Oct 19, 2023

Stephen Hollingsworth of Raymond James Financial Services, Inc.

DID STEPHEN JOSEPH HOLLINGSWORTH CAUSE YOU INVESTMENT LOSSES? Stephen Hollingsworth Of Raymond James Financial Services, Inc. has 4 Customer Complaints For Alleged Broker Misconduct Stephen Hollingsworth Customer Complaints Stephen Hollingsworth has been the subject of 4 customer complaints that we know about to recover investment losses. One customer complaint proceeded to arbitration against Raymond James Financial Services for Stephen Hollingsworth’s alleged misconduct and resulted in an arbitration award in favor of the investor. Three of the customer disputes were settled by the advisor’s current and former employers in favor of the investors. Allegations Against Stephen Hollingsworth A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Stephen Hollingsworth Red Flags & Your Rights As An Investor Of course, Stephen Hollingsworth 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 Stephen Hollingsworth at Raymond James Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Stephen Hollingsworth has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James 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 Raymond James Financial Services, Inc. Due To Stephen Hollingsworth If you have questions about Raymond James Financial Services, Inc. and/or Stephen Hollingsworth 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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Oct 18, 2023

John Hoffman of Charles Schwab & Co., Inc.

DID JOHN HOFFMAN CAUSE YOU INVESTMENT LOSSES? John Hoffman Of Charles Schwab & Co., Inc. Has A Customer Complaint For Alleged Broker Misconduct John Hoffman Customer Complaint John Hoffman 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 the representative provided poor advice in managing a fee-based account. Charles Schwab and Co. recently denied the customer complaint and, so far, investor has not taken any further action. John Hoffman Red Flags & Your Rights As An Investor Of course, John Hoffman 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 Hoffman at Charles Schwab & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether John Hoffman has 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 John Hoffman If you have questions about Charles Schwab & Co., Inc. and/or John Hoffman 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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Oct 18, 2023

Michael Gravelyn formerly with Northwestern Mutual Investment Services, LLC

DID MICHAEL GERARD GRAVELYN CAUSE YOU INVESTMENT LOSSES? Michael Gravelyn Formerly With Northwestern Mutual Investment Services, LLC Has 4 Customer Complaints For Alleged Broker Misconduct Michael Gravelyn Customer Complaints Michael Gravelyn has been the subject of 4 customer complaints that we know about to recover investment losses. All 4 customer complaints are still pending against Northwestern Mutual Investment Services for the financial advisors’ alleged misconduct. Allegations Against Michael Gravelyn The allegations made in the FINRA reported arbitration claims for investment losses were all related to the advisor’s alleged applications for non-variable life insurance policies without the client’s signatures and/or consent. As a result, he was permitted to resign while under investigation for those allegations. Michael Gravelyn Red Flags & Your Rights As An Investor Of course, Michael Gravelyn 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 Gravelyn at Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Michael Gravelyn has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment 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 Northwestern Mutual Investment Services, LLC Due To Michael Gravelyn If you have questions about Northwestern Mutual Investment Services, LLC and/or Michael Gravelyn 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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Oct 18, 2023

Darryl Cohen formerly with Morgan Stanley

DID DARRYL MATTHEW COHEN CAUSE YOU INVESTMENT LOSSES? Darryl Cohen Formerly With Morgan Stanley Has 12 Customer Complaints For Alleged Broker Misconduct Darryl Cohen Customer Complaints Darryl Cohen has been the subject of 12 customer complaints that we know about recovering investment losses. One of Darryl Cohen’s 12 customer complaints resulted in an Award in favor of investor. Six of Darryl Cohen’s customer complaints were settled in favor of investors. Three of Darryl Cohen’s customer complaints were denied and, to date, the customers have not taken any further action. There are currently 2 pending customer complaints filed against Darryl Cohen’s current employer Morgan Stanley for investment losses caused by the alleged misconduct. Allegations Against Darryl Cohen A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Darryl Cohen Red Flags & Your Rights As An Investor Of course, Darryl Cohen 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 Darryl Cohen at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Darryl Cohen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley 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 Morgan Stanley Due To Darryl Cohen If you have questions about Morgan Stanley and/or Darryl Cohen 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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Oct 18, 2023

Grant Birkley formerly with Sagepoint Financial, Inc.

DID GRANT CHRISTOPHER BIRKLEY CAUSE YOU INVESTMENT LOSSES? Grant Birkley Formerly With Sagepoint Financial, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Grant Birkley Customer Complaints Grant Birkley has been the subject of 3 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled by SagePoint Financial for $1.25 million and $625,000 and the other remains pending in a FINRA arbitration proceeding. Allegations Against Grant Birkley A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Grant Birkley Red Flags & Your Rights As An Investor Of course, Grant Birkley 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 Grant Birkley at Sagepoint Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Grant Birkley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sagepoint Financial, 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 Sagepoint Financial, Inc. Due To Grant Birkley If you have questions about Sagepoint Financial, Inc. and/or Grant Birkley 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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Oct 17, 2023

Ann Greene of Oppenheimer & Co. Inc.

DID ANN LOUISE GREENE CAUSE YOU INVESTMENT LOSSES? Ann Greene Of Oppenheimer & Co. Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Ann Greene Customer Complaints Ann Greene has been the subject of 2 customer complaints that we know about to recover investment losses. Both of the customer complaints are still pending against Oppenheimer and Co. for Ann Greene’s alleged misconduct. The arbitration in which Claimant’s alleged John Woods and Michael Mooney conducted a Ponzi scheme also alleges a failure to supervise on the part of Anne Greene. Allegations Against Ann Greene A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Ann Greene Red Flags & Your Rights As An Investor Of course, Ann Greene 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 Ann Greene at Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Ann Greene has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & 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 Oppenheimer & Co. Inc. Due To Ann Greene If you have questions about Oppenheimer & Co. Inc. and/or Ann Greene 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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Oct 17, 2023

Kevin Gleim of Thrivent Investment Management Inc.

DID KEVIN GERALD GLEIM CAUSE YOU INVESTMENT LOSSES? Kevin Gleim Of Thrivent Investment Management Inc. Has A Customer Complaint For Alleged Broker Misconduct Kevin Gleim Customer Complaint Kevin Gleim 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 the single premium immediate annuity funded with partial redemption of a mutual fund is not a suitable investment for the client. Kevin Gleim’s current employer recently denied the customer complaint and, to date, the investor has not taken any further action. Kevin Gleim Red Flags & Your Rights As An Investor Of course, Kevin Gleim 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 Gleim at Thrivent Investment Management Inc. on alert to review carefully the activity and performance of their accounts and question whether Kevin Gleim 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 Kevin Gleim If you have questions about Thrivent Investment Management Inc. and/or Kevin Gleim 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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Oct 17, 2023

Kenneth Frasier of Fidelity Brokerage Services LLC

DID KENNETH DALE FRASIER CAUSE YOU INVESTMENT LOSSES? Kenneth Frasier Of Fidelity Brokerage Services LLC Has A Customer Complaint For Alleged Broker Misconduct Kenneth Frasier Customer Complaint Kenneth Frasier 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 the registered representatives recommendation to sell certain equity positions in her account was unsuitable and not in her best interests considering the potential tax implications. Fidelity Brokerage Services recently denied the customer complaint and, to date, investor has not taken any further action. Kenneth Frasier Red Flags & Your Rights As An Investor Of course, Kenneth Frasier 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 Kenneth Frasier at Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether Kenneth Frasier has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage 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 Fidelity Brokerage Services LLC Due To Kenneth Frasier If you have questions about Fidelity Brokerage Services LLC and/or Kenneth Frasier 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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Oct 17, 2023

Stephen Fraser of Goldman Sachs & Co. LLC

DID STEPHEN FRASER CAUSE YOU INVESTMENT LOSSES? Stephen Fraser Of Goldman Sachs & Co. LLC And Formerly with First Republic Securities Company, LLC and Northwestern Mutual Investment Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Stephen Fraser Customer Complaint Stephen Fraser 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 that investments in corporate bonds through a discretionary investment account is not in alignment with than investment plan discussed between the registered representative and the client. The FINRA arbitration proceeding filed against Goldman Sachs for Stephen Fraser’s alleged misconduct is still pending. Stephen Fraser Red Flags & Your Rights As An Investor Of course, Stephen Fraser 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 Stephen Fraser at Goldman Sachs & Co. LLC, First Republic Securities Company, LLC and Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Stephen Fraser has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Goldman Sachs & Co. LLC, First Republic Securities Company, LLC and Northwestern Mutual Investment Services, 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 Goldman Sachs & Co. LLC Due To Stephen Fraser If you have questions about Goldman Sachs & Co. LLC, First Republic Securities Company, LLC, Northwestern Mutual Investment Services, LLC and/or Stephen Fraser 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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Oct 16, 2023

Jeffrey Forbes of JP Morgan Securities LLC

DID JEFFREY M FORBES CAUSE YOU INVESTMENT LOSSES? Jeffrey Forbes Of JP Morgan Securities LLC Has A Customer Complaint For Alleged Broker Misconduct Jeffrey Forbes Customer Complaint Jeffrey Forbes 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 unsuitable investment recommendations involving REITs. The customer dispute is still pending in a FINRA arbitration proceeding filed against J.P. Turner and Co., LLC. Jeffrey Forbes Red Flags & Your Rights As An Investor Of course, Jeffrey Forbes 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 Jeffrey Forbes at JP Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Forbes has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at JP 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 JP Morgan Securities LLC Due To Jeffrey Forbes If you have questions about JP Morgan Securities LLC and/or Jeffrey Forbes 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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