Nov 20, 2023

James Warring of Emerson Equity LLC

DID JAMES DALE WARRING CAUSE YOU INVESTMENT LOSSES? James Warring Of Emerson Equity LLC And Formerly With Dai Securities, LLC and Triad Advisors LLC, Has A Customer Complaint For Alleged Broker Misconduct James Warring Customer Complaint James Warring 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 James Warring through, his investment advisory firm, trust company and accounting business, engaged in conduct constituting fraud, constructive fraud, breach of fiduciary duty and violations of the Maryland Securities Act. The customer filed a state court action in Montgomery County Circuit Court in Montgomery County, Maryland. The court action is still pending. James Warring Red Flags & Your Rights As An Investor Of course, James Warring 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 Warring at Emerson Equity LLC, Dai Securities, LLC and Triad Advisors LLC on alert to review carefully the activity and performance of their accounts and question whether James Warring has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Emerson Equity LLC, Dai Securities, LLC 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 Emerson Equity LLC Due To James Warring If you have questions about Emerson Equity LLC, Dai Securities, LLC, Triad Advisors LLC and/or James Warring 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 20, 2023

Spencer Warn of Cetera Investment Services LLC

DID SPENCER PHILIP WARN CAUSE YOU INVESTMENT LOSSES? Spencer Warn Of Cetera Investment Services LLC And Formerly With Foresters Financial Services, Inc. Has A Customer Complaint For Alleged Broker Misconduct Spencer Warn Customer Complaint Spencer Warn 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 assets were stolen or transferred to a Charles Schwab account without her authorization. Cetera Investment Services denied the customer complaint and, so far, the investor has not taken any further action. Spencer Warn Red Flags & Your Rights As An Investor Of course, Spencer Warn 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 Spencer Warn at Cetera Investment Services LLC and Foresters Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Spencer Warn has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Investment Services LLC and Foresters Financial 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 Cetera Investment Services LLC Due To Spencer Warn If you have questions about Cetera Investment Services LLC, Foresters Financial Services, Inc. and/or Spencer Warn 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 19, 2023

Dan Wagner, Jr of Arkadios Capital

DID DAN EDWARD WAGNER JR CAUSE YOU INVESTMENT LOSSES? Dan Wagner, Jr Of Arkadios Capital And Formerly With Triad Advisors LLC Has 3 Customer Complaints For Alleged Broker Misconduct Dan Wagner, Jr Customer Complaints Dan Wagner, Jr has been the subject of 3 customer complaints that we know about seeking to recover investment losses. Two of the customer complaints were denied by Uvest Financial Services Group in the investors took no further action. There is currently one customer complaint filed in a FINRA arbitration proceeding against Triad Advisors and Arkadios Capital that is still pending. Allegations Against Dan Wagner, Jr A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Dan Wagner, Jr Red Flags & Your Rights As An Investor Of course, Dan Wagner, 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 Dan Wagner, Jr at Arkadios Capital and Triad Advisors LLC on alert to review carefully the activity and performance of their accounts and question whether Dan Wagner, Jr 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 Dan Wagner, Jr If you have questions about Arkadios Capital, Triad Advisors LLC and/or Dan Wagner, 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 19, 2023

Robert Voorhees of Stifel, Nicolaus & Company, Incorporated

DID ROBERT WILLIAM VOORHEES CAUSE YOU INVESTMENT LOSSES? Robert Voorhees Of Stifel, Nicolaus & Company, Incorporated Has 3 Customer Complaints For Alleged Broker Misconduct Robert Voorhees Customer Complaints Robert Voorhees has been the subject of 3 customer complaints that we know about to recover investment losses. One customer complaint was settled by Wachovia Securities in favor of the investor. The other two customer complaints were denied by Robert Voorhees’ employers and to date no further action has been taken by the investors. Allegations Against Robert Voorhees A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Robert Voorhees Red Flags & Your Rights As An Investor Of course, Robert Voorhees 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 Robert Voorhees at Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Robert Voorhees has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company, 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 Stifel, Nicolaus & Company, Incorporated Due To Robert Voorhees If you have questions about Stifel, Nicolaus & Company, Incorporated and/or Robert Voorhees 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 19, 2023

Juan Villalobos formerly with Money Concepts Capital Corp.

DID JUAN CARLOS VILLALOBOS CAUSE YOU INVESTMENT LOSSES? Juan Villalobos Formerly With Money Concepts Capital Corp. Has 3 Customer Complaints For Alleged Broker Misconduct Juan Villalobos Customer Complaints Juan Villalobos has been the subject of 3 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled by Money Concepts Capital Corp. in favor of the investors. The brokerage firm denied the other customer complaint and so far, the investor has not taken any further action. Allegations Against Juan Villalobos A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Juan Villalobos Red Flags & Your Rights As An Investor Of course, Juan Villalobos 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 Juan Villalobos at Money Concepts Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Juan Villalobos has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Money Concepts Capital 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 Money Concepts Capital Corp. Due To Juan Villalobos If you have questions about Money Concepts Capital Corp. and/or Juan Villalobos 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 19, 2023

Ajay Verma of Ameriprise Financial Services, LLC

DID AJAY VERMA CAUSE YOU INVESTMENT LOSSES? Ajay Verma Of Ameriprise Financial Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Ajay Verma Customer Complaint Ajay Verma 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 improper recommendation to exchange variable annuity contracts. The customer complaint evolved into a FINRA arbitration proceeding that is still pending. Ajay Verma Red Flags & Your Rights As An Investor Of course, Ajay Verma 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 Ajay Verma at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Ajay Verma has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial 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 Ameriprise Financial Services, LLC Due To Ajay Verma If you have questions about Ameriprise Financial Services, LLC and/or Ajay Verma 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 19, 2023

Alfred Vanderlaan formerly with Westpark Capital, Inc.

DID ALFRED SIETZE VANDERLAAN CAUSE YOU INVESTMENT LOSSES? Alfred Vanderlaan Formerly With Westpark Capital, Inc. And Sandlapper Securities, LLC Has 12 Customer Complaints For Alleged Broker Misconduct Alfred Vanderlaan Customer Complaints Alfred Vanderlaan has been the subject of 12 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled by Capwest Securities in favor the investors. Six of the customer complaints were denied by Alfred Vanderlaan’s former employer and the investors took no further action. There are currently 4 FINRA arbitration proceedings recently filed against Westpark Capital for Alfred Vanderlaan’s alleged misconduct in connection with the offer and sale of GWG L-bonds that are still pending. Allegations Against Alfred Vanderlaan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alfred Vanderlaan Red Flags & Your Rights As An Investor Of course, Alfred Vanderlaan 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 Alfred Vanderlaan at Westpark Capital, Inc. and Sandlapper Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Alfred Vanderlaan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Westpark Capital, Inc. and Sandlapper 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 Westpark Capital, Inc. Due To Alfred Vanderlaan If you have questions about Westpark Capital, Inc., Sandlapper Securities, LLC and/or Alfred Vanderlaan 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 18, 2023

Jason Turner of Ameriprise Financial Services, LLC

DID JASON BRIAN TURNER CAUSE YOU INVESTMENT LOSSES? Jason Turner Of Ameriprise Financial Services, LLC And Formerly With Investment Professionals, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Jason Turner Customer Complaints Jason Turner has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint was denied by Edward Jones and the investor took no further action. The other customer complaint against Newbridge Securities Corporation for Jason Turner’s alleged misconduct is still pending. Allegations Against Jason Turner A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses follows: Jason Turner Red Flags & Your Rights As An Investor Of course, Jason Turner 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 Jason Turner at Ameriprise Financial Services, LLC and Investment Professionals, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jason Turner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC and Investment Professionals, 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 Ameriprise Financial Services, LLC Due To Jason Turner If you have questions about Ameriprise Financial Services, LLC, Investment Professionals, Inc. and/or Jason Turner 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 18, 2023

Timothy Tremblay of Centaurus Financial, Inc

DID TIMOTHY NEIL TREMBLAY CAUSE YOU INVESTMENT LOSSES? Timothy Tremblay Of Centaurus Financial, Inc. Has 8 Customer Complaints For Alleged Broker Misconduct Timothy Tremblay Customer Complaints Timothy Tremblay has been the subject of 8 customer complaints that we know about to recover investment losses. One customer complaint resulted in an arbitration award entered against Prudential Securities for Timothy Tremblay’s alleged misconduct. Five customer complaints were settled by Timothy Tremblay’s current and former employers. There are currently two FINRA arbitration proceedings pending against Centaurus Financial for Timothy Tremblay’s alleged misconduct. Allegations Against Timothy Tremblay A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses follows: Timothy Tremblay Red Flags & Your Rights As An Investor Of course, Timothy Tremblay 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 Timothy Tremblay at Centaurus Financial, Inc on alert to review carefully the activity and performance of their accounts and question whether Timothy Tremblay has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Centaurus Financial, 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 Centaurus Financial, Inc Due To Timothy Tremblay If you have questions about Centaurus Financial, Inc and/or Timothy Tremblay 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 18, 2023

Todd Trautmann of Thrivent Investment Management Inc.

DID TODD ARTHUR TRAUTMANN CAUSE YOU INVESTMENT LOSSES? Todd Trautmann Of Thrivent Investment Management Inc. Has A Customer Complaint For Alleged Broker Misconduct Todd Trautmann Customer Complaint Todd Trautmann 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 an insurance contract was misrepresented to the customer as an investment. Thrivent Investment Management recently denied the customer complaint and, to date, the investor has not taken any further action. Todd Trautmann Red Flags & Your Rights As An Investor Of course, Todd Trautmann 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 Todd Trautmann at Thrivent Investment Management Inc. on alert to review carefully the activity and performance of their accounts and question whether Todd Trautmann has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Thrivent Investment 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 Thrivent Investment Management Inc. Due To Todd Trautmann If you have questions about Thrivent Investment Management Inc. and/or Todd Trautmann 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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