Nov 7, 2023

Scott Rosenberg of UBS Financial Services Inc.

DID SCOTT MICHAEL ROSENBERG CAUSE YOU INVESTMENT LOSSES? Scott Rosenberg Of UBS Financial Services Inc. Has 27 Customer Complaints For Alleged Broker Misconduct Scott Rosenberg Customer Complaints Scott Rosenberg has been the subject of 27 customer complaints that we know about to recover investment losses. Five of the customer complaints proceeded to arbitration and resulted in arbitration awards in favor of the investors; one award was more than $5 million to the investor. Five of the customer complaints were settled by UBS Financial Services in favor of the investors. The same brokerage firm denied 10 other customer complaints and, to date, the investors have not taken any further action. There are currently 7 other FINRA arbitration proceedings pending against UBS Financial Services for Scott Rosenberg’s alleged misconduct. Allegations Against Scott Rosenberg The allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses arise out of and options overlay strategy known as UBS YES Yield Enhancement Strategy. It was a complex options overlay investment strategy that affected hundreds of investors at the brokerage firm. The general allegations were unsuitable investment recommendations and misrepresentations with respect to the recommendations to invest in and hold that options overlay strategy. Scott Rosenberg Red Flags & Your Rights As An Investor Of course, Scott Rosenberg 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 Rosenberg at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Scott Rosenberg 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 Scott Rosenberg If you have questions about UBS Financial Services Inc. and/or Scott Rosenberg 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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Nov 6, 2023

Joseph Roop formerly with Dempsey Lord Smith, LLC

DID JOSEPH PATRICK ROOP CAUSE YOU INVESTMENT LOSSES? Joseph Roop Formerly With Dempsey Lord Smith, LLC and Kalos Capital, Inc. Has 14 Customer Complaints For Alleged Broker Misconduct Joseph Roop Customer Complaints Joseph Roop has been the subject of 14 customer complaints that we know about to recover investment losses. Ten customer complaints were settled by Joseph Roop’s former employers in favor of the investors. One dispute was denied by Kalos Capital and to date, the investor has not taken any further action. There are currently 3 arbitrations pending against the advisor’s current and former employers. Allegations Against Joseph Roop A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses follows: Joseph Roop Red Flags & Your Rights As An Investor Of course, Joseph Roop 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 Joseph Roop at Dempsey Lord Smith, LLC and Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether Joseph Roop has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Dempsey Lord Smith, LLC and Kalos Capital, 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 Dempsey Lord Smith, LLC Due To Joseph Roop If you have questions about Dempsey Lord Smith, LLC, Kalos Capital, Inc.  and/or Joseph Roop 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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Nov 6, 2023

Richard Rogers, Jr formerly with Wells Fargo Clearing Services, LLC

DID RICHARD SHERMAN ROGERS JR CAUSE YOU INVESTMENT LOSSES? Richard Rogers, Jr Formerly With Wells Fargo Clearing Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Richard Rogers, Jr Customer Complaints Richard Rogers, Jr has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by First Commodity Corporation of Boston in favor of the investor. The other customer complaint was denied by First Union Securities and the investor took no further action. Allegations Against Richard Rogers, Jr A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses follows: Richard Rogers, Jr Red Flags & Your Rights As An Investor Of course, Richard Rogers, 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 Richard Rogers, Jr at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Richard Rogers, Jr 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 Richard Rogers, Jr If you have questions about Wells Fargo Clearing Services, LLC and/or Richard Rogers, 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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Nov 6, 2023

Edgar Rodriguez of NYLife Securities LLC

DID EDGAR LORENZO RODRIGUEZ CAUSE YOU INVESTMENT LOSSES? Edgar Rodriguez Of NYLife Securities LLC Has A Customer Complaint For Alleged Broker Misconduct Edgar Rodriguez Customer Complaint Edgar Rodriguez 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 for failure to fully explain the nature of investment in variable annuity contract. NYLife Securities denied the customer complaint and so far the investor has not taken for any further action. Edgar Rodriguez Red Flags & Your Rights As An Investor Of course, Edgar Rodriguez 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 Edgar Rodriguez at NYLife Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Edgar Rodriguez 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 Edgar Rodriguez If you have questions about NYLife Securities LLC and/or Edgar Rodriguez 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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Nov 6, 2023

Michael Risko Infinex Investments, Inc.

DID MICHAEL WILLIAM RISKO CAUSE YOU INVESTMENT LOSSES? Michael Risko Of Infinex Investments, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Michael Risko Customer Complaints Michael Risko has been the subject of 2 customer complaints that we know about to recover investment losses. Both customer complaints are still pending, one with Infinex Investments and the other with Essex National Securities in a recently filed FINRA arbitration proceeding. Allegations Against Michael Risko A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses follows: Michael Risko Red Flags & Your Rights As An Investor Of course, Michael Risko 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 Michael Risko at Infinex Investments, Inc. on alert to review carefully the activity and performance of their accounts and question whether Michael Risko has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Infinex Investments, 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 Infinex Investments, Inc. Due To Michael Risko If you have questions about Infinex Investments, Inc. and/or Michael Risko 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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Nov 5, 2023

Cheryl Richardson of MML Investors Services, LLC

DID CHERYL DIANE RICHARDSON CAUSE YOU INVESTMENT LOSSES? Cheryl Richardson Of MML Investors Services, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Cheryl Richardson Customer Complaints Cheryl Richardson has been the subject of 3 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled by MML Investors Services for Cheryl Richardson’s alleged misconduct in favor of the investors. The other customer dispute was denied by the brokerage firm and the investor took no further action. Allegations Against Cheryl Richardson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses follows: Cheryl Richardson Red Flags & Your Rights As An Investor Of course, Cheryl Richardson 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 Cheryl Richardson at MML Investors Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Cheryl Richardson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors 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 MML Investors Services, LLC Due To Cheryl Richardson If you have questions about MML Investors Services, LLC and/or Cheryl Richardson 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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Nov 5, 2023

Aaron Rice of PNC Investments

DID AARON V RICE CAUSE YOU INVESTMENT LOSSES? Aaron Rice Of PNC Investments And Formerly With BBVA Securities Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Aaron Rice Customer Complaints Aaron Rice has been the subject of 4 customer complaints that we know about to recover investment losses. One customer complaint was settled by BBVA Securities in favor of the investor. The other 3 customer complaints were denied by the same brokerage firm and, to date, the investors have not taken any further action. Allegations Against Aaron Rice A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses follows: Aaron Rice Red Flags & Your Rights As An Investor Of course, Aaron Rice 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 Aaron Rice at PNC Investments and BBVA Securities Inc. on alert to review carefully the activity and performance of their accounts and question whether Aaron Rice has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PNC Investments and BBVA Securities 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 PNC Investments Due To Aaron Rice If you have questions about PNC Investments, BBVA Securities Inc. and/or Aaron Rice 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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Nov 5, 2023

Kevin Reed formerly with U.S. Bancorp Investments, Inc.

DID KEVIN MILAN REED CAUSE YOU INVESTMENT LOSSES? Kevin Reed Formerly With U.S. Bancorp Investments, Inc., PNC Investments and BBVA Securities Inc. Has A Customer Complaint For Alleged Broker Misconduct Kevin Reed Customer Complaint Kevin Reed 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 client was solicited to invest in a brokerage account and assured investment was safe which appears to be untrue. Wells Fargo Advisors denied the customer complaint and the investor took no further action. Kevin Reed Red Flags & Your Rights As An Investor Of course, Kevin Reed 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 Kevin Reed at U.S. Bancorp Investments, Inc., PNC Investments and BBVA Securities Inc. on alert to review carefully the activity and performance of their accounts and question whether Kevin Reed has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at U.S. Bancorp Investments, Inc., PNC Investments and BBVA Securities 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 U.S. Bancorp Investments, Inc. Due To Kevin Reed If you have questions about U.S. Bancorp Investments, Inc., PNC Investments, BBVA Securities Inc. and/or Kevin Reed 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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Nov 4, 2023

Joseph Randolph of Wells Fargo Clearing Services, LLC

DID JOSEPH ANTHONY RANDOLPH CAUSE YOU INVESTMENT LOSSES? Joseph Randolph Of Wells Fargo Clearing Services, LLC And Formerly With Fifth Third Securities, Inc. Has A Customer Complaint For Alleged Broker Misconduct Joseph Randolph Customer Complaint Joseph Randolph 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 adviser gave erroneous advice relating to beneficiary designation causing improper withdrawals and/or transfer of monies from client’s accounts. The customer complaint is currently pending in West Virginia State Court. Joseph Randolph Red Flags & Your Rights As An Investor Of course, Joseph Randolph 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 Joseph Randolph at Wells Fargo Clearing Services, LLC and Fifth Third Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Joseph Randolph 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 and Fifth Third Securities, 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 Wells Fargo Clearing Services, LLC Due To Joseph Randolph If you have questions about Wells Fargo Clearing Services, LLC, Fifth Third Securities, Inc. and/or Joseph Randolph 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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Nov 4, 2023

Arthur Randall, III of UBS Financial Services Inc.

DID ARTHUR RANDALL III  CAUSE YOU INVESTMENT LOSSES? Arthur Randall, III Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Arthur Randall, III Customer Complaints Arthur Randall, III has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by UBS Financial Services in favor of the investor. The brokerage firm denied another customer complaint in June 2023 and so far, the investor has not taken any further action. Allegations Against Arthur Randall, III A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses follows: Arthur Randall, III Red Flags & Your Rights As An Investor Of course, Arthur Randall, 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 Arthur Randall, III at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Arthur Randall, 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 Arthur Randall, III If you have questions about UBS Financial Services Inc. and/or Arthur Randall, 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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