Apr 10, 2024

Lawrence Waller, II of SA Stone Wealth Management Inc

DID LAWRENCE WILLIAM WALLER II CAUSE YOU INVESTMENT LOSSES? Lawrence Waller, II Of SA Stone Wealth Management Inc Has 3 Customer Complaints For Alleged Broker Misconduct Lawrence Waller, II Customer Complaints Lawrence Waller, II has been the subject of 3 customer complaints that we know about seeking to recover investment losses. Both customer complaints were denied by Lawrence Waller’s former employers and the investors took no further action. There is currently one for an arbitration proceeding pending against SA capstone Wealth Management for Lawrence Waller’s alleged misconduct that is still pending. Allegations Against Lawrence Waller, II A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Lawrence Waller, II Red Flags & Your Rights As An Investor Of course, Lawrence Waller, II 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 Lawrence Waller, II at SA Stone Wealth Management Inc on alert to review carefully the activity and performance of their accounts and question whether Lawrence Waller, II has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SA Stone Wealth Management 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 SA Stone Wealth Management Inc Due To Lawrence Waller, II  If you have questions about SA Stone Wealth Management Inc and/or Lawrence Waller, II 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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Apr 10, 2024

Scott Valentine of Citigroup Global Markets Inc

DID SCOTT ANDREW VALENTINE CAUSE YOU INVESTMENT LOSSES? Scott Valentine Of Citigroup Global Markets Inc. And Formerly With LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct Scott Valentine Customer Complaints Scott Valentine has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint was denied by Capital One Investing in the investor took no further action. The other customer complaint was recently filed against LPL Financial for Scott Ballentine’s alleged misconduct and still pending. Allegations Against Scott Valentine A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Scott Valentine Red Flags & Your Rights As An Investor Of course, Scott Valentine 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 Scott Valentine at Citigroup Global Markets Inc. and LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Scott Valentine has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Citigroup Global Markets Inc. and LPL Financial 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 Citigroup Global Markets Inc. Due To Scott Valentine  If you have questions about Citigroup Global Markets Inc, LPL Financial LLC and/or Scott Valentine 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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Apr 9, 2024

Jonathan Upton of LPL Financial LLC

DID JONATHAN DALE UPTON CAUSE YOU INVESTMENT LOSSES? Jonathan Upton Of LPL Financial LLC Has 4 Customer Complaints For Alleged Broker Misconduct Jonathan Upton Broker Misconduct In his career, Jonathan Upton has been the subject of 4 customer complaints that we know about, two of those complaints were filed in the last 2 years to recover investment losses. One of Jonathan Upton’s 3 customer complaints was settled in favor of investors.  The other customer complaints were denied by Jonathan Upton and his employer and the customers have not taken any further action. Allegations Against Jonathan Upton   A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jonathan Upton Red Flags & Your Rights As An Investor Of course, Jonathan Upton 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 Jonathan Upton at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Jonathan Upton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial 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 LPL Financial LLC Due To Jonathan Upton  If you have questions about LPL Financial LLC and/or Jonathan Upton 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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Apr 9, 2024

Clarisse Tur of Merrill Lynch, Pierce, Fenner & Smith Incorporated

DID CLARISSE TUR CAUSE YOU INVESTMENT LOSSES? Clarisse Tur Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct Clarisse Tur Customer Complaints Clarisse Tur has been the subject of 2 customer complaints that we know about seeking to recover investment losses. Both complaints were filed with Merrill Lynch Pierce Fenner and Smith for Clarisse’Tur’s alleged misconduct and still pending. Allegations Against Clarisse Tur A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Clarisse Tur Red Flags & Your Rights As An Investor Of course, Clarisse Tur 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 Clarisse Tur at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Clarisse Tur 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 Clarisse Tur  If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Clarisse Tur 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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Apr 9, 2024

David Trimble of Equitable Advisors, LLC

DID DAVID E TRIMBLE CAUSE YOU INVESTMENT LOSSES? David Trimble Of Equitable Advisors, LLC Has 3 Customer Complaints For Alleged Broker Misconduct David Trimble Customer Complaints David Trimble has been the subject of 3 customer complaints that we know about seeking to recover investment losses. One customer complaint was settled by Equitable Advisors in favor of the investor for David Trimble’s alleged misconduct.  Another customer complaint was denied by AXA Advisors and the investor took no further action.  There is currently one FINRA arbitration proceeding that was recently filed against Equitable Advisors for David Trimble’s alleged misconduct that is still pending. Allegations Against Matthew Stucke A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: David Trimble Red Flags & Your Rights As An Investor Of course, David Trimble 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 Trimble at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether David Trimble has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, 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 Equitable Advisors, LLC Due To David Trimble  If you have questions about Equitable Advisors, LLC and/or David Trimble 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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Apr 9, 2024

Danny Strain of Cape Securities Inc

DID DANNY RAY STRAIN CAUSE YOU INVESTMENT LOSSES? Shaun Stein Of B. Riley Wealth Management And Formerly With National Securities Corporation Has 3 Customer Complaints For Alleged Broker Misconduct Danny Strain Customer Complaints Danny Strain has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint was settled by Cape Securities in favor of the investor. Another customer recently filed a complaint with the brokerage firm and is awaiting the firm’s decision on whether to pursue the claim in court or arbitration. Allegations Against Danny Strain A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Danny Strain Red Flags & Your Rights As An Investor Of course, Danny Strain 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 Danny Strain at Cape Securities Inc. on alert to review carefully the activity and performance of their accounts and question whether Danny Strain has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cape Securities 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 Cape Securities Inc. Due To Danny Strain  If you have questions about Cape Securities Inc. and/or Danny Strain 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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Apr 8, 2024

Shaun Stein of B. Riley Wealth Management

DID SHAUN EVAN STEIN CAUSE YOU INVESTMENT LOSSES? Shaun Stein Of B. Riley Wealth Management And Formerly With National Securities Corporation Has 3 Customer Complaints For Alleged Broker Misconduct Shaun Stein Customer Complaints In his career, Shaun Stein has been the subject of 3 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses.  Two of the customer complaints were settled by National Securities Corp. in favor of the investor for Shaun Stein’s alleged misconduct.  There is currently 1 pending customer complaint filed against Shaun Stein’s current employer, National Securities Corporation, for investment losses caused by his alleged misconduct. Allegations Against Rick Smith A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Shaun Stein Red Flags & Your Rights As An Investor Of course, Shaun Stein 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 Shaun Stein at B. Riley Wealth Management and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Shaun Stein has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Wealth Management and National Securities Corporation 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 B. Riley Wealth Management Due To Shaun Stein  If you have questions about B. Riley Wealth Management, National Securities Corporation and/or Shaun Stein 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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Apr 8, 2024

John Sofranko, III of UBS Financial Services Inc

DID JOHN F SOFRANKO III CAUSE YOU INVESTMENT LOSSES? John Sofranko, III Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct John Sofranko, III Customer Complaint John Sofranko, III has been the subject of at least one customer complaint that we know about seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that John Sofranko made an improper hold recommendation, in response to the customer’s request for liquidation of his portfolio to pay down his margin line.  The FINRA arbitration proceeding was recently filed against UBS Financial Services for the advisors at Legend misconduct and is still pending.  John Sofranko, III Red Flags & Your Rights As An Investor Of course, John Sofranko, 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 Sofranko, III at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether John Sofranko, III 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 John Sofranko, III  If you have questions about UBS Financial Services Inc. and/or John Sofranko, 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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Apr 8, 2024

Rick Smith of State Farm VP Management Corp

DID RICK A SMITH CAUSE YOU INVESTMENT LOSSES? Rick Smith Of State Farm VP Management Corp Has 2 Customer Complaints For Alleged Broker Misconduct Rick Smith Customer Complaints Rick Smith has been the subject of 2 customer complaints that we know about seeking to recover investment losses. Both recently filed customer complaints are being reviewed and still pending with State Farm VP Management Corp. Allegations Against Rick Smith A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Rick Smith Red Flags & Your Rights As An Investor Of course, Rick Smith 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 Rick Smith at State Farm VP Management Corp on alert to review carefully the activity and performance of their accounts and question whether Rick Smith has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at State Farm VP Management Corp 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 State Farm VP Management Corp Due To Rick Smith  If you have questions about State Farm VP Management Corp and/or Rick Smith 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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Apr 8, 2024

Dustin Smith of Merrill Lynch, Pierce, Fenner & Smith Incorporated

DID DUSTIN ANDREW SMITH CAUSE YOU INVESTMENT LOSSES? Dustin Smith Of Merrill Lynch, Pierce, Fenner & Smith Incorporated And Formerly With Pruco Securities, LLC Has A Customer Complaint For Alleged Broker Misconduct Dustin Smith Customer Complaint Dustin Smith has been the subject of at least one customer complaint that we know about seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were representative failed to disclose that the customer would not have access to her money into 2028 guaranteed a better rate of return than she currently had which was inappropriate.  The customer complaints were recently filed with Pruco Securities and are still pending. Dustin Smith Red Flags & Your Rights As An Investor Of course, Dustin Smith 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 Dustin Smith at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Pruco Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Dustin Smith 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 and Pruco 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 Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Dustin Smith  If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated, Pruco Securities, LLC and/or Dustin Smith 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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