Mar 8, 2022

Robert Swank of Pruco Securities

DID ROBERT RANDALL SWANK CAUSE YOU INVESTMENT LOSSES? Robert Swank Of Pruco Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Robert Swank of Pruco Securities? Robert Swank (CRD #2706148) who is currently registered with Pruco Securities and located in West Pittston, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Robert Swank Customer Complaints Robert Swank has been the subject of 2 customer complaints that we know about. Both of Robert Swank’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Robert Swank 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 money was sent in to her account to pay her taxes and $4,000.00 from an account went missing. Robert Swank’s misrepresentation concerning failure to disclose sale charges regarding the purchase of 5 mutual funds.  Robert Swank Red Flags & Your Rights As An Investor Of course, Robert Swank 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 Swank at Pruco Securities on alert to review carefully the activity and performance of their accounts and question whether Robert Swank has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities 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 Due To Robert Swank If you have questions about Pruco Securities and/or Robert Swank 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 8, 2022

Scott Swaylik of Morgan Stanley

DID SCOTT DANIAL SWAYLIK CAUSE YOU INVESTMENT LOSSES? Scott Swaylik Of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Scott Swaylik of Morgan Stanley? Scott Swaylik (CRD #2936324) who is currently registered with Morgan Stanley and located in Hyannis, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Scott Swaylik Customer Complaints Scott Swaylik 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. One of Scott Swaylik’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Morgan Stanley for investment losses caused by Scott Swaylik’s alleged misconduct. Allegations Against Scott Swaylik A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client’s attorney alleged, inter alia, Scott Swaylik’s unsuitability with respect to recommendation to invest in a securities-backed loan product. Customers alleged they suffered damages as a result of the unsuitable investment recommendations and unauthorized trades made by Scott Swaylik. Scott Swaylik Red Flags & Your Rights As An Investor Of course, Scott Swaylik 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 Scott Swaylik at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Scott Swaylik 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 Scott Swaylik If you have questions about Morgan Stanley and/or Scott Swaylik 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 8, 2022

Christopher Sweistris of Berthel Fisher & Company Financial Services

DID CHRISTOPHER PAUL SWEISTRIS CAUSE YOU INVESTMENT LOSSES? Christopher Sweistris Of Berthel Fisher & Company Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Christopher Sweistris of Berthel Fisher & Company Financial Services? Christopher Sweistris (CRD #4202545) who is currently registered with Berthel Fisher & Company Financial Services and located in Redmond, Oregon is a subject of one of our many securities industry sales practice abuse investigations. Christopher Sweistris Customer Complaint Christopher Sweistris 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 his portfolio was mismanaged and overloaded in Business Development Companies (“BDCs”) purchased by Christopher Sweistris.  He stated that some of his investments were not liquid and had a higher risk than he was comfortable with. Christopher Sweistris’ customer complaint was denied and, to date, the customer has not taken any further action. Christopher Sweistris Red Flags & Your Rights As An Investor Of course, Christopher Sweistris 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 Sweistris at Berthel Fisher & Company Financial Services on alert to review carefully the activity and performance of their accounts and question whether Christopher Sweistris has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Berthel Fisher & Company Financial Services 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 Berthel Fisher & Company Financial Services Due To Christopher Sweistris If you have questions about Berthel Fisher & Company Financial Services and/or Christopher Sweistris 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 8, 2022

Steven Syslo of UBS Financial Services

DID STEVEN SYSLO CAUSE YOU INVESTMENT LOSSES? Steven Syslo Of UBS Financial Services And Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Steven Syslo of UBS Financial Services? Steven Syslo (CRD #4308992) who is currently registered with UBS Financial Services and located in Paramus, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Steven Syslo was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Steven Syslo Customer Complaints Steven Syslo 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 Steven Syslo’s 2 customer complaints were settled in favor of investors. Allegations Against Steven Syslo 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 Steven Syslo’s unsuitability, inter alia, with respect to investments. Client verbally alleged, inter alia, Steven Syslo’s misrepresentation with respect to energy related securities. Steven Syslo Red Flags & Your Rights As An Investor Of course, Steven Syslo 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 Steven Syslo at UBS Financial Services and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Steven Syslo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services and 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 UBS Financial Services Due To Steven Syslo If you have questions about UBS Financial Services, Morgan Stanley, and/or Steven Syslo 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 8, 2022

Leif Waller of J.P. Morgan Securities

DID LEIF WALLER CAUSE YOU INVESTMENT LOSSES? Leif Waller Of J.P. Morgan Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Leif Waller of J.P. Morgan Securities? Leif Waller (CRD #3250221) who is currently registered with J.P. Morgan Securities and located in Bedford, New York is a subject of one of our many securities industry sales practice abuse investigations. Leif Waller Customer Complaint Leif Waller 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 misrepresentation regarding mutual fund investment. Leif Waller’s customer complaint was denied and, to date, the customer has not taken any further action. Leif Waller Red Flags & Your Rights As An Investor Of course, Leif Waller 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 Leif Waller at J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Leif Waller has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities 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 Due To Leif Waller If you have questions about J.P. Morgan Securities and/or Leif Waller 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 8, 2022

Brian Walsh of Securian Financial Services

DID BRIAN PATRICK WALSH CAUSE YOU INVESTMENT LOSSES? Brian Walsh Of Securian Financial Services And Formerly With MetLife Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Brian Walsh of Securian Financial Services? Brian Walsh (CRD #2765722) who is currently registered with Securian Financial Services and located in Towson, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securian Financial Services, Brian Walsh was associated with MetLife Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brian Walsh Customer Complaint Brian Walsh has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were theft of commissions paid from his company’s retirement plan by paying the wrong registered representative. Brian Walsh’s customer complaint was denied and, to date, the customer has not taken any further action. Brian Walsh Red Flags & Your Rights As An Investor Of course, Brian Walsh 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 Walsh at Securian Financial Services and MetLife Securities on alert to review carefully the activity and performance of their accounts and question whether Brian Walsh has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securian Financial Services and MetLife Securities 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 Securian Financial Services Due To Brian Walsh If you have questions about Securian Financial Services, MetLife Securities, and/or Brian Walsh 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 8, 2022

Peter Walters Formerly With Edward Jones?

DID PETER DEAN WALTERS CAUSE YOU INVESTMENT LOSSES? Peter Walters Formerly With Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Peter Walters formerly with Edward Jones? Peter Walters (CRD #2309689) who was formerly registered with Edward Jones and located in Waynesboro, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Peter Walters Customer Complaint Peter Walters has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that the customer was not fully informed of the details concerning his margin loan and that monthly withdrawals were being added to his margin loan without his knowledge and agreement. Peter Walters’ customer complaint was settled in favor of the investors. Peter Walters Red Flags & Your Rights As An Investor Of course, Peter Walters 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 Peter Walters at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Peter Walters has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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 Edward Jones Due To Peter Walters If you have questions about Edward Jones and/or Peter Walters 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 8, 2022

Ryan Wangen of NYLIFE Securities

DID RYAN JAMES WANGEN CAUSE YOU INVESTMENT LOSSES? Ryan Wangen Of NYLIFE Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Ryan Wangen of NYLIFE Securities? Ryan Wangen (CRD #2918895) who is currently registered with NYLIFE Securities and located in Kennewick, Washington is a subject of one of our many securities industry sales practice abuse investigations. Ryan Wangen Customer Complaint Ryan Wangen has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were customer alleged that the individual Variable Annuity policies sold to them were not understood to be new policies but rather changes to existing policies. Customer further alleged that they did not understand that they were being locked into an 8 year annuity contract. Ryan Wangen’s customer complaint was denied and, to date, the customer has not taken any further action. Ryan Wangen Red Flags & Your Rights As An Investor Of course, Ryan Wangen 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 Ryan Wangen at NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Ryan Wangen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLIFE Securities 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 NYLIFE Securities Due To Ryan Wangen If you have questions about NYLIFE Securities and/or Ryan Wangen 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 8, 2022

Eric Wegner of Cambridge Investment Research

DID ERIC EDWARD WEGNER CAUSE YOU INVESTMENT LOSSES? Eric Wegner Of Cambridge Investment Research, Cambridge Investment Research Advisors And Formerly With Capstone Advisory Group Has 7 Customer Complaints For Alleged Broker Misconduct Who is Eric Wegner of Cambridge Investment Research? Eric Wegner (CRD #2044977) who is currently registered with Cambridge Investment Research, Cambridge Investment Research Advisors and located in Delafield, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cambridge Investment Research and Cambridge Investment Research Advisors, Eric Wegner was associated with Capstone Advisory Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Eric Wegner Customer Complaints Eric Wegner has been the subject of 7 customer complaints that we know about. Five of Eric Wegner’s 7 customer complaints were settled in favor of investors. One of Eric Wegner’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Parkland Securities for investment losses caused by Eric Wegner’s alleged misconduct. Allegations Against Eric Wegner A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Arbitration statement of claim alleged misrepresentation, omission of material facts, and negligence in connection with the TIC Investments purchased by Eric Wegner. Arbitration statement of claim alleged Eric Wegner’s misrepresentation; omission of material facts; breach of fiduciary duty; negligence in connection with the real estate investment purchased. Arbitration statement of claim alleged Eric Wegner’s misrepresentation; omission of material facts; breach of fiduciary duty; negligence in connection with TIC investments purchased. Arbitration statement of claim alleged misrepresentation, omission of material facts and negligence in connection with the TIC Investment purchased allegedly by Eric Wegner. Client alleged that Eric Wegner did not disclose fees and expenses associated with two variable annuities. Eric Wegner’s alleged sale of products by firm which claimants alleged were inappropriate or unsuitable. Eric Wegner Red Flags & Your Rights As An Investor Of course, Eric Wegner 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 Eric Wegner at Cambridge Investment Research, Cambridge Investment Research Advisors and Capstone Advisory Group on alert to review carefully the activity and performance of their accounts and question whether Eric Wegner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research, Cambridge Investment Research Advisors and Capstone Advisory Group 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 Cambridge Investment Research Due To Eric Wegner If you have questions about Cambridge Investment Research, Cambridge Investment Research Advisors, Capstone Advisory Group, and/or Eric Wegner 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 8, 2022

Michael Weinand of LPL Financial

DID MICHAEL GEORGE WEINAND CAUSE YOU INVESTMENT LOSSES? Michael Weinand Of LPL Financial And Formerly With KMS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Michael Weinand of LPL Financial? Michael Weinand (CRD #2317898) who is currently registered with LPL Financial and located in Lacey, Washington is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Michael Weinand was associated with KMS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Weinand Customer Complaints Michael Weinand has been the subject of 2 customer complaints that we know about. Both of Michael Weinand’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Michael Weinand A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client email stated that they are unhappy with American Funds performance. They believed Michael Weinand allegedly was negligent and failed to move their money into bonds. Client purchased a variable life policy (face $268,000) allegedly through Michael Weinand to address the possibly precarious financial situation his wife could be in if he predeceased her by many years. Client complained to Washington insurance commissioner claiming the policy was unsuitable. Michael Weinand Red Flags & Your Rights As An Investor Of course, Michael Weinand 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 Weinand at LPL Financial and KMS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Michael Weinand has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and KMS Financial Services 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 Due To Michael Weinand If you have questions about LPL Financial, KMS Financial Services, and/or Michael Weinand 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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