Mar 8, 2022

Thomas Polito of LPL Financial

DID THOMAS POLITO CAUSE YOU INVESTMENT LOSSES? Thomas Polito Of LPL Financial LLC And Formerly With Capital One Investing, Capital One Advisors And Capital One Financial Advisors Has One Customer Complaint For Alleged Broker Misconduct Who is Thomas Polito of LPL Financial? Thomas Polito (CRD #2601033) who is currently registered with LPL Financial LLC and located in Woodbury, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Thomas Polito was associated with Capital One Investing, Capital One Advisors, Capital One Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Thomas Polito Customer Complaint Thomas Polito 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 complainant, the customer’s son, alleged his mother’s investment was not suitable for her. He further alleged the financial advisor violated several industry ethical standards by recommending this product to his mother. Thomas Polito’s customer complaint was denied and, to date, the customer has not taken any further action. Thomas Polito Red Flags & Your Rights As An Investor Of course, Thomas Polito 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 Thomas Polito at LPL Financial LLC, Capital One Investing, Capital One Advisors, Capital One Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Thomas Polito has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC, Capital One Investing, Capital One Advisors, Capital One Financial Advisors 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 Thomas Polito If you have questions about LPL Financial LLC, Capital One Investing, Capital One Advisors, Capital One Financial Advisors, and/or Thomas Polito 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

Mark Pitman of Carter Terry & Company

DID MARK PITMAN CAUSE YOU INVESTMENT LOSSES? Mark Pitman Of Carter Terry & Company, Inc. And Formerly With Summit Brokerage Services And J.P. Turner & Company Has 3 Customer Complaints For Alleged Broker Misconduct Who is Mark Pitman of Carter Terry & Company, Inc.? Mark Pitman (CRD #2281587) who is currently registered with Carter Terry & Company, Inc. and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Carter Terry & Company, Mark Pitman was associated with Summit Brokerage Services, J.P. Turner & Company and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Pitman Customer Complaints Mark Pitman has been the subject of 3 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of Mark Pitman’s 3 customer complaints was settled in favor of investors. Two of Mark Pitman’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Mark Pitman 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 an unauthorized trade by Mark Pitman. Mark Pitman’s alleged negligence and misrepresentation. Unsuitable investment recommendations by Mark Pitman. Mark Pitman Red Flags & Your Rights As An Investor Of course, Mark Pitman 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 Mark Pitman at Carter Terry & Company, Inc. Summit Brokerage Services, and J.P. Turner & Company on alert to review carefully the activity and performance of their accounts and question whether Mark Pitman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Carter Terry & Company, Inc., Summit Brokerage Services, and J.P. Turner & Company 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 Carter Terry & Company, Inc. Due To Mark Pitman If you have questions about Carter Terry & Company, Inc., Summit Brokerage Services, J.P. Turner & Company, and/or Mark Pitman 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

Barry Pittenger of ProEquities

DID BARRY PITTENGER CAUSE YOU INVESTMENT LOSSES? Barry Pittenger Of ProEquities, Inc. And Formerly With Lincoln Financial Securities And Independent Advisers Group Has One Customer Complaint For Alleged Broker Misconduct Who is Barry Pittenger of ProEquities, Inc.? Barry Pittenger (CRD #2405032) who is currently registered with ProEquities, Inc. and located in Brentwood, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Prior to ProEquities, Inc., Barry Pittenger was associated with Lincoln Financial Securities, Independent Advisers Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Barry Pittenger Customer Complaint Barry Pittenger 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 negligence and breach of fiduciary duty in the establishment of a joint with rights of survivorship account that should have been established as tenants in the entirety. Barry Pittenger’s customer complaint was denied and, to date, the customer has not taken any further action. Barry Pittenger Red Flags & Your Rights As An Investor Of course, Barry Pittenger 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 Barry Pittenger at ProEquities, Inc., Lincoln Financial Securities, and Independent Advisers Group on alert to review carefully the activity and performance of their accounts and question whether Barry Pittenger has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at ProEquities, Inc., Lincoln Financial Securities, and Independent Advisers Group 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 ProEquities, Inc. Due To Barry Pittenger If you have questions about ProEquities, Inc., Lincoln Financial Securities, Independent Advisers Group, and/or Barry Pittenger 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

Maryann Pierce of Cadaret Grant & Co.

DID MARYANN PIERCE CAUSE YOU INVESTMENT LOSSES? Maryann Pierce Of Cadaret Grant & Co., Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Maryann Pierce of Cadaret Grant & Co.? Maryann Pierce (CRD #3270336) who is currently registered with Cadaret Grant & Co., Inc. and located in East Syracuse, New York is a subject of one of our many securities industry sales practice abuse investigations. Maryann Pierce Customer Complaint Maryann Pierce 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 a dispute arose between the Client and Advisor regarding a request by the Client for liquidation of the Company Cash Balance Plan assets, prior to transfer of the assets to another advisory firm. The advisor and firm decided to settle the claim to expedite resolution of this matter. Maryann Pierce’s customer complaint was settled in favor of investors. Maryann Pierce Red Flags & Your Rights As An Investor Of course, Maryann Pierce 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 Maryann Pierce at Cadaret Grant & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Maryann Pierce has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cadaret Grant & 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. File A Claim To Recover Your Investment Losses At Cadaret Grant & Co., Inc. Due To Maryann Pierce If you have questions about Cadaret Grant & Co., Inc. and/or Maryann Pierce 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 Piccolo of Wells Fargo Clearing Services

DID MICHAEL PICCOLO CAUSE YOU INVESTMENT LOSSES? Michael Piccolo Of Wells Fargo Clearing Services, LLC And Formerly With Morgan Stanley Has 4 Customer Complaints For Alleged Broker Misconduct Who is Michael Piccolo of Wells Fargo Clearing Services, LLC? Michael Piccolo (CRD #2614880) who is currently registered with Wells Fargo Clearing Services, LLC and located in Paramus, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Michael Piccolo was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Piccolo Customer Complaints Michael Piccolo has been the subject of 4 customer complaints that we know about. Three of Michael Piccolo’s 4 customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Morgan Stanley for investment losses caused by Michael Piccolo’s alleged misconduct. Allegations Against Michael Piccolo A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged, inter alia, Michael Piccolo’s breach of fiduciary duties with respect to management of account. Client alleged Michael Piccolo’s unauthorized trading, inter alia, with respect to investments. New York client claimed that Michael Piccolo allegedly misrepresented the amount of the account fees and commissions, sales loads, etc. that he would be charged for transactions and the maintenance of his accounts. The client further claimed that he told the Michael Piccolo that he was a conservative investor. The client claimed that the Michael Piccolo recommended that he purchase preferred stocks for his IRA account and his Roth IRA account and that based on the Michael Piccolo’s recommendation he invested an aggregate amount of $46,000 in preferred stocks which were all in the financial sector. Michael Piccolo Red Flags & Your Rights As An Investor Of course, Michael Piccolo 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 Piccolo at Wells Fargo Clearing Services, LLC and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Michael Piccolo 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 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 Wells Fargo Clearing Services, LLC Due To Michael Piccolo If you have questions about Wells Fargo Clearing Services, LLC, Morgan Stanley, and/or Michael Piccolo 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

Samuel Phillips of LPL Financial

DID SAMUEL PHILLIPS CAUSE YOU INVESTMENT LOSSES? Samuel Phillips Of LPL Financial LLC And Formerly With Invest Financial Has One Customer Complaint For Alleged Broker Misconduct Who is Samuel Phillips of LPL Financial LLC? Samuel Phillips (CRD #2486976) who is currently registered with LPL Financial LLC and located in Lemoyne, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Samuel Phillips was associated with Invest Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Samuel Phillips Customer Complaint Samuel Phillips 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 the customer alleged that she was not advised about breakpoints or the option to invest in an advisory account, and sought recovery of sales charges for the purchase of Class A shares. Samuel Phillips’ customer complaint was denied and, to date, the customer has not taken any further action. Samuel Phillips Red Flags & Your Rights As An Investor Of course, Samuel Phillips 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 Samuel Phillips at LPL Financial LLC and Invest Financial on alert to review carefully the activity and performance of their accounts and question whether Samuel Phillips has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Invest Financial 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 Samuel Phillips If you have questions about LPL Financial LLC, Invest Financial, and/or Samuel Phillips 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

Susan Stephens of Oppenheimer & Co.

DID SUSAN L. STEPHENS CAUSE YOU INVESTMENT LOSSES? Susan Stephens Of Oppenheimer & Co. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Susan Stephens of Oppenheimer & Co.? Susan Stephens (CRD #2400351) who is currently registered with Oppenheimer & Co. and located in Fort Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations. Susan Stephens Customer Complaints Susan Stephens has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Susan Stephens’ 4 customer complaints were settled in favor of investors. Two of Susan Stephens’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Susan Stephens 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 she was misled by Susan Stephens representation that she would liquidate securities if they “were not doing well.” Client’s daughter (co-trustee) alleged that an unsuitable investment was made in the trust account by Susan Stephens. Customer alleged Susan Stephens’ misrepresentation with regards to purchase of Jefferson County Auction Rate Security. Customer alleged Susan Stephens’ misrepresentation with regards to the Schwab Yield Plus Fund. Susan Stephens Red Flags & Your Rights As An Investor Of course, Susan Stephens 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 Susan Stephens at Oppenheimer & Co. on alert to review carefully the activity and performance of their accounts and question whether Susan Stephens has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. 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 Oppenheimer & Co. Due To Susan Stephens If you have questions about Oppenheimer & Co. and/or Susan Stephens 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

Jim Stephenson of Morgan Stanley

DID JIM GARY STEPHENSON CAUSE YOU INVESTMENT LOSSES? Jim Stephenson Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Jim Stephenson of Morgan Stanley? Jim Stephenson (CRD #1471634) who is currently registered with Morgan Stanley and located in Burlingame, California is a subject of one of our many securities industry sales practice abuse investigations. Jim Stephenson Customer Complaint Jim Stephenson 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, inter alia, misrepresentation with respect to recommendation to liquidate investment. The customer complaint filed against Jim Stephenson’s current employer Morgan Stanley for investment losses caused by the alleged misconduct is pending as of the date of this report. Jim Stephenson Red Flags & Your Rights As An Investor Of course, Jim Stephenson 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 Jim Stephenson at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jim Stephenson 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 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 Morgan Stanley Due To Jim Stephenson If you have questions about Morgan Stanley and/or Jim Stephenson 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

George Stills Formerly With Securian Financial Services

DID GEORGE CARVER STILLS CAUSE YOU INVESTMENT LOSSES? George Stills Formerly With Securian Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is George Stills formerly with Securian Financial Services? George Stills (CRD #2934826) who was formerly registered with Securian Financial Services and located in Parsippany, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. George Stills is also the subject of a FINRA investigation.  Thus far, it is reported that George stills has not supplied to FINRA with requested information, and accordingly, has been suspended indefinitely.  If George Stills fails to comply with the request, eventually, he will be permanently barred from association with any FINRA member, in any capacity. George Stills Customer Complaints George Stills 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 George Stills’ customer complaints were settled in favor of the investors. Allegations Against George Stills 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 George Stills misrepresented a recommendation to use proceeds from her IRA annuity to purchase a life insurance policy in February 2020 resulting in an unsuitable replacement transaction. Additionally she alleged he was unresponsive to her concerns or questions regarding the withdrawals from her annuity. Client alleged George Stills misrepresented a recommendation to use proceeds from his IRA annuity to purchase a life insurance policy in January 2020 resulting in an unsuitable replacement transaction George Stills Red Flags & Your Rights As An Investor Of course, George Stills 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 George Stills at Securian Financial Services on alert to review carefully the activity and performance of their accounts and question whether George Stills has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securian 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 Securian Financial Services Due To George Stills If you have questions about Securian Financial Services and/or George Stills 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

James Shrader of Robert W. Baird & Co.

DID JAMES MICHAEL SHRADER CAUSE YOU INVESTMENT LOSSES? James Shrader Of Robert W. Baird & Co. Has 4 Customer Complaints For Alleged Broker Misconduct Who is James Shrader of Robert W. Baird & Co.? James Shrader (CRD #1562368) who is currently registered with Robert W. Baird & Co.and located in Cedar Rapids, Iowa is a subject of one of our many securities industry sales practice abuse investigations. James Shrader Customer Complaints James Shrader has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of James Shrader’s 4 customer complaints were settled in favor of investors. One of James Shrader’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 Robert W. Baird & Co. for investment losses caused by James Shrader’s alleged misconduct. Allegations Against James Shrader 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 James Shrader failed to warn her of risk of her ETN and ETF purchases. Client’s daughter-in-law alleged that on her behalf account James Shrader’s performance was poor and requested reimbursement. James Shrader Red Flags & Your Rights As An Investor Of course, James Shrader 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 James Shrader at Robert W. Baird & Co. on alert to review carefully the activity and performance of their accounts and question whether James Shrader has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Robert W. Baird & Co. 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 Robert W. Baird & Co. Due To James Shrader If you have questions about Robert W. Baird & Co. and/or James Shrader 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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