May 22, 2022

Andrew Wesner of LPL Financial LLC

As a client, you put your faith in a broker you can trust. This is why it’s critical to understand everything there is to know about the individual who is investing your cash. This information may assist you in determining whether or not to invest your money with a specific broker. If you believe Andrew Wesner has caused you financial harm, we may be able to help you address any concerns or issues you have. DID ANDREW S. WESNER CAUSE YOU INVESTMENT LOSSES? Andrew Wesner Of LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Andrew Wesner of LPL Financial LLC? Andrew Wesner (CRD #4171738) who is currently registered with LPL Financial LLC and located in Muskegon, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Andrew Wesner Customer Complaints Andrew Wesner has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Both of Andrew Wesner’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Andrew Wesner A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Andrew Wesner failed to disclose an illiquidity of Sierra Income, business development company at the time of purchase. Unsuitable investment recommendation of variable annuity. Andrew Wesner Red Flags & Your Rights As An Investor Of course, Andrew Wesner 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 Andrew Wesner at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Andrew Wesner 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 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 Andrew Wesner If you have questions about LPL Financial LLC and/or Andrew Wesner 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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Apr 1, 2022

Athishay Gangadharan of Kestra Investment Services, LLC

DID ATHISHAY GANGADHARAN CAUSE YOU INVESTMENT LOSSES? Athishay Gangadharan Of Kestra Investment Services, LLC  And Formerly With TIAA-CREF Individual & Institutional Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Athishay Gangadharan of Kestra Investment Services, LLC? Athishay Gangadharan (CRD #5531128) who is currently registered with Kestra Investment Services, LLC and located in Montclair, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Kestra Investment Services, LLC, Athishay Gangadharan was associated with TIAA-CREF Individual & Institutional Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Athishay Gangadharan Customer Complaint Athishay Gangadharan 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 financial advisor ignored her instructions to move her assets to safety in light of spreading news related to the coronavirus and further, the financial advisor invested the client’s cash and that she suffered financial losses.  Athishay Gangadharan’s customer complaint was settled in favor of the investors. Athishay Gangadharan Red Flags & Your Rights As An Investor Of course, Athishay Gangadharan 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  Athishay Gangadharan at Kestra Investment Services, LLC and TIAA-CREF Individual & Institutional Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Athishay Gangadharan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kestra Investment Services, LLC and TIAA-CREF Individual & Institutional 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 Kestra Investment Services, LLC Due To Athishay Gangadharan If you have questions about Kestra Investment Services, LLC, TIAA-CREF Individual & Institutional Services, LLC and/or Athishay Gangadharan 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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Mar 23, 2022

Caroline Overman of Pruco Securities, LLC

DID CAROLINE ELIZABETH OVERMAN CAUSE YOU INVESTMENT LOSSES? Caroline Overman Of Pruco Securities, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Caroline Overman of Pruco Securities, LLC? Caroline Overman (CRD #1277021) who is currently registered with Pruco Securities, LLC and located in Fort Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations. Caroline Overman Customer Complaint Caroline Overman 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 Caroline Overman did not fully disclose all the facts relating to withdrawals from an insurance policy. Caroline Overman’s customer complaint was denied and, to date, the customer has not taken any further action. Caroline Overman Red Flags & Your Rights As An Investor Of course, Caroline Overman 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 Caroline Overman at Pruco Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Caroline Overman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco 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. File A Claim To Recover Your Investment Losses At Pruco Securities, LLC Due To Caroline Overman If you have questions about Pruco Securities, LLC and/or Caroline Overman 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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Mar 23, 2022

Carol Brookman formerly with Morgan Stanley

DID CAROL ANN BROOKMAN CAUSE YOU INVESTMENT LOSSES? Carol Brookman Formerly With Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct Who is Carol Brookman formerly with Morgan Stanley? Carol Brookman (CRD #715993) who was formerly registered with Morgan Stanley and located in St. Paul, Minnesota is a subject of one of our many securities industry sales practice abuse investigations.  Carol Brookman Customer Complaints Carol Brookman has been the subject of 3 customer complaints that we know about, 1of those complaints was filed in the last year to recover investment losses. One of Carol Brookman’s 3 customer complaints was settled in favor of investors. Two of Carol Brookman’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Carol Brookman A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unauthorized trading. Misrepresentations of structured note investments. Unsuitable investment recommendations, failure to diversify, and excessive trading in educational trust accounts. Carol Brookman Red Flags & Your Rights As An Investor Of course, Carol Brookman 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 Carol Brookman at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Carol Brookman 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. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Carol Brookman If you have questions about Morgan Stanley and/or Carol Brookman 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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Mar 21, 2022

Cameron Karg of J.W. Cole Financial, Inc.

DID CAMERON LEE KARG CAUSE YOU INVESTMENT LOSSES? Cameron Karg Of J.W. Cole Financial, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Cameron Karg of J.W. Cole Financial, Inc.? Cameron Karg (CRD #264368) who is currently registered with J.W. Cole Financial, Inc. and located in Laguna Niguel, California is a subject of one of our many securities industry sales practice abuse investigations.     Cameron Karg Customer Complaints Cameron Karg has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Cameron Karg’s 2 customer complaints was settled in favor of investor. One of Cameron Karg’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Cameron Karg A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged that the sale of four 1031 TIC properties and one mutual fund were misrepresented and unsuitable investment recommendations. Unauthorized trading and churning of clients brokerage account. Cameron Karg Red Flags & Your Rights As An Investor Of course, Cameron Karg 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 Cameron Karg at J.W. Cole Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Cameron Karg has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.W. Cole 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. File A Claim To Recover Your Investment Losses At J.W. Cole Financial, Inc. Due To Cameron Karg If you have questions about J.W. Cole Financial, Inc. and/or Cameron Karg 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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Mar 18, 2022

Burton Halpert of Morgan Stanley

DID BURTON SHELDON HALPERT CAUSE YOU INVESTMENT LOSSES? Burton Halpert Of Morgan Stanley Has 4 Customer Complaints For Alleged Broker Misconduct Who is Burton Halpert of Morgan Stanley? Burton Halpert (CRD #234619) who is currently registered with Morgan Stanley and located in Lutherville, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Burton Halpert Customer Complaints Burton Halpert 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 Burton Halpert’s 4customer complaints were settled in favor of investors. One of Burton Halpert’s customer complaints was denied and, to date, the customer has not taken any further action. There is currently 1 pending customer complaint filed against Burton Halpert’s former employer MSSB for investment losses caused by the alleged misconduct. Allegations Against Burton Halpert A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Misrepresentations regarding investments in Fannie Mae preferred stock. Unsuitable investment recommendations involving over-the-counter equity transactions. Misrepresentation of risk related to an investment in common and preferred stock. Unsuitable investment recommendations involving equity listed common and preferred stocks. Burton Halpert Red Flags & Your Rights As An Investor Of course, Burton Halpert 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 Burton Halpert at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Burton Halpert 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. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Burton Halpert If you have questions about Morgan Stanley and/or Burton Halpert 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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Mar 18, 2022

Bryan Kang of J.P. Morgan Securities LLC

DID BRYAN KANG CAUSE YOU INVESTMENT LOSSES? Bryan Kang Of J.P. Morgan Securities LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Bryan Kang of J.P. Morgan Securities LLC? Bryan Kang (CRD #6054946) who is currently registered with J.P. Morgan Securities LLC and located in Fullerton, California is a subject of one of our many securities industry sales practice abuse investigations.   Bryan Kang Customer Complaint Bryan Kang 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 Bryan Kang made misrepresentations relating to a mutual fund investment.  Bryan Kang’s customer complaint was denied and, to date, the customer has not taken any further action. Bryan Kang Red Flags & Your Rights As An Investor Of course, Bryan Kang 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 Bryan Kang at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Bryan Kanghas 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. File A Claim To Recover Your Investment Losses At J.P. Morgan Securities LLC Due To Bryan Kang If you have questions about J.P. Morgan Securities LLC and/or Bryan Kang 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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Mar 18, 2022

Bruce Godke of Mutual Securities, Inc.

DID BRUCE TAYLOR GODKE CAUSE YOU INVESTMENT LOSSES? Bruce Godke Of Mutual Securities, Inc. And Formerly With National Planning Corporation Has 4 Customer Complaints For Alleged Broker Misconduct Who is Bruce Godke of Mutual Securities, Inc.? Bruce Godke (CRD #1733673) who is currently registered with Mutual Securities, Inc. and located in Lenexa, Kansas is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Mutual Securities, Inc., Bruce Godke was associated with National Planning Corporation and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Bruce Godke Customer Complaints Bruce Godke 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 Bruce Godke’s 4 customer complaints were settled in favor of investors. Two of Bruce Godke’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Bruce Godke A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Violation of Kansas Uniform Securities Act related to, investment advisory accounts. Unreasonable delay in processing and annuity transfer. Unsuitable recommendation of variable annuity, investment. Unsuitable recommendations of investments in clients portfolio. Bruce Godke Red Flags & Your Rights As An Investor Of course, Bruce Godke 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 Bruce Godke at Mutual Securities, Inc. and National Planning Corporation on alert to review carefully the activity and performance of their accounts and question whether Bruce Godke has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Mutual Securities, Inc. and National Planning Corporation 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 Mutual Securities, Inc. Due To Bruce Godke If you have questions about Mutual Securities, Inc., National Planning Corporation, and/or Bruce Godke 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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Mar 9, 2022

Daniel Pye of Morgan Stanley

DID DANIEL PYE CAUSE YOU INVESTMENT LOSSES? Daniel Pye Formerly With Morgan Stanley Has 5 Customer Complaints For Alleged Broker Misconduct Daniel Pye Customer Complaints Daniel Pye has been the subject of5 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of Daniel Pye’s customer complaints resulted in an arbitration award in favor of the investor. Two of Daniel Pye’s 5 customer complaints were settled in favor of investors. Two of Daniel Pye’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Daniel Pye A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Daniel Pye Red Flags & Your Rights As An Investor Of course, Daniel Pye 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 Daniel Pye at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Daniel Pye 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. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Daniel Pye If you have questions about Morgan Stanley and/or Daniel Pye 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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Mar 9, 2022

William Hennion of Hennion & Walsh

DID WILLIAM HENNION CAUSE YOU INVESTMENT LOSSES? William Hennion Of Hennion & Walsh And Hennion Walsh Asset Management Has 2 Customer Complaints For Alleged Broker Misconduct William Hennion Customer Complaints William Hennion has been the subject of 2 customer complaints that we know about. One arbitration award was entered against Hennion & Walsh for William Hennion’s alleged misconduct causing investors losses. One of William Hennion’s  customer complaints was settled in favor of investors. Allegations Against William Hennion A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: William Hennion Red Flags & Your Rights As An Investor Of course, William Hennion 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 William Hennion at Hennion & Walsh and Hennion Walsh Asset Management on alert to review carefully the activity and performance of their accounts and question whether William Hennion has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Hennion & Walsh and Hennion Walsh Asset Management 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 Hennion & Walsh Due To William Hennion If you have questions about Hennion & Walsh, Hennion Walsh Asset Management, and/or William Hennion 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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