Aug 2, 2023

William Fochi, Jr. of Cambridge Investment Research, Inc.

DID WILLIAM A FOCHI JR CAUSE YOU INVESTMENT LOSSES? William Fochi, Jr. Of Cambridge Investment Research, Inc. And Formerly With Cantella & Co. Inc. and Northwestern Mutual Investment Services, LLC, Has A Customer Complaint For Alleged Broker Misconduct William Fochi, Jr.  Customer Complaint William Fochi, Jr. has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were fraudulent conduct and misleading statements related to unsuitable investment recommendations. The recommendations related to fixed annuities, variable annuities, and equity Index annuities. The customer complaint was denied and, to date, no further action has been taken. William Fochi, Jr.  Red Flags & Your Rights As An Investor Of course, William Fochi, Jr. 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 William Fochi, Jr. at Cambridge Investment Research, Inc., Cantella & Co. Inc. and Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether William Fochi, Jr. has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research, Inc., Cantella & Co. Inc. and Northwestern Mutual Investment Services, LLC also raises questions about the brokerage firms’ supervisory practices. If these 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 Cambridge Investment Research, Inc. Due To William Fochi, Jr. If you have questions about  Cambridge Investment Research, Inc., Cantella & Co. Inc., Northwestern Mutual Investment Services, LLC and/or William Fochi, Jr. 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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Mar 25, 2023

Kirk Badii of Independent Financial Group, LLC

DID KIRK BADII CAUSE YOU INVESTMENT LOSSES? Kirk Badii Of Independent Financial Group, LLC And Formerly With Cantella & Co., Inc. Has 6 Customer Complaints For Alleged Broker Misconduct Kirk Badii Customer Complaints Kirk Badii has been the subject of 6 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled by UBS Financial Services in favor of the investors. The other four customer complaints were denied by Kirk Badii’s former employer and the customers took no further action. Allegations Against Kirk Badii A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Kirk Badii Red Flags & Your Rights As An Investor Of course, Kirk Badii 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 Kirk Badii at Independent Financial Group, LLC and Cantella & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Kirk Badii has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Independent Financial Group, LLC and Cantella & Co., 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 Independent Financial Group, LLC Due To Kirk Badii If you have questions about Independent Financial Group, LLC, Cantella & Co., Inc. and/or Kirk Badii 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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Feb 18, 2023

John Bliss III of Kingswood Capital Partners, LLC

DID JOHN NORMAN BLISS III CAUSE YOU INVESTMENT LOSSES? John Bliss III Of Kingswood Capital Partners, LLC, And Formerly With Cantella & Co., Inc. Has A Customer Complaint For Alleged Broker Misconduct John Bliss III Customer Complaint John Bliss III has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were failure to follow customer’s instructions to put on to stop loss orders. The customer complaint was settled by Cantella and Company in favor of the investor. John Bliss III Red Flags & Your Rights As An Investor Of course, John Bliss 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 John Bliss III at Kingswood Capital Partners and LLC, Cantella & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether John Bliss III has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kingswood Capital Partners and LLC, Cantella & Co., 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 Kingswood Capital Partners, LLC Due To John Bliss III If you have questions about Kingswood Capital Partners, LLC, Cantella & Co., Inc. and/or John Bliss 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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Jan 30, 2023

James Barcomb of Cantella & Co., Inc.

DID JAMES ROBERT BARCOMB CAUSE YOU INVESTMENT LOSSES? James Barcomb Of Cantella & Co., Inc. and Formerly with Cambridge Investment Research Advisors, Inc. and IC Advisory Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Barcomb of Cantella & Co., Inc.? James Barcomb (CRD #2434495) who is currently registered with Cantella & Co., Inc. and located in Malden, Massachusetts, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Cantella & Co., Inc., James Barcomb was associated with Cambridge Investment Research Advisors, Inc. and IC Advisory Services, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Barcomb Customer Complaints James Barcomb has been the subject of 2 customer complaints that we know about to recover investment losses. Both customer complaints were denied by James Barcomb’s employer and to date, the customers have not taken any further action. Allegations Against James Barcomb A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Barcomb Red Flags & Your Rights As An Investor Of course, James Barcomb 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 Barcomb at Cantella & Co., Inc., Cambridge Investment Research Advisors, Inc. and IC Advisory Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether James Barcomb has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cantella & Co., Inc., Cambridge Investment Research Advisors, Inc. and IC Advisory 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. File A Claim To Recover Your Investment Losses At Cantella & Co., Inc. Due To James Barcomb If you have questions about Cantella & Co., Inc., Cambridge Investment Research Advisors, Inc., IC Advisory Services, Inc. and/or James Barcomb 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 27, 2023

James Joly of Cantella & Co., Inc.

DID JAMES ERNEST JOLY CAUSE YOU INVESTMENT LOSSES? James Joly Of Cantella & Co., Inc. And Formerly With Cambridge Investment Research, Inc. and Voya Financial Advisors, Inc. Has 5 Customer Complaints For Alleged Broker Misconduct Who is James Joly of Cantella & Co., Inc.? James Joly (CRD #2193463) who is currently registered with Cantella & Co., Inc. and located in Malden, Massachusetts, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cantella & Co., Inc., James Joly was associated with Cambridge Investment Research, Inc., Voya Financial Advisors, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Joly Customer Complaints James Joly has been the subject of 5 customer complaints that we know about to recover investment losses. One customer complaint was settled by LPL financial in favor of the investors. The other for customer complaints were denied by James Joly’s employer, and it appears, to date, that the customers have not taken any further action. Allegations Against James Joly A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Joly Red Flags & Your Rights As An Investor Of course, James Joly 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 Joly at Cantella & Co., Inc., Cambridge Investment Research, Inc. and Voya Financial Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether James Joly has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cantella & Co., Inc., Cambridge Investment Research, Inc. and Voya Financial Advisors, 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. File A Claim To Recover Your Investment Losses At Cantella & Co., Inc. Due To James Joly If you have questions about Cantella & Co., Inc., Cambridge Investment Research, Inc., Voya Financial Advisors, Inc. and/or James Joly 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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Jun 27, 2022

Bryan Rigg of Cantella & Co., Inc.

DID BRYAN M. RIGG CAUSE YOU INVESTMENT LOSSES? Bryan Rigg Of Cantella & Co., Inc. And Formerly With Broker Dealer Financial Services Corp. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Bryan Rigg of Cantella & Co., Inc.? Bryan Rigg (CRD #5117040) who is currently registered with Cantella & Co., Inc. and located in Dallas, Texas is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Cantella & Co., Inc., Bryan Rigg was associated with Broker Dealer Financial Services Corp. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Bryan Rigg Customer Complaints Bryan Rigg has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. Both of Bryan Rigg’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Bryan Rigg A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Mismanagement of client’s accounts holding exchange traded funds. Failure to manage account is directed. Bryan Rigg Red Flags & Your Rights As An Investor Of course, Bryan Rigg 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 Bryan Rigg at Cantella & Co., Inc. and Broker Dealer Financial Services Corp. on alert to review carefully the activity and performance of their accounts and question whether Bryan Rigg has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cantella & Co., Inc. and Broker Dealer Financial Services Corp. 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. File A Claim To Recover Your Investment Losses At Cantella & Co., Inc. Due To Bryan Rigg If you have questions about Cantella & Co., Inc., Broker Dealer Financial Services Corp., and/or Bryan Rigg 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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Mar 8, 2022

David Pawloski of Cantella & Co.

DID DAVID THOMAS PAWLOSKI CAUSE YOU INVESTMENT LOSSES? David Pawloski Of Cantella & Co. And Formerly With Oppenheimer & Co. Has 6 Customer Complaints For Alleged Broker Misconduct Who is David Pawloski of Cantella & Co.? David Pawloski (CRD #1438717) who is currently registered with Cantella & Co.and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cantella & Co., David Pawloski was associated with Oppenheimer & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Pawloski Customer Complaints David Pawloski has been the subject of 6 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of David Pawloski’s 6 customer complaints resulted in an arbitration award in favor of the investors. Three of David Pawloski’s customer complaints were settled in favor of investors. Two of David Pawloski’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against David Pawloski A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged that David Pawloski did not follow his instructions to sell a security. Client alleged that unauthorized and unsuitable investments were made in the account by David Pawloski. Client complained about the performance of securities in the account allegedly made by David Pawloski. Customer alleged that David Pawloski recommended unsuitable securities and charged excessive fees and commissions. David Pawloski Red Flags & Your Rights As An Investor Of course, David Pawloski 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 Pawloski at Cantella & Co. and Oppenheimer & Co. on alert to review carefully the activity and performance of their accounts and question whether David Pawloski has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cantella & Co. and Oppenheimer & Co. 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. File A Claim To Recover Your Investment Losses At Cantella & Co. Due To David Pawloski If you have questions about Cantella & Co., Oppenheimer & Co., and/or David Pawloski 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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Mar 8, 2022

Ricardo Harmsen of Cantella & Co.

DID RICARDO EDUARDO HARMSEN CAUSE YOU INVESTMENT LOSSES? Ricardo Harmsen Of Cantella & Co. And Formerly With Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Ricardo Harmsen of Cantella & Co.? Ricardo Harmsen (CRD #2011149) who is currently registered with Cantella & Co. and located in Pittsboro, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cantella & Co., Ricardo Harmsen was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ricardo Harmsen Customer Complaints Ricardo Harmsen has been the subject of 2 customer complaints that we know about. Both of Ricardo Harmsen’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Ricardo Harmsen A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged Ricardo Harmsen’s impropriety regarding transfer of assets and claimed that his account is missing $200k. Customer alleged Ricardo Harmsen’s unauthorized transactions. Ricardo Harmsen Red Flags & Your Rights As An Investor Of course, Ricardo Harmsen 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 Ricardo Harmsen at Cantella & Co. and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Ricardo Harmsen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cantella & Co. and Wells Fargo Clearing Services 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. File A Claim To Recover Your Investment Losses At Cantella & Co. Due To Ricardo Harmsen If you have questions about Cantella & Co., Wells Fargo Clearing Services, and/or Ricardo Harmsen 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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Mar 8, 2022

Mark Parker of Cantella Co.

DID MARK PARKER CAUSE YOU INVESTMENT LOSSES? Mark Parker Of Cantella Co., Inc. And Formerly With Raymond James & Associates Has One Customer Complaint For Alleged Broker Misconduct Who is Mark Parker of Cantella Co., Inc.? Mark Parker (CRD #720309) who is currently registered with Cantella Co., Inc. and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cantella Co., Inc., Mark Parker was associated with Raymond James & Associates and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Parker Customer Complaint Mark Parker has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that the investments were not suitable given client’s lack of investment experience. Mark Parker’s customer complaint was settled in favor of investors. Mark Parker Red Flags & Your Rights As An Investor Of course, Mark Parker 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 Parker at Cantella Co., Inc. and Raymond James & Associates on alert to review carefully the activity and performance of their accounts and question whether Mark Parker has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cantella Co., Inc. and Raymond James & Associates 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. File A Claim To Recover Your Investment Losses At Cantella Co., Inc. and Raymond James & Associates Due To Mark Parker If you have questions about Cantella Co., Inc., Raymond James & Associates, and/or Mark Parker 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

Richard Fredette formerly with Cantella & Co.

DID RICHARD NOEL FREDETTE CAUSE YOU INVESTMENT LOSSES? Richard Fredette Formerly With Cantella & Co., Calton & Associates, and IMS Securities Has 4 Customer Complaints For Alleged Broker Misconduct Who is Richard Fredette formerly with Cantella & Co.? Richard Fredette (CRD #1283377) who was formerly registered with Cantella & Co.and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cantella & Co., Richard Fredette was associated with Calton & Associates, IMS Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Fredette Customer Complaints Richard Fredette has been the subject of 4 customer complaints that we know about. Two of Richard Fredette’s 4 customer complaints were settled in favor of investors. One of Richard Fredette’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against IMS Securities and Calton & Associates for investment losses caused by Richard Fredette’s alleged misconduct. Allegations Against Richard Fredette A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendations were allegedly made by Richard Fredette. Richard Fredette’s allegedly gave fraudulent investment advice and breached his fiduciary duty when making unsuitable investment recommendations. Richard Fredette Red Flags & Your Rights As An Investor Of course, Richard Fredette 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 Richard Fredette at Cantella & Co., Calton & Associates and IMS Securities on alert to review carefully the activity and performance of their accounts and question whether Richard Fredette has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cantella & Co., Calton & Associates and IMS Securities 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. File A Claim To Recover Your Investment Losses At Cantella & Co., Calton & Associates and IMS Securities Due To Richard Fredette If you have questions about Cantella & Co., Calton & Associates, IMS Securities, and/or Richard Fredette 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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