May 7, 2024

Max Birkinbine of Ausdal Financial Partners, Inc

DID MAX JOSEPH BIRKINBINE CAUSE YOU INVESTMENT LOSSES? Max Birkinbine Of Ausdal Financial Partners, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Max Birkinbine Customer Complaints Max Birkinbine has been the subject of 2 customer complaints that we know about seeking to recover investment losses.  The 2 customer complaints appear in recently FINRA filed arbitration proceedings that are still pending. Allegations Against Max Birkinbine A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Max Birkinbine Red Flags & Your Rights As An Investor Of course, Max Birkinbine 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 Max Birkinbine at Ausdal Financial Partners, Inc. on alert to review carefully the activity and performance of their accounts and question whether Max Birkinbine has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ausdal Financial Partners, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Ausdal Financial Partners, Inc. Due To Max Birkinbine  If you have questions about Ausdal Financial Partners, Inc. and/or Max Birkinbine 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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May 7, 2024

Debra Biosca of Arkadios Capital

DID DEBRA L BIOSCA CAUSE YOU INVESTMENT LOSSES? Debra Biosca Of Arkadios Capital And Formerly With Triad Advisors LLC Has 2 Customer Complaints For Alleged Broker Misconduct Debra Biosca Customer Complaints Debra Biosca has been the subject of 2 customer complaints that we know about seeking to recover investment losses.  Both customer complaints have evolved into FINRA arbitration proceedings that are still pending. Allegations Against Debra Biosca A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Debra Biosca Red Flags & Your Rights As An Investor Of course, Debra Biosca 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 Debra Biosca at Arkadios Capital and Triad Advisors LLC on alert to review carefully the activity and performance of their accounts and question whether Debra Biosca 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 LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Arkadios Capital Due To Debra Biosca  If you have questions about Arkadios Capital, Triad Advisors LLC and/or Debra Biosca 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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May 7, 2024

Walter Shoczolek, III of Sigma Financial Corporation

DID WALTER PAUL SHOCZOLEK III CAUSE YOU INVESTMENT LOSSES? Walter Shoczolek, III Of Sigma Financial Corporation And Formerly With Avantax Investment Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Walter Shoczolek, III Customer Complaints Walter Shoczolek, III has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint was settled by Avantax Investment Services in favor of the investor for the advisors alleged misconduct.  The other customer complaint was recently filed as a FINRA arbitration proceeding against Avantax Investment Services for Walter Shoczolek’s alleged misconduct and is still pending. Allegations Against Walter Shoczolek, III A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Walter Shoczolek, III Red Flags & Your Rights As An Investor Of course, Walter Shoczolek, III 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 Walter Shoczolek, III at Sigma Financial Corporation and Avantax Investment Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Walter Shoczolek, III has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sigma Financial Corporation and Avantax Investment Services, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Sigma Financial Corporation Due To Walter Shoczolek, III  If you have questions about Sigma Financial Corporation, Avantax Investment Services, Inc. and/or Walter Shoczolek, III 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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May 7, 2024

Brian Solomon of Independent Financial Group, LLC

DID BRIAN HAYDEN SOLOMON CAUSE YOU INVESTMENT LOSSES? Brian Solomon Of Independent Financial Group, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Brian Solomon Customer Complaints Brian Solomon has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint was settled by Sentra Securities in favor of the investor for Brian Solomon’s alleged misconduct.  The other customer complaint was filed against the Independent Financial group last November for Brian Solomon’s alleged misconduct and still pending. Allegations Against Brian Solomon A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Brian Solomon Red Flags & Your Rights As An Investor Of course, Brian Solomon 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 Brian Solomon at Independent Financial Group, LLC on alert to review carefully the activity and performance of their accounts and question whether Brian Solomon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Independent Financial Group, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Independent Financial Group, LLC Due To Brian Solomon  If you have questions about Independent Financial Group, LLC and/or Brian Solomon 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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May 7, 2024

Pedro Suau-Sanchidrian of Merrill Lynch, Pierce, Fenner & Smith Incorporated

DID PEDRO M SUAU-SANCHIDRIAN CAUSE YOU INVESTMENT LOSSES? Pedro Suau-Sanchidrian Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 3 Customer Complaints For Alleged Broker Misconduct Pedro Suau-Sanchidrian Customer Complaints Pedro Suau-Sanchidrian has been the subject of 3 customer complaints that we know about seeking to recover investment losses. One customer complaint was settled by Merrill Kaplan’s Pierce Fenner and Smith for the advisors alleged misconduct.  The other 2 customer complaints were denied by Pedro Suau-Sanchidrian’s employers, and the investors took no further action. Allegations Against Pedro Suau-Sanchidrian A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Pedro Suau-Sanchidrian Red Flags & Your Rights As An Investor Of course, Pedro Suau-Sanchidrian 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 Pedro Suau-Sanchidrian at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Pedro Suau-Sanchidrian has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Pedro Suau-Sanchidrian  If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Pedro Suau-Sanchidrian 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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May 6, 2024

Terry Tzafarakis Formerly With Arive Capital Markets

DID TERRY TZAGARAKIS CAUSE YOU INVESTMENT LOSSES? Terry Tzafarakis Formerly With Arive Capital Markets, Worden Capital Management LLC and Spartan Capital Securities, LLC Has 8 Customer Complaints For Alleged Broker Misconduct Terry Tzafarakis Customer Complaints Terry Tzafarakis has been the subject of 8 customer complaints that we know about seeking to recover investment losses. One customer complaint evolved into a FINRA arbitration proceeding, and an award being entered against him for over $1.2 million in compensatory damages plus interest. Four more customer complaints were settled by his former employers in favor of the investors for Terry Tzafarakis’ alleged misconduct.  Only 2 of the customer complaints were denied by the brokerage firms and the investor took no further action.  There is currently one FINRA arbitration proceeding claiming damages of over $6.6 million filed against Spartan Capital Securities for the advisors alleged misconduct that is still pending. Allegations Against Terry Tzafarakis A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Terry Tzafarakis Red Flags & Your Rights As An Investor Of course, Terry Tzafarakis 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 Terry Tzafarakis at Arive Capital Markets, Worden Capital Management LLC and Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Terry Tzafarakis  has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arive Capital Markets, Worden Capital Management LLC and Spartan Capital Securities, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Arive Capital Markets Due To Terry Tzafarakis  If you have questions about Arive Capital Markets, Worden Capital Management LLC, Spartan Capital Securities, LLC and/or Terry Tzafarakis 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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May 6, 2024

Kristopher Vanesko of NYLife Securities LLC

DID KRISTOPHER D VANESKO CAUSE YOU INVESTMENT LOSSES? Kristopher Vanesko Of NYLife Securities LLC Has 2 Customer Complaints For Alleged Broker Misconduct Kristopher Vanesko Customer Complaints Kristopher Vanesko has been the subject of 2 customer complaints that we know about seeking to recover investment losses. NYLIFE Securities settled one customer complaint in favor of the investor where the adviser’s alleged misconduct.  The customer complaint was recently filed against NYLIFE Securities for Kristopher Vanesko’s alleged misconduct and still pending.  Allegations Against Kristopher Vanesko A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Kristopher Vanesko Red Flags & Your Rights As An Investor Of course, Kristopher Vanesko 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 Kristopher Vanesko at NYLife Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Kristopher Vanesko has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLife Securities LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At NYLife Securities LLC Due To Kristopher Vanesko  If you have questions about NYLife Securities LLC and/or Kristopher Vanesko 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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May 6, 2024

Frank Wu of Wells Fargo Clearing Services, LLC

DID FRANK I-MIN WU CAUSE YOU INVESTMENT LOSSES? Frank Wu Of Wells Fargo Clearing Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Frank Wu Customer Complaints Frank Wu has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint was denied by Citigroup Global Markets and the investor took no further action.  The other customer complaint evolved into a FINRA arbitration proceeding was filed against Wells Fargo Clearing Services for Frank I-Min Wu’s alleged misconduct and still pending. Allegations Against Jack Yvars A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Frank Wu Red Flags & Your Rights As An Investor Of course, Frank Wu 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 Wu at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Frank Wu 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 also raises questions about the brokerage firm’s’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services, LLC Due To Frank Wu  If you have questions about Wells Fargo Clearing Services, LLC and/or Frank Wu 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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May 6, 2024

Jack Yvars of Osaic Wealth, Inc

DID JACK W YVARS CAUSE YOU INVESTMENT LOSSES? Jack Yvars Of Osaic Wealth, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Jack Yvars Customer Complaints Jack Yvars has been the subject of 2 customer complaints that we know about seeking to recover investment losses.  Both customer complaints have evolved into FINRA arbitration proceedings filed against Osaic Wealth, formerly known as Royal Alliance Associates for Jack Yvars alleged misconduct, and still pending. Allegations Against Jack Yvars A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jack Yvars Red Flags & Your Rights As An Investor Of course, Jack Yvars 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 Jack Yvars at Osaic Wealth, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jack Yvars has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Osaic Wealth, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Osaic Wealth, Inc., Due To Jack Yvars  If you have questions about Osaic Wealth, Inc., and/or Jack Yvars 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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May 6, 2024

Ernie Kloock of UBS Financial Services Inc

DID ERNIE WALTER KLOOCK CAUSE YOU INVESTMENT LOSSES? Ernie Kloock Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Ernie Kloock Customer Complaints Ernie Kloock has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint was settled by a Bank of America Investment Services, and Marilyn Lynch, Pierce Fenner and Smith in favor of the investors.  Another customer complaint was recently filed as a FINRA arbitration proceeding against UBS Financial Services for the advisors alleged misconduct and still pending. Allegations Against Ernie Kloock A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Ernie Kloock Red Flags & Your Rights As An Investor Of course, Ernie Kloock 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 Ernie Kloock at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Ernie Kloock has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Ernie Kloock  If you have questions about UBS Financial Services Inc. and/or Ernie Kloock 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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