying the FINRA findings, she entered into an agreement with the regulator to be permanently barred from any further association with any member firm in any capacity into the future.  This regulatory sanction was the result of an investigation and findings made by FINRA that Cynthia Cowden recommended unsuitable high-risk/speculative investments to 3 senior investors, including a married couple and one other investor.  The FINRA findings also included a statement that she had provided false testimony to FINRA concerning the customer’s assets and income. NPB Financial Group, LLC Broker Misconduct In her career, Cynthia Cowden 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. Three of Cynthia Cowden’s 4 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Cynthia Cowden’s former employer NPB Financial Group, LLC for investment losses caused by her alleged misconduct. Allegations Against Cynthia Cowden 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 negligence, unsuitable investment recommendations, negligent misrepresentations, intentional misrepresentations, fraud, violation of California securities laws, breach of fiduciary duty, breach of contract, and financial elder abuse in connection with REIT investments Cynthia Cowden offered and sold to the claimant. The claimant alleged misrepresentation and recommendations of unsuitable investments in Tenant in Common interests. The customer alleged Cynthia Cowden committed conversion, negligence, breach of fiduciary duty, financial elder abuse, tortious interference with the right to inherit, and fraud and deceit. The claimant alleged Cynthia’s account and engaged in unauthorized trading and/or exercise of discretion without written authorization, financial elder abuse, violation of FINRA rules relating to REIT investments. Cynthia Cowden Red Flags & Your Rights as An Investor Of course, Cynthia Cowden 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 Cynthia Cowden at NPB Financial Group, LLC on alert to review carefully the activity and performance of their accounts and question whether Cynthia Cowden has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NPB Financial Group, LLC about Cynthia Cowden 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 NPB Financial Group, LLC If you have questions about NPB Financial Group, LLC and/or Cynthia Cowdenand 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

Coleman Devlin of IFS Securities

DID COLEMAN JOSEPH DEVLIN CAUSE YOU INVESTMENT LOSSES? Coleman Joseph Devlin formerly with IFS Securities and Stifel, Nicolaus & Co., Inc. Has 18 Customer Complaints for Alleged Broker Misconduct Who is Coleman J. Devlin formerly with IFS Securities? Coleman Devlin (CRD #2317635) who was formerly registered with IFS Securities and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations.   Prior to IFS Securities, Coleman Devlin was associated with Stifel, Nicolaus & Company, Incorporated, and 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Coleman Devlin has had his share of regulatory problems with 2 suspensions by FINRA in 2003 and then again in 2017 for allegedly violating FINRA f/k/a NASD Conduct Rules.   Recently, he consented to a 30-day suspension and $5,000 fine for allegedly exercising discretion, and customer’s accounts without obtaining prior written authorization from the customers and without acceptance of the accounts as discretionary by his former employer, Stifel, Nicolaus & Company, Incorporated.  Years before, he had been suspended and fined $10,000 for recommending unsuitable and uncovered options trading to a customer and also exercising discretion in other clients’ accounts without prior written authority or acceptance of the account as discretionary by his employer.  It’s incredible that FINRA has allowed Coleman Devlin to continue to work in this industry. Stifel, Nicolaus & Co., Inc. Broker Misconduct In his career, Coleman Devlin has been the subject of 18 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Thirteen of those complaints occurred in connection with his employment at Stifel, Nicolaus & Company, Incorporated. Fourteen of Coleman Devlin’s 18 customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against Coleman Devlin’s former employer Stifel, Nicolaus & Company, Incorporated for investment losses caused by his alleged misconduct. Allegations Against Coleman Devlin 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 that Coleman Devlin executed unauthorized transactions, recommended an unsuitable investment strategy, and made misstatements and omissions. The claimant alleged fraud, breach of contract, breach of fiduciary duty, and violation of the Maryland Securities Act. Claimants alleged that Coleman Devlin over-concentrated their accounts in a narrow segment of the market. Multiple clients alleged that Coleman Devlin made unsuitable and unauthorized transactions in their accounts.  Claimants alleged that Coleman Devlin over-concentrated their accounts in aggressive and speculative securities without their authorization. Multiple clients alleged that the transactions in their accounts were not authorized and not appropriate for their investment objectives or risk levels.   The client alleged that the financial advisor made unsuitable recommendations of high-risk and volatile stocks. The client alleged unauthorized trading and churning of his account. Customers alleged that Coleman Devlin made unauthorized trades and inappropriate investments resulting in excessive and unnecessary commissions in their accounts. Claimants alleged breach of contract, selling away, professional negligence, breach of fiduciary duty, violation of the Maryland Securities Act and for over $11.5 million in damages in a case that still pent Coleman Devlin Red Flags & Your Rights as An Investor Of course, Coleman Devlin 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 Coleman Devlin at IFS Securities and Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Coleman Devlin has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Stifel, Nicolaus & Company, Incorporated 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 IFS Securities And Stifel, Nicolaus & Co., Inc.  If you have questions about IFS Securities, Stifel, Nicolaus & Company, Incorporated and/or Coleman Devlin 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

Corey Hart of Hightower Securities, LLC

DID COREY LAVERE HART CAUSE YOU INVESTMENT LOSSES? Corey Lavere Hart of Hightower Securities, LLC And Formerly with MML Investors, Services, LLC Has Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Corey L. Hart with Hightower Securities, LLC? Corey Hart (CRD #1750069) who is currently registered with Hightower Securities, LLC and located in Austin, Texas is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Hightower Securities, LLC, Corey Hart was associated with MML Investors Services, LLC and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. MML Investors Services, LLC Broker Misconduct Corey Hart has recently been identified as being the subject of a customer complaint filed in the last year to recover investment losses. The claimant’s allegations are that Corey Hart, without the claimant’s consent, reallocated his investment portfolio in 2 illiquid funds.  Corey Hart’s former employer, MML Investors, Services recently denied the complaint and the customer has yet to file his arbitration claim.  Corey Hart Red Flags & Your Rights as An Investor Of course, Corey Hart did not admit to any of the allegations. But regardless of whether an arbitration award is entered, a settlement occurs, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Corey Hart at Hightower Securities, LLC, and MML Investors Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Corey Hart has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Hightower Securities, LLC and MML Investors Services, LLC 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 Hightower Securities, LLC And MML Investors Services, LLC If you have questions about Hightower Securities, LLC, MML Investors Services, LLC, and/or Corey Hart 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

Christopher Keelin of Money Concepts Capital Corp

DID CHRISTOPHER WILLIAM KEELIN CAUSE YOU INVESTMENT LOSSES? Christopher William Keelin Of Money Concepts Capital Corp. Has Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Christopher W. Keelin with Money Concepts Capital Corp.? Christopher Keelin (CRD #1455741) who is currently registered with Money Concepts Capital Corp. and located in Alabaster, Alabama is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Money Concepts Capital Corp., Christopher Keelin was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Money Concepts Capital Corp. Broker Misconduct Christopher Keelin has recently been the subject of a customer complaint filed and settled in the last year. The allegations were that Mr. Keelin used the proceeds of a home equity loan to invest in an alternative investment with a promise the investment would generate an 8% return in dividends annually.  The investment was a private placement, GPB automotive, LLC, which is the subject of numerous customer complaints throughout the country. The customer’s claim included allegations of breach of contract, violation of state securities statutes, and claims under common law.  Christopher Keelin Red Flags & Your Rights as An Investor Of course, Christopher Keelin 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 Christopher Keelin at Money Concepts Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Christopher Keelin has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Money Concepts Capital Corp. 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 Money Concepts Capital Corp.   If you have questions about Money Concepts Capital Corp. and/or Christopher Keelinand 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

Christopher Robinson of NTB Financial Corporation

DID CHRISTOPHER NOEL ROBINSON CAUSE YOU INVESTMENT LOSSES? Christopher Noel Robinson Formerly with NTB Financial Corporation Has A Recent Customer Complaint for Alleged Broker Misconduct in the Past Year Who is Christopher N. Robinson formerly with NTB Financial Corporation? Christopher Robinson (CRD #6439636) who was formerly registered with NTB Financial Corporation and located in Colorado Springs, Colorado is a subject of one of our many securities industry sales practice abuse investigations.   NTB Financial Corporation is an investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. NTB Financial Corporation Broker Misconduct Christopher Robinson has recently become the subject of a customer complaint which was made in the last year to recover investment losses.  The customer alleged that Christopher Robinson made a series of unauthorized stock and option trades resulting in losses.  The customer complaint was recently denied by Christopher Robinson’s former employer NTB Financial Corporation for investment losses caused by his alleged misconduct and the customer has not yet filed his arbitration claim.  Christopher Robinson Red Flags & Your Rights as An Investor Of course, Christopher Robinson 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 Christopher Robinson at NTB Financial Corporation on alert to review carefully the activity and performance of their accounts and question whether Christopher Robinson has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at NTB Financial Corporation, 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 NTB Financial Corporation If you have questions about NTB Financial Corporation and/or Christopher Robinson 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

Craig Snyder of LPL Financial, LLC

DID CRAIG JAN SNYDER CAUSE YOU INVESTMENT LOSSES? Craig Jan Snyder with LPL Financial, LLC Has A Recent Customer Complaint for Alleged Broker Misconduct in the Past Year Who is Craig J. Snyder with LPL Financial, LLC? Craig Snyder (CRD #1012937) who is currently registered with LPL Financial, LLC and located in Southfield, Michigan is a subject of one of our many securities industry sales practice abuse investigations.   Prior to LPL Financial, LLC, Craig Snyder was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. LPL Financial, LLC Broker Misconduct Craig Snyder has been recently identified as being the subject of a customer made in the last year to recover investment losses.  The customer alleged that Craig Snyder made misrepresentations and unsuitable investment recommendations to purchase a non-traded and therefore illiquid REIT investment. LPL Financial, LLC recently denied the claim and the customer has not yet filed an arbitration proceeding. Craig Snyder Red Flags & Your Rights as An Investor Of course, Craig Snyder 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 Craig Snyder at LPL Financial, LLC on alert to review carefully the activity and performance of their accounts and question whether Craig Snyder has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at LPL Financial, 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 LPL Financial, LLC If you have questions about LPL Financial, LLC and/or Craig Snyder 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

Clara Tang of Cetera Investment Services, LLC

DID CLARA C. TANG CAUSE YOU INVESTMENT LOSSES? Clara C. Tang Formerly with Cetera Investment Services, LLC Has 2 Customer Complaints for Alleged Broker Misconduct Who is Clara C. Tang formerly with Cetera Investment Services, LLC? Clara Tang (CRD #4852979) who was formerly registered with Cetera Investment Services, LLC and located in Cupertino, California is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Cetera Investment Services, LLC, Clara Tang was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cetera Investment Services, LLC Broker Misconduct In her career, Clara Tang has been the subject of 2 customer complaints that we know about, one of those complaints were filed in the last 2 years to recover investment losses. One of Clara Tang’s customer complaints was settled in favor of investors.   The other customer complaint was recently denied by Cetera Investment Services, LLC, and, so far, the customer has not taken any further action. Allegations Against Clara Tang 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 Clara Tang allowed another person to forge her signature transfer funds and purchase illiquid investment products in the account. Claimants alleged unsuitable investment recommendations and breach of Clara Tang’s fiduciary duty, and elder financial abuse in connection with REIT and other business development company investments. Clara Tang Red Flags & Your Rights as An Investor Of course, Clara Tang 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 Clara Tang at Cetera Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Clara Tang has engaged in any stockbroker misconduct that may have caused them investment losses. There had been a large number of customer complaints at Cetera Investment Services, 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 Cetera Investment Services LLC If you have questions about Cetera Investment Services LLC and/or Clara Tang 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

David Wilson of Merrill Lynch, Pierce, Fenner & Smith Inc.

DID DAVID M. WILSON CAUSE YOU INVESTMENT LOSSES? David M. Wilson Of Merrill Lynch, Pierce, Fenner & Smith Incorporated And Formerly With Hancock Whitney Investment Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is David M. Wilson Of Merrill Lynch, Pierce, Fenner & Smith Incorporated? David Wilson (CRD #4766367) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Mobile, Alabama is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch, Pierce, Fenner & Smith Incorporated, David Wilson was associated with Hancock Whitney Investment Services Inc.and3other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. At the time David White resigned from his employment at Hancock Whitney Investment Services, Inc., the brokerage firm reported that it was currently investigating to matters involving retail clients that came to light shortly before his resignation. In both matters, the customers allege that they were not informed about the tax consequences of certain investment transactions. Further, the firm suspected that information David Wilson placed on firm documents to supervise the transactions was inaccurate and/or incomplete. Notwithstanding, Merrill Lynch, Pierce, Fenner & Smith Incorporated hired him anyway. Hancock Whitney Investment Services, Inc. Broker Misconduct In his career, David Wilson 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. One of David Wilson’s 3 customer complaints was settled in favor of investors. Another complaint was denied and the customer took no further action. There is currently one pending customer complaint filed against David Wilson’s former employer Hancock Whitney Investment Services, Inc., for investment losses caused by his alleged misconduct. Allegations Against David Wilson   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged that David Wilson provided them with false information in order to induce them to purchase a variable annuity. Customer alleged that the registered representative failed to place a trade as instructed. Customer alleged that she was not informed about the tax consequences associated with certain annuity transactions recommended by David Wilson. David Wilson Red Flags & Your Rights As An Investor Of course, David Wilson 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 Wilson at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Hancock Whitney Investment Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Wilson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Hancock Whitney Investment Services Inc. about David Wilson 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 Merrill Lynch, Pierce, Fenner & Smith Incorporated And Hancock Whitney Investment Services, Inc. If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated, Hancock Whitney Investment Services Inc. and/or David Wilson 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

David White of Wells Fargo Cleaning Services, LLC

DID DAVID BAKER WHITE CAUSE YOU INVESTMENT LOSSES? David Baker White with Wells Fargo Clearing Services, LLC Has 8 Customer Complaints For Alleged Broker Misconduct Who is David B. White with Wells Fargo Clearing Services, LLC? David White (CRD #2391143) who is currently registered with Wells Fargo Clearing Services, LLC and located in Southlake, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, David White was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wells Fargo Clearing Services, LLC Broker Misconduct In his career, David White has been the subject of 8 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. Six of David White’s 8 customer complaints were settled in favor of investors. Two customer complaints were denied by his current and former employers, and to date, the customers have not taken any further action. Allegations Against David White A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleged that David White should not of recommended she purchase an annuity with the proceeds of another annuity she inherited. Client alleges that she wanted conservative to moderate investments and instead David White, against or instructions put the money in aggressive high risk investments. Claimants allege that David White misrepresented the tax consequences of liquidation of an annuity. Several Claimants and separate arbitration filings alleged breach of fiduciary duty, misrepresentation, negligence, and unsuitable investment recommendations. Client alleged that her account was churned. Customers alleged that David White made several unauthorized transactions. David White Red Flags & Your Rights As An Investor Of course, David White 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 White at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether David White has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC about David White 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 Wells Fargo Clearing Services, LLC If you have questions about Wells Fargo Clearing Services, LLC and/or David White 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

David Rockwell of Cetera Advisor Networks LLC

DID DAVID AARON ROCKWELL CAUSE YOU INVESTMENT LOSSES? David Aaron Rockwell formerly with Cetera Advisor Networks LLC Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is David A. Rockwell formerly with Cetera Advisor Networks LLC? David Rockwell (CRD #4236377) who was formerly registered with Cetera Advisor Networks LLC and located in Fort Myers, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisor Networks LLC, David Rockwell was associated with Suntrust Investment Services, Inc. and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Rockwell has had his share of regulatory problems. In July 2015, it was alleged by the Florida Office of Financial Regulation that he made material false statement on his application for registration. Last year, David Rockwell failed to respond to a FINRA request for information in one of its investigations and he was initially suspended and then permanently barred in all capacities from any further employment by a FINRA member firm in the securities industry. Cetera Advisor Networks, LLC Broker Misconduct In his career, David Rockwell has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last 2 years to recover investment losses. One of David Rockwell’s 3 customer complaints was settled in favor of investors. There are currently 2 pending customer complaints filed against David Rockwell’s former employer Cetera Advisor Networks LLCfor investment losses caused by his alleged misconduct. Allegations Against David Rockwell   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleged that David Rockwell misappropriated money from his investment accounts to invest in a private security related to a company-owned by him. The complaint was settled for $215,000 by his former employer, Cetera Advisor Networks, LLC. Claimants alleges that David Rockwell obtain loans in their name was secured by their brokerage accounts without there are authorization. Client’s alleged that David Rockwell was involved in forgery and fraud regarding their accounts. David Rockwell Red Flags & Your Rights As An Investor Of course, David Rockwell 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 Rockwell at Cetera Advisor Networks LLC and Suntrust Investment Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Rockwell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks LLC in such a short period 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 Cetera Advisor Networks LLC If you have questions about Cetera Advisor Networks LLC, Suntrust Investment Services, Inc. and/or David Rockwell 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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