Nov 15, 2024

Ellen Harless Formerly With Stifel, Nicolaus & Company, Incorporated Reviews

DID ELLEN FERRIS HARLESS CAUSE YOU INVESTMENT LOSSES? Ellen Harless Customer Complaints and Reviews Ellen Harless has one pending customer dispute on record: Allegations Against Ellen Harless Ellen Harless Red Flags & Your Rights As An Investor Of course, Ellen Harless 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 Ellen Harless at Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Ellen Harless 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 Ellen Harless If you have questions about Stifel, Nicolaus & Company, Incorporated and/or Ellen Harless 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 15, 2024

Robert Daly Formerly With Xtellus Capital Partners, Inc.  Reviews

DID ROBERT ANTHONY DALY CAUSE YOU INVESTMENT LOSSES? Robert Daly formerly with Xtellus Capital Partners, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Robert Daly Customer Complaints and Reviews Robert Daly’s report contains two customer disputes: Allegations Against Robert Daly Robert Daly Red Flags & Your Rights As An Investor Of course, Robert Daly 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 Daly at Xtellus Capital Partners, Inc. on alert to review carefully the activity and performance of their accounts and question whether Robert Daly has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Xtellus Capital Partners, 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 Xtellus Capital Partners, Inc. Due To Robert Daly If you have questions about Xtellus Capital Partners, Inc.  and/or Robert Daly 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 14, 2024

Brian Graham Formerly With Cetera Advisor Networks LLC Reviews

DID BRIAN SCOTT GRAHAM CAUSE YOU INVESTMENT LOSSES? Brian Graham Formerly With Cetera Advisor Networks LLC Has 2 Customer Complaints For Alleged Broker Misconduct Brian Graham Customer Complaints and Reviews Brian Graham has two customer disputes, and a job termination. Allegations Against Brian Graham Brian Graham Red Flags & Your Rights As An Investor Of course, Brian Graham did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Brian Graham at Cetera Advisor Networks LLC on alert to review carefully the activity and performance of their accounts and question whether Brian Graham has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks 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 Cetera Advisor Networks LLC Due To Brian Graham If you have questions about Cetera Advisor Networks LLC and/or Brian Graham 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 14, 2024

Riley Giauque of LPL Financial LLC Reviews

DID RILEY ROBERT GIAUQUE CAUSE YOU INVESTMENT LOSSES? Riley Giauque Customer Complaints and Reviews Riley Giauque has one customer dispute currently pending: Allegations Against Riley Giauque The customer complaint against Riley Giauque involves claims that the annuity exchange transactions recommended were not in the client’s best interest. The dispute remains unresolved. Riley Giauque Red Flags & Your Rights As An Investor Of course, Riley Giauque 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 Riley Giauque at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Riley Giauque 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 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 LPL Financial LLC Due To LPL Financial LLC If you have questions about LPL Financial LLC and/or Riley Giauque 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 14, 2024

Craig Ferraro of J.P. Morgan Securities LLC Reviews

DID CRAIG J FERRARO CAUSE YOU INVESTMENT LOSSES? Craig Ferraro Customer Complaints and Reviews Craig Ferraro has one customer dispute currently pending: Allegations Against Craig Ferraro The pending customer dispute against Craig Ferraro involves allegations of misrepresentation in a variable annuity transaction that took place in July 2023. The customer claims they were misled regarding the investment. Craig Ferraro asserts that the investment was suitable based on the client’s goals, risk tolerance, and investment objectives, and that all relevant product features and risks were disclosed at the time of purchase. Craig Ferraro Red Flags & Your Rights As An Investor Of course, Craig Ferraro 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 Craig Ferraro at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Craig Ferraro has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan 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 J.P. Morgan Securities LLC Due To Craig Ferraro If you have questions about J.P. Morgan Securities LLC and/or Craig Ferraro 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 13, 2024

Austin Arata of Kinecta Financial & Insurance Services and LPL Financial LLC Reviews

DID AUSTIN ARATA CAUSE YOU INVESTMENT LOSSES? Austin Arata Customer Complaints and Reviews Allegations Against Austin Arata The pending customer dispute involves allegations of unauthorized transactions related to variable annuities. The customer claims the broker made these transactions without permission, resulting in significant damage. The broker disputes the claim, maintaining that all recommendations and strategies were appropriate and disclosed to the customer, emphasizing that the arbitration is still ongoing. Allegations Against David Boral The pending customer dispute alleges that David Boral endorsed representations made by an EF Hutton representative about the certainty of an IPO for Veg House, which did not take place by the expected date. The claimant is seeking the return of their $1,000,000 investment. David Boral has denied endorsing the deal and clarified that arrangements were made in the securities purchase agreement to repurchase the shares if the IPO did not occur by May 2024. The case remains unresolved, with arbitration ongoing. Austin Arata Red Flags & Your Rights As An Investor Of course, Austin Arata 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 Austin Arata at Kinecta Financial & Insurance Services or LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Austin Arata has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kinecta Financial & Insurance Servicesor LPL Financial 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 Kinecta Financial & Insurance Services Due To Austin Arata If you have questions about Kinecta Financial & Insurance Services, LPL Financial LLC and/or Austin Arata 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 13, 2024

David Boral of EF Hutton LLC Reviews

DID DAVID WALTER BORAL CAUSE YOU INVESTMENT LOSSES? David Boral Customer Complaints and Reviews David Boral has one customer dispute on record:Dispute Served: August 8, 2024 Complaint: The claimant seeks a return of $1,000,000 for an IPO transaction involving Veg House that did not take place as expected. The claimant alleges that during a Zoom conference call, a representative of EF Hutton made assurances about the IPO that were later endorsed by David Boral. Damage: $1,000,000 Status: The case is currently pending in arbitration with FINRA. Allegations Against David Boral The pending customer dispute alleges that David Boral endorsed representations made by an EF Hutton representative about the certainty of an IPO for Veg House, which did not take place by the expected date. The claimant is seeking the return of their $1,000,000 investment. David Boral has denied endorsing the deal and clarified that arrangements were made in the securities purchase agreement to repurchase the shares if the IPO did not occur by May 2024. The case remains unresolved, with arbitration ongoing. David Boral Red Flags & Your Rights As An Investor Of course, David Boral 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 Boral at EF Hutton LLC on alert to review carefully the activity and performance of their accounts and question whether David Boral has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at EF Hutton 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 EF Hutton LLC Due To David Boral If you have questions about EF Hutton LLC and/or David Boral 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 13, 2024

Jonathan Barrack of Allstate Financial Services, LLC FIRED

DID JONATHAN ADAM BARRACK CAUSE YOU INVESTMENT LOSSES? Jonathan Barrack Formerly With Allstate Financial Services, LLC was recently fired, due to allegations related to document handling without customer consent and violation of communication policies. Jonathan Barrack Employment History and Termination Jonathan Barrack has worked for multiple firms in the securities industry, including Allstate Financial Services, LLC, Silver Oak Securities, Inc., and WFG Investments, Inc. He passed two general industry/product exams and two multi-state securities law exams. Throughout his career, he also held positions with other firms like Oppenheimer & Co. Inc. and UBS Financial Services Inc. Barrack’s employment was terminated by Allstate Financial Services on September 24, 2024. This decision was reportedly due to a “loss of confidence” following allegations that Barrack obtained only the signature page of a document and later completed the remainder without the customer’s knowledge. Additionally, he allegedly violated firm policies regarding off-channel electronic communications, leading to his departure. Negative Disclosures Summary Customer Disputes: 3 Pending Dispute (November 5, 2012): Another client filed a claim asserting that Barrack’s advice regarding retirement fund investments in CDs was not suitable, seeking $3,000,000 in damages. Settled Dispute (January 3, 2001): A PaineWebber client alleged a transaction error in purchasing an incorrect stock symbol and was also charged margin interest. The case settled for $47,537.75. Pending Dispute (February 25, 2009): A client alleged that CDs purchased were unsuitable and that Barrack’s recommendation was not in the client’s best interest, seeking $847,000 in damages. Allegations and Accusations Jonathan Barrack Red Flags & Your Rights As An Investor Of course, Jonathan Barrack 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 coupled with the recent termination are red flags which should put all current and former customers of Jonathan Barrack at Allstate Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Jonathan Barrack has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Allstate 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 Allstate Financial Services, LLC Due To Jonathan Barrack If you have questions about Allstate Financial Services, LLC and/or Jonathan Barrack 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 12, 2024

Kevin Bailey of Charles Schwab & Co., Inc. Reviews

DID KEVIN MICHAEL BAILEY CAUSE YOU INVESTMENT LOSSES? Kevin Bailey Customer Complaints and Reviews Kevin Bailey has one customer dispute: Customer Dispute: Filed on February 27, 2024, this arbitration alleges that starting in or around 2018, Bailey provided poor investment advice, resulting in damage related to mutual fund investments. The claim is for $500,000, and it is currently pending with FINRA under case #24-00454. Allegations Against Kevin Bailey Kevin Bailey Red Flags & Your Rights As An Investor Of course, Kevin Bailey 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 Bailey at Charles Schwab & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Kevin Baileyhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & Co., 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 Charles Schwab & Co., Inc.  Due To Kevin Bailey If you have questions about Charles Schwab & Co., Inc. and/or Kevin Bailey 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 12, 2024

Kiffin Anderson Formerly With Brokers International Financial Services, LLC Reviews

DID KIFFIN SCOTT ANDERSON CAUSE YOU INVESTMENT LOSSES? Kiffin Anderson Customer Complaints and Reviews Kiffin Anderson has two disclosure events: Regulatory Event: On July 7, 2023, FINRA initiated regulatory action against Anderson. He was sanctioned for falsifying customer signatures on account transfer forms. Despite customer permission, Anderson’s firm policies prohibited such actions. He also falsely attested in a compliance questionnaire regarding these signatures. This resulted in a $5,000 fine and a one-month suspension starting from September 5, 2023, to October 4, 2023. Customer Dispute received March 5, 2024: There is one pending customer complaint, alleging that Anderson ignored client requests not to invest in annuities. The complaint also states he failed to disclose surrender fees and contract expenses, impacting on the clients’ ability to access funds. The estimated surrender charges exceed $5,000. The dispute remains unresolved as of March 28, 2024. Allegations Against Kiffin Anderson Kiffin Anderson Red Flags & Your Rights As An Investor Of course, Kiffin Anderson 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 Kiffin Anderson at Brokers International Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Kiffin Anderson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Brokers International 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 Brokers International Financial Services, LLC Due To Kiffin Anderson If you have questions about Brokers International Financial Services, LLC and/or Kiffin Anderson 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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