Jun 27, 2022

Alexander Bender of Commonwealth Financial Network

DID ALEXANDER B. BENDER CAUSE YOU INVESTMENT LOSSES? Alexander Bender Of Commonwealth Financial Network And Formerly With Next Financial Group, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Alexander Bender of Commonwealth Financial Network? Alexander Bender (CRD #5845690) who is currently registered with Commonwealth Financial Network and located in Dedham, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Commonwealth Financial Network, Alexander Bender was associated with Next Financial Group, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Alexander Bender Customer Complaint Alexander Bender has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that Alexander Bender failed to follow a client’s instructions to remain in cash after market downturn. Alexander Bender’s customer complaint was denied and, to date, the customer has not taken any further action. Alexander Bender Red Flags & Your Rights As An Investor Of course, Alexander Bender 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 Alexander Bender at Commonwealth Financial Network and Next Financial Group, Inc. on alert to review carefully the activity and performance of their accounts and question whether Alexander Bender has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Commonwealth Financial Network and Next Financial Group, 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. File A Claim To Recover Your Investment Losses At Commonwealth Financial Network Due To Alexander Bender If you have questions about Commonwealth Financial Network, Next Financial Group, Inc. and/or Alexander Bender 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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Jun 21, 2022

Christopher Hughes formerly with Wells Fargo Clearing Services, LLC

It’s critical for everyone to understand everything they can about the people with whom they entrust their money. There are several places where you may learn more about a person’s background, including past employment history, regulatory enforcement actions, and consumer complaints. Learning such important facts about Christopher Hughes may result in concerns about investment losses you’ve incurred. We’ll do everything we can to address any questions you have. DID CHRISTOPHER CHARLES HUGHES CAUSE YOU INVESTMENT LOSSES? Christopher Hughes Formerly With Wells Fargo Clearing Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Christopher Hughes formerly with Wells Fargo Clearing Services, LLC? Christopher Hughes (CRD #4051475) who was formerly registered with Wells Fargo Clearing Services, LLC and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Christopher Hughes Customer Complaint Christopher Hughes has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were elder abuse and unsuitable investment recommendations. The customer complaint filed against Christopher Hughes’ former employer Wells Fargo Clearing Services, LLC for investment losses caused by the alleged misconduct is pending as of the date of this report. Christopher Hughes Red Flags & Your Rights As An Investor Of course, Christopher Hughes 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 Christopher Hughes at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Christopher Hughes 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. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services, LLC Due To Christopher Hughes If you have questions about Wells Fargo Clearing Services, LLC and/or Christopher Hughes 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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Jun 21, 2022

Christopher Riggs of LPL Financial LLC

It is critical for everyone to understand as much as possible about the persons with whom they entrust their money. Background checks may reveal a wealth of information, including past employment history, regulatory disciplinary actions, and consumer complaints. This vital information might lead to concerns about Christopher Riggs and the money you lost as a result of your investments. We’ll do our best to answer any questions you may have. DID CHRISTOPHER BRIAN RIGGS CAUSE YOU INVESTMENT LOSSES? Christopher Riggs Of LPL Financial LLC Has 4 Customer Complaints For Alleged Broker Misconduct Who is Christopher Riggs of LPL Financial LLC? Christopher Riggs (CRD #4133082) who is currently registered with LPL Financial LLC and located in Petersburg, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Christopher Riggs Customer Complaints Christopher Riggs has been the subject of 4 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Two of Christopher Riggs’ 4 customer complaints were settled in favor of investors. Two of Christopher Riggs’ customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Christopher Riggs A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Unsuitable investment recommendations with respect to real estate securities. At misrepresentations and unsuitable investment recommendations related to corporate bonds and mutual funds. Christopher Riggs Red Flags & Your Rights As An Investor Of course, Christopher Riggs 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 Christopher Riggs at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Christopher Riggs 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. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Christopher Riggs If you have questions about LPL Financial LLC and/or Christopher Riggs 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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Jun 20, 2022

Christiane Olsen of UBS Financial Services Inc.

It’s critical for everyone to understand as much as they can about the people with whom they entrust their money. There are several sources where you may learn more about a person’s background, including prior employment history, regulatory enforcement actions, and consumer complaints. This crucial information may generate concerns about Christiane Olsen and any lost investments. We’ll do everything we can to respond to your questions. DID CHRISTIANE OLSEN CAUSE YOU INVESTMENT LOSSES? Christiane Olsen Of UBS Financial Services Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Christiane Olsen of UBS Financial Services Inc.? Christiane Olsen (CRD #1306992) who is currently registered with UBS Financial Services Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Christiane Olsen Customer Complaints Christiane Olsen has been the subject of 3 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. All 3 of Christiane Olsen’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Christiane Olsen A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Investment recommendations were inconsistent with their profile to seek protection a principal and generation of income through low-risk investments. Failure to file client’s instructions. Misrepresentation, unsuitable investment recommendations and negligence with respect to management of client’s portfolio. Christiane Olsen Red Flags & Your Rights As An Investor Of course, Christiane Olsen 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 Christiane Olsen at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Christiane Olsen 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 firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Christiane Olsen If you have questions about UBS Financial Services Inc. and/or Christiane Olsen 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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Jun 20, 2022

Cheryl Romann of Intercarolina Financial Services, Inc.

As a client, you put your money in the hands of a broker that you can trust. This is why it’s critical to understand everything there is to know about the individual investing your cash. This knowledge might assist you in determining whether or not to work with a certain broker. If you believe Cheryl Romann has caused you financial harm, we may be able to help you address any concerns or issues you have. DID CHERYL LYNN ROMANN CAUSE YOU INVESTMENT LOSSES? Cheryl Romann Of Intercarolina Financial Services, Inc. And Formerly With Capital Financial Services, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Cheryl Romann of Intercarolina Financial Services, Inc.? Cheryl Romann (CRD #3163696) who is currently registered with Intercarolina Financial Services, Inc. and located in Perham, Minnesota is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Intercarolina Financial Services, Inc., Cheryl Romann was associated with Capital Financial Services, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cheryl Romann Customer Complaints Cheryl Romann has been the subject of 4 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. There are currently 4 pending customer complaints filed against Cheryl Romann’s former employer Capital Financial Services, Inc. for investment losses caused by the alleged misconduct. Allegations Against Cheryl Romann A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Breach of fiduciary duty, violation of federal and state securities laws related to oil and gas investments. Violations of federal securities laws, breach of fiduciary duty, and breach of contract related to oil and gas mutual fund investment. Misrepresentation, breach of fiduciary duty and violation of Indiana state securities laws related to variable annuity, oil and gas and REIT investments. Violations of federal securities laws, Minnesota securities act, and FINRA rules related to real estate investments. Cheryl Romann Red Flags & Your Rights As An Investor Of course, Cheryl Romann 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 Romann at Intercarolina Financial Services, Inc. and Capital Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Cheryl Romann has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Intercarolina Financial Services, Inc. and Capital 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. File A Claim To Recover Your Investment Losses At Intercarolina Financial Services, Inc. Due To Cheryl Romann If you have questions about Intercarolina Financial Services, Inc., Capital Financial Services, Inc., and/or Cheryl Romann 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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Jun 20, 2022

Cheryl Marquez of LPL Financial LLC

It’s critical that everyone understand everything there is to know about the people with whom they entrust their money. There are many places where you may learn more about someone’s background, such as past employment history, regulatory disciplinary actions, and consumer complaints. If you have any questions about Cheryl Marquez or investment losses you’ve incurred, please contact us. We’ll do everything we can to address your concerns. DID CHERYL LYNN MARQUEZ CAUSE YOU INVESTMENT LOSSES? Cheryl Marquez Of LPL Financial LLC And Formerly With Waddell & Reed Has 2 Customer Complaints For Alleged Broker Misconduct Who is Cheryl Marquez of LPL Financial LLC? Cheryl Marquez (CRD #1903735) who is currently registered with LPL Financial LLC and located in Campbell, California is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, Cheryl Marquez was associated with Waddell & Reed and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cheryl Marquez Customer Complaints Cheryl Marquez has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. One of Cheryl Marquez’s customer complaints was denied and, to date, the customers have not taken any further action. There is currently 1 pending customer complaint filed against Cheryl Marquez’s former employer Waddell & Reed for investment losses caused by the alleged misconduct. Allegations Against Cheryl Marquez A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Failure to liquidate mutual fund investment. Failure to liquidate fixed income funds. Cheryl Marquez Red Flags & Your Rights As An Investor Of course, Cheryl Marquez 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 Marquez at LPL Financial LLC and Waddell & Reed on alert to review carefully the activity and performance of their accounts and question whether Cheryl Marquez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Waddell & Reed 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. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Cheryl Marquez If you have questions about LPL Financial LLC, Waddell & Reed, and/or Cheryl Marquez 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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Jun 20, 2022

Charles Dixon of Sagepoint Financial, Inc.

DID CHARLES RAY DIXON CAUSE YOU INVESTMENT LOSSES? Charles Dixon Of Sagepoint Financial, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct As a client, you are putting your money in the hands of a broker that you can rely on. This is why it’s critical to know all there is to know about the individual handling your assets. This information might assist you in determining whether or not to deal with a particular broker. If you believe Charles Dixon has caused you financial harm, we may be able to help you in resolving any issues or concerns you have. Charles Dixon Customer Complaints Charles Dixon has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses.  Two of Charles Dixon’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 Charles Dixon’s current employer Sagepoint Financial, Inc. for investment losses caused by the alleged misconduct. Allegations Against Charles Dixon A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Charles Dixon Red Flags & Your Rights As An Investor Of course, Charles Dixon 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 Charles Dixon at Sagepoint Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Charles Dixon 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. Related Read: How to Sue Your Financial Advisor or Broker Over Investment Losses File A Claim To Recover Your Investment Losses At Sagepoint Financial, Inc. Due To Charles Dixon If you have questions about Sagepoint Financial, Inc. and/or Charles Dixon 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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Jun 17, 2022

Cheryl Brown of LPL Financial LLC

It is critical for everyone to understand as much as possible about the people with whom they entrust their money. There are several places where you may learn more about a person’s background, including his or her past employment history, regulatory administrative actions, and consumer complaints. This crucial information might lead to concerns regarding your investments with Cheryl Brown. We will do our utmost to respond to any inquiries you may have. DID CHERYL ANN BROWN CAUSE YOU INVESTMENT LOSSES? Cheryl Brown Of LPL Financial LLC And Formerly With H. Beck, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Cheryl Brown of LPL Financial LLC? Cheryl Brown (CRD #1650399) who is currently registered with LPL Financial LLC and located in Worthington, Ohio is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, Cheryl Brown was associated with H. Beck, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cheryl Brown Customer Complaint Cheryl Brown has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unsuitable investment recommendations and misrepresentation of risks associated with business development companies. Cheryl Brown’s customer complaint was settled in favor of the investors. Cheryl Brown Red Flags & Your Rights As An Investor Of course, Cheryl Brown 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 Brown at LPL Financial LLC and H. Beck, Inc. on alert to review carefully the activity and performance of their accounts and question whether Cheryl Brown has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and H. Beck, 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. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Cheryl Brown If you have questions about LPL Financial LLC, H. Beck, Inc., and/or Cheryl Brown 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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Jun 15, 2022

Charlie Williams of MML Investors Services, LLC

As a client, you put your money in the hands of someone you can trust. This is why it’s critical to learn everything there is to know about the individual managing your funds. This knowledge might assist you in determining whether or not to work with a specific broker. If you believe Charlie Williams has caused you financial harm, we may be able to help you in addressing any issues or problems you have. DID CHARLIE WILLIAMS JR CAUSE YOU INVESTMENT LOSSES? Charlie Williams Of MML Investors Services, LLC And Formerly With MSI Financial Services, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Charlie Williams of MML Investors Services, LLC? Charlie Williams (CRD #1135489) who is currently registered with MML Investors Services, LLC and located in Rochester, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to MML Investors Services, LLC, Charlie Williams was associated with MSI Financial Services, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.  Charlie Williams Customer Complaint Charlie Williams has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were misrepresentations, and fraudulent course of conduct regarding the purchase of a variable annuity. Charlie Williams’ customer complaint was settled in favor of the investor. Charlie Williams Red Flags & Your Rights As An Investor Of course, Charlie Williams 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 Charlie Williams at MML Investors Services, LLC and MSI Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Charlie Williams has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services, LLC and MSI 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. File A Claim To Recover Your Investment Losses At MML Investors Services, LLC Due To Charlie Williams If you have questions about MML Investors Services, LLC, MSI Financial Services, Inc., and/or Charlie Williams 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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Jun 15, 2022

Charles Holt formerly with Hightower Securities, LLC

It is essential that everyone understand as much as possible about the people with whom they entrust their money. There are several sources where you may learn more about a person’s background, including their prior employment history, regulatory administrative actions, and client complaints. This important information may lead to questions about Charles Holt and investment losses you suffered. We will do our best to answer those questions. DID CHARLES STEPHEN HOLT CAUSE YOU INVESTMENT LOSSES? Charles Holt Formerly With Hightower Securities, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Charles Holt formerly with Hightower Securities, LLC? Charles Holt (CRD #1943440) who was formerly registered with Hightower Securities, LLC and located in Reston, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Charles Holt Customer Complaints Charles Holt has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. One of Charles Holt’s 3 customer complaints was settled in favor of investors. There are currently 2 pending customer complaints filed against Charles Holt’s former employer Hightower Securities, LLC for investment losses caused by the alleged misconduct. Allegations Against Charles Holt A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Churning, breach of fiduciary duty and unsuitable investment recommendations. Breach of fiduciary duty, unsuitable investment recommendations, misrepresentations, failure to conduct proper due diligence, in violation of FINRA rules 2010 and 2310 related to direct investments and limited partnership interests. Charles Holt Red Flags & Your Rights As An Investor Of course, Charles Holt 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 Charles Holt at Hightower Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Charles Holt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Hightower 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. File A Claim To Recover Your Investment Losses At Hightower Securities, LLC Due To Charles Holt If you have questions about Hightower Securities, LLC and/or Charles Holt 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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