Jan 20, 2022

Wesley Sorensen of Principal Securities, Inc.

DID WESLEY RYON SORENSEN CAUSE YOU INVESTMENT LOSSES? Wesley Ryon Sorensen Formerly With Principal Securities, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Wesley R. Sorensen? Wesley Sorensen (CRD #4796735) who is currently registered with LPL Financial LLC and located in Hurst, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Wesley Sorensen was associated with Principal Securities, Inc. and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Principal Securities Broker Misconduct In his career, Wesley Sorensen has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last two years to recover investment losses. All of those complaints were settled against Wesley Sorensen’s current employer Principal Securities, Inc. for investment losses caused by his alleged misconduct. The only allegations made in the FINRA reported arbitration claim settlements are that variable annuity told to the customers were unsuitable. Wesley Sorensen Red Flags & Your Rights As An Investor Of course, Wesley Sorensen 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 Wesley Sorensen at LPL Financial LLC and Principal Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Wesley Sorensen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Principal 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 LPL Financial LLC And Principal Securities, Inc. If you have questions about LPL Financial LLC, Principal Securities, Inc. and/or Wesley Sorensen 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

Ryan Tarjanyi of Trustmont Financial Group, Inc.

DID RYAN OWEN TARJANYI CAUSE YOU INVESTMENT LOSSES? Ryan Owen Tarjanyi formerly with Trustmont Financial Group, Inc. and Bankers Life Securities, Inc. Has 6 Customer Complaints For Alleged Broker Misconduct Who is Ryan O. Tarjanyi formerly with Trustmont Financial Group, Inc. and Bankers Life Securities, Inc.? Ryan Tarjanyi (CRD #6065805) who was formerly registered with Trustmont Financial Group, Inc. and located in Greensburg, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Trustmont Financial Group, Inc., Ryan Tarjanyi was associated with Bankers Life Securities, Inc. and another investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ryan Tarjanyi has had his share of regulatory problems as well. In September this year, FINRA made a determination that a disciplinary action be brought against him for allegedly violating FINRA Rules 2150(a) and 2010 by allegedly falsifying documents, client signatures and misrepresenting the terms of an insurance policy. FINRA further alleged that he violated FINRA Rule 8210 by allegedly providing false testimony during an investigation. Bankers Life Securities, Inc.  Broker Misconduct In his career, Ryan Tarjanyi has been the subject of 6 customer complaints that we know about, 3 of those complaints were filed in the last two years to recover investment losses. Four of Ryan Tarjanyi’s 6 customer complaints were settled in favor of investors. Two of the customer complaints were denied by his former employer, and to date, the customers have not taken any further action. All of the customer complaints arise out of his employment with Allegations Against Ryan Tarjanyi 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 she did not sign up for an insurance policy and asked to have the policy canceled. As part of the firm’s investigation of the complaint, it discovered the check used the fund. The insurance policy was endorsed by a different client. After further review, the firm’s special investigative unit concluded it was a possible forgery and refunded the customers money. Clients alleged that they had purchased 5 separate annuities from Ryan Tarjanyi in a tax-free exchange and discovered it was taxable. Further, clients alleged that they were not advised of the surrender fees. Moreover, clients allege that the financial advisor misrepresented the characteristics of the annuities sold to them. Client alleged that approximately $3,000 from one of her accounts in order to fund a life insurance policy. Further, that her signature was forged on the policy documents. Client alleged that Ryan Tarjanyi forged a signature on an index annuities surrendered document. Ryan Tarjanyi Red Flags & Your Rights As An Investor Of course, Ryan Tarjanyi 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 Ryan Tarjanyi at Trustmont Financial Group, Inc. and Bankers Life Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Ryan Tarjanyi has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about Ryan Tarjanyi at Bankers Life 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 Trustmont Financial Group, Inc.  And Bankers Life Securities, Inc. If you have questions about Trustmont Financial Group, Inc., Bankers Life Securities, Inc. and/or Ryan Tarjanyi 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

Mitchell Voss of Mutual Securities, Inc.

DID MITCHELL CRAIG VOSS CAUSE YOU INVESTMENT LOSSES? Mitchell Craig Voss with Mutual Securities, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Mitchell C. Voss with Mutual Securities, Inc.? Mitchell Voss (CRD #1029100) who is currently registered with Mutual Securities, Inc. and located in Camarillo, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Mutual Securities, Inc., Mitchell Voss was associated with 10 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mutual Securities, Inc. Broker Misconduct In his career, Mitchell Voss has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last two years to recover investment losses. All three are customer complaints filed against Mitchell Voss current employer Mutual Securities, Inc. for investment losses caused by his alleged misconduct are currently pending. Allegations Against Mitchell Voss The allegations made in the FINRA reported arbitration claims and pending complaints for investment losses are as follows: Claimants have alleged that the officers and directors of mutual securities are responsible as “control persons” for the violations of registered investment advisors purportedly managed their accounts. Mitchell Voss denies the allegations. Mitchell Voss Red Flags & Your Rights As An Investor Of course, Mitchell Voss 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 Mitchell Voss at Mutual Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Mitchell Voss has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Mutual 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 Mutual Securities, Inc.   If you have questions about Mutual Securities, Inc. and/or Mitchell Voss 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 Balmes of Moloney Securities Co., Inc.

DID EDWARD JAMES BALMES CAUSE YOU INVESTMENT LOSSES? Edward James Balmes with Moloney Securities Co., Inc.  Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Edward J. Balmes with Moloney Securities Co., Inc.? Edward Balmes (CRD #2110152) who is currently registered with Moloney Securities Co., Inc. and located in Chesterfield, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to Moloney Securities Co., Inc., Edward Balmes was associated with another investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Moloney Securities Co., Inc. Broker Misconduct In his career, Edward Balmes has been the subject of 2 customer complaints that we know about, 1 of those complaints were filed in the last year to recover investment losses. One of Edward Balmes’ 2 customer complaints was denied by his employer antedate the customer is not taking any further action. There is currently one pending customer complaints filed against Edward Balmes’ current employer Moloney Securities Co., Inc. for investment losses caused by his alleged misconduct. Allegations Against Edward Balmes The allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are that Edward Balm made unsuitable investment recommendations in connection with the investments in GPB holdings private placements.  Edward Balmes Red Flags & Your Rights As An Investor Of course, Edward Balmes 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 Balmes at Moloney Securities Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Edward Balmes has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Moloney Securities Co., Inc. about Edward Balmes 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 Moloney Securities Co., Inc. If you have questions about Moloney Securities Co., Inc. and/or Edward Balmes 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

Frank Briseno of FSC Securities Corporation

DID FRANK BRISENO III CAUSE YOU INVESTMENT LOSSES? Frank Briseno III with FSC Securities Corporation Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Frank Briseno III with FSC Securities Corporation? Frank Briseno (CRD #1177246) who is currently registered with FSC Securities Corporation and located in Metairie, Los Angeles is a subject of one of our many securities industry sales practice abuse investigations. Prior to FSC Securities Corporation, Frank Briseno was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. FSC Securities Corporation Broker Misconduct In his career, Frank Briseno 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 Frank Briseno’s 3 customer complaints was settled in favor of investors. One of the customer complaints was denied, and to date, the customer is not taken any further action. There are currently one pending customer complaints filed against Frank Briseno’s current employer FSC Securities Corporation for investment losses caused by his alleged misconduct. Allegations Against Frank Briseno 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 or investment recommendations relating to a variable annuity and REITs. Customer alleges that representative misrepresented non-traded REITs, variable annuities, and common stock transactions. Customer alleges that the financial advisor made unsuitable recommendations to invest in non-traded REITs and variable annuities. Frank Briseno Red Flags & Your Rights As An Investor Of course, Frank Briseno 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 Frank Briseno at FSC Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Frank Briseno has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at FSC Securities Corporation 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 FSC Securities Corporation If you have questions about FSC Securities Corporation and/or Frank Briseno 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

Gary Ginsberg of Ameriprise Financial Services, LLC

DID GARY DAVID GINSBERG CAUSE YOU INVESTMENT LOSSES? Gary David Ginsberg with Ameriprise Financial Services, LLC Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Gary D. Ginsberg with Ameriprise Financial Services, LLC? Gary Ginsberg (CRD #1175258) who is currently registered with Ameriprise Financial Services, LLC and located in West Orange, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, LLC, Gary Ginsberg was associated with Royal Alliance Associates, Inc. and two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gary Ginsberg has had his own share of regulatory problems. In 2010, the New York State Department of Insurance investigated the sale of annuity contracts when he was not licensed to sell any products in that state. He consented to a fine of $20,600 which he paid in full. Royal Alliance Associates Broker Misconduct In his career, Gary Ginsberg has been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. All 4 of the customer complaints arose in connection with his employment at Royal Alliance Associates. Two of Gary Ginsberg’s 4 customer complaints were settled in favor of investors. One of his customer complaints was denied by his employer in today, the customer is not taking any further action. The other customer complaint filed against Gary Ginsberg’s former employer, Royal Alliance Associates for investment losses caused by his alleged misconduct is currently pending. Allegations Against Gary Ginsberg A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer led to the financial advisor exposed claimants principal to an unwanted and unreasonable risk of loss. Customer alleges that a variable annuity investment was placed erroneously in a traditional IRA account. Client alleged that financial advisor recommended a non-traded REIT which was unsuitable and in light of his investment objectives and financial condition. Claimant alleges that there was a failure of due diligence in connection with an alternative real estate investor recommended by financial advisor. Gary Ginsberg Red Flags & Your Rights As An Investor Of course, Gary Ginsberg did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Gary Ginsberg at Ameriprise Financial Services, LLC and Royal Alliance Associates on alert to review carefully the activity and performance of their accounts and question whether Gary Ginsberg has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about Gary Ginsberg at Royal Alliance Associates 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 Ameriprise Financial Services, LLC And Royal Alliance Associates If you have questions about Ameriprise Financial Services, LLC, Royal Alliance Associates and/or Gary Ginsberg 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

James Kirchner of Cabot Lodge Securities LLC

DID JAMES R. KIRCHNER CAUSE YOU INVESTMENT LOSSES? James R. Kirchner formerly with Cabot Lodge Securities LLC And David A. Noyes  & Company Has 10 Customer Complaints For Alleged Broker Misconduct Who is James R. Kirchner most recently with Cabot Lodge Securities LLC? James Kirchner (CRD #2852217) who was formerly registered with Cabot Lodge Securities LLC and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cabot Lodge Securities LLC, James Kirchner was associated with IFS Securities and David A. Noyes & Company and two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David A. Noyes and Co. Broker Misconduct In his career, James Kirchner has been the subject of 10 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. An arbitration award was entered against his employer for his alleged misconduct in favor of an investor. Eight of the 10 customer complaints arose in connection with his employment at David A. Noyes and Co. Five of James Kirchner’s 10 customer complaints were settled in favor of investors. One customer complaint was denied by his former employer and the customer took no further action. There are currently 3 pending customer complaints filed against James Kirchner’s former employer David A. Noyes and Co. for investment losses caused by his alleged misconduct. Allegations Against James Kirchner A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleges unauthorized and unsuitable transactions which resulted in an arbitration award in favor of the investor. Claimant alleged that alternative investments, recommended by the financial advisor were unsuitable. Customers allege that investments made in private placements were unsuitable for them. Customer alleged that the financial advisor permitted to fully explain all of the risks associated with margin trading. Customer alleged that financial advisor failed to follow his instructions. James Kirchner Red Flags & Your Rights As An Investor Of course, James Kirchner 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 James Kirchner at Cabot Lodge Securities LLC, IFS Securities and David A. Noyes & Company on alert to review carefully the activity and performance of their accounts and question whether James Kirchner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at David A. Noyes & Company about James Kirchner 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 Cabot Lodge Securities LLC, IFS Securities, David A. Noyes and Co. If you have questions about Cabot Lodge Securities LLC, IFS Securities, David A. Noyes & Company and/or James Kirchner 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

Delio Londono of Sagepoint Financial, Inc.

DID DELIO EDUARDO LONDONO CAUSE YOU INVESTMENT LOSSES? Delio Eduardo Londono formerly with Sagepoint Financial, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Delio E. Londono formerly with Sagepoint Financial, Inc.? Delio Londono (CRD #2695744) who was formerly registered with Sagepoint Financial, Inc. and located in La Crescenta, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Sagepoint Financial, Inc., Delio Londono was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. In September 2020, Delio Londono was terminated by Sagepoint Financial, Inc. for allegedly returning certain funds to a client related to an investment without knowledge of the firm. Sagepoint Financial, Inc. Broker Misconduct In his career, Delio Londono 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. One of Delio Londono’s 4 customer complaints settled in favor of investors. Three of those customer complaints were recently denied by Sagepoint Financial, Inc., and to date, the customers have not filed any action.  Allegations Against Delio Londono   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 investment recommendations in several mutual funds, real estate investment trusts and private placements were unsuitable. Customer alleges that non-traded alternative investments were misrepresented and unsuitable investment recommendations, including investments made in REITs, business development companies and the Global Impact Fund. Client alleged the financial advisor made misrepresentations and share commissions with the client. Customer alleged misrepresentation of non-traded REITs. Delio Londono Red Flags & Your Rights As An Investor Of course, Delio Londono 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 Delio Londono at Sagepoint Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Delio Londono has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sagepoint Financial, Inc. about Delio Londono 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 Sagepoint Financial, Inc.   If you have questions about Sagepoint Financial, Inc. and/or Delio Londono 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

Enrique Lopez of Arkadios Capital

DID ENRIQUE LOPEZ CAUSE YOU INVESTMENT LOSSES? Enrique Lopez Of Arkadios Capital And Formerly LPL Financial, LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Enrique Lopez currently with Arkadios Capital? Enrique Lopez (CRD #2209385) who is currently registered with Arkadios Capital and located in McAllen, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Arkadios Capital, Enrique Lopez was associated with LPL Financial LLC and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. LPL Financial, LLC Broker Misconduct In his career, Enrique Lopez has been the subject of 4 customer complaints that we know about, 1 of those complaints were filed in the last year to recover investment losses. All 4 of those customer complaints arose in connection with his employment at LPL Financial, LLC. 1 of those cases went to arbitration and award was entered in favor of the investor in the amount of $1,554,839.70. One of his customer complaints was denied by the firm antedate no action has been taken by the customer. There are currently 2 pending customer complaints filed against Enrique Lopez’s former employer LPL Financial, LLC for investment losses caused by his alleged misconduct. Allegations Against Enrique Lopez A sample of the allegations made in the FINRA reported arbitration claim award and settlements and pending complaints for investment losses are as follows: Customer alleged that the financial advisor violated the Texas Securities Act and Texas Business and Commerce Codes, breached his duties as a stockbroker, made unsuitable investment recommendations and misrepresentations, and violated FINRA Rules in connection with the recommendation, offer and sale of non-traded REITs in the arbitrators awarded the customer over $1.5 million. Customer alleged recommendations of REITs were unsuitable. Claimant alleged that the financial advisor misrepresented and recommended unsuitable investments in REITs and variable and further, that the investments in the speculative REITs were over-concentrated in its portfolio.  Enrique Lopez Red Flags & Your Rights As An Investor Of course, Enrique Lopez 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 Enrique Lopez at Arkadios Capital and LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Enrique Lopez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC about Enrique Lopez 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 Arkadios Capital And LPL Financial, LLC If you have questions about Arkadios Capital and LPL Financial, LLC and/or Enrique Lopez 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

James McPherson of Great Point Capital LLC

DID JAMES DWIGHT MCPHERSON CAUSE YOU INVESTMENT LOSSES? James Dwight McPherson Of Great Point Capital LLC  Formerly Concorde Investment Services, LLC And Sandlapper Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is James D. McPherson currently with Great Point Capital LLC? James McPherson (CRD #5918462) who is currently registered with Great Point Capital LLC and located in Melbourne, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Great Point Capital LLC, James McPherson was associated with Sandlapper Securities, LLC and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Concorde Investment Services, LLC And Sandlapper Securities, LLC Broker Misconduct In his career, James McPherson 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. There are currently 2 pending customer complaints filed against James McPherson’s former employers, Concorde Investment Services, LLC and Sandlapper Securities, LLC for investment losses caused by his alleged misconduct. Allegations Against James McPherson   A sample of the allegations made in the FINRA reported arbitration claim complaints for investment losses are as follows: Claimants allege breach of fiduciary duty, unsuitable investment recommendations, breach of contract and negligence in connection with direct investments and limited partnership interests. James McPherson Red Flags & Your Rights As An Investor Of course, James McPherson 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 James McPherson at Great Point Capital LLC and Sandlapper Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether James McPherson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Concorde Investment Services, LLC and Sandlapper Securities, 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 Great Point Capital LLC, Concorde Investment Services, LLC, and Sandlapper Securities, LLC If you have questions about Great Point Capital LLC, Concorde Investment Services, LLC, Sandlapper Securities, LLC and/or James McPherson 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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