Mar 8, 2022

Matthew McGuirk of Oppenheimer & Co.

DID MATTHEW WALTER MCGUIRK CAUSE YOU INVESTMENT LOSSES? Matthew McGuirk Of Oppenheimer & Co. And Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Matthew McGuirk of Oppenheimer & Co.? Matthew McGuirk (CRD #2895403) who is currently registered with Oppenheimer & Co.and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co., Matthew McGuirk was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Matthew McGuirk Customer Complaint Matthew McGuirk 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 client’s attorney alleged, inter alia, that pre-payment penalties on two liquidity access lines were not disclosed. Matthew McGuirk’s customer complaint was denied and, to date, the customer has not taken any further action. Matthew McGuirk Red Flags & Your Rights As An Investor Of course, Matthew McGuirk 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 Matthew McGuirk at Oppenheimer & Co. and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Matthew McGuirk has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. and 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 Oppenheimer & Co. Due To Matthew McGuirk If you have questions about Oppenheimer & Co., Morgan Stanley, and/or Matthew McGuirk 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

Kevin McKenna formerly with Stifel Nicolaus & Company

DID KEVIN PATRICK MCKENNA CAUSE YOU INVESTMENT LOSSES? Kevin McKenna Formerly With Stifel Nicolaus & & Company Has 3 Customer Complaints For Alleged Broker Misconduct Who is Kevin McKenna formerly with Stifel Nicolaus & Company? Kevin McKenna (CRD #1886142) who was formerly registered with Stifel Nicolaus & Company and located in Wausau, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Kevin McKenna Customer Complaints Kevin McKenna has been the subject of 3 customer complaints that we know about. Two of Kevin McKenna’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Stifel Nicolaus & Company for investment losses caused by Kevin McKenna’s alleged misconduct. Allegations Against Kevin McKenna 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 Kevin McKenna’s fraud, negligence, breach of fiduciary duty, breach of contract and unauthorized trading. Client alleged Kevin McKenna misrepresented a security purchased as being safe, not speculative, and protected by a put option. Client verbally alleged that Kevin McKenna invested in a speculative stock, which declined in value. Kevin McKenna Red Flags & Your Rights As An Investor Of course, Kevin McKenna did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kevin McKenna at Stifel Nicolaus & Company on alert to review carefully the activity and performance of their accounts and question whether Kevin McKenna has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel Nicolaus & 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 Stifel Nicolaus & Company Due To Kevin McKenna If you have questions about Stifel Nicolaus & Company and/or Kevin McKenna 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

John McLaughlin of Ameriprise Financial Services

DID JOHN FREDERICK MCLAUGHLIN CAUSE YOU INVESTMENT LOSSES? John McLaughlin Of Ameriprise Financial Services And Formerly With Stifel Nicolaus & Company Has 3 Customer Complaints For Alleged Broker Misconduct Who is John McLaughlin of Ameriprise Financial Services? John McLaughlin (CRD #1407726) who is currently registered with Ameriprise Financial Services and located in Olean, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, John McLaughlin was associated with Stifel Nicolaus & Company and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John McLaughlin Customer Complaints John McLaughlin has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of John McLaughlin’s 3 customer complaints were settled in favor of investors. One of John McLaughlin’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against John McLaughlin 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 John McLaughlin’s recommendation to surrender an annuity contract was not suitable. Customers verbally alleged that unsuitable investments were purchased for their account by John McLaughlin. Client alleged that she was advised by John McLaughlin that there would be minimal financial ramifications associated with moving her funds from an annuity into tax-free municipal bonds. Client also questions the suitability of this investment for her 92 year old mother. John McLaughlin Red Flags & Your Rights As An Investor Of course, John McLaughlin did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of John McLaughlin at Ameriprise Financial Services and Stifel Nicolaus & Company on alert to review carefully the activity and performance of their accounts and question whether John McLaughlin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services and Stifel Nicolaus & 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 Ameriprise Financial Services Due To John McLaughlin If you have questions about Ameriprise Financial Services, Stifel Nicolaus & Company, and/or John McLaughlin 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

Jeffrey McMahon of LPL Financial

DID JEFFREY HARTING MCMAHON CAUSE YOU INVESTMENT LOSSES? Jeffrey McMahon Of LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Jeffrey McMahon of LPL Financial? Jeffrey McMahon (CRD #3087632) who is currently registered with LPL Financial and located in Alexandria, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Jeffrey McMahon Customer Complaint Jeffrey McMahon 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 client alleged financial advisor misrepresented the terms of an annuity in regards to the amount of interest that could be withdrawn annually. Jeffrey McMahon’s customer complaint was settled in favor of the investors. Jeffrey McMahon Red Flags & Your Rights As An Investor Of course, Jeffrey McMahon did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Jeffrey McMahon at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Jeffrey McMahon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL 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 Due To Jeffrey McMahon If you have questions about LPL Financial and/or Jeffrey McMahon 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

Kevin McNeil formerly with SW Financial

DID KEVIN M. MCNEIL CAUSE YOU INVESTMENT LOSSES? Kevin McNeil Formerly With SW Financial, Dawson James Securities And Joseph Gunnar & Co. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Kevin McNeil formerly with SW Financial? Kevin McNeil (CRD #4166684) who was formerly registered with SW Financial and located in Fort Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to SW Financial, Kevin McNeil was associated with Dawson James Securities, Joseph Gunnar & Co., and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kevin McNeil Customer Complaints Kevin McNeil 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 Kevin McNeil’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 Dawson James Securities and WestPark Capital for investment losses caused by Kevin McNeil’s alleged misconduct. Allegations Against Kevin McNeil A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Kevin McNeil’s alleged churning and unauthorized trades. Unauthorized trading allegedly by Kevin McNeil. Kevin McNeil Red Flags & Your Rights As An Investor Of course, Kevin McNeil did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kevin McNeil at SW Financial, Dawson James Securities, and Joseph Gunnar & Co. on alert to review carefully the activity and performance of their accounts and question whether Kevin McNeil has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SW Financial, Dawson James Securities, and Joseph Gunnar & 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 SW Financial Due To Kevin McNeil If you have questions about SW Financial, Dawson James Securities, Joseph Gunnar & Co., and/or Kevin McNeil 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 McNulty of Lincoln Financial Advisors

DID MICHAEL JOSEPH MCNULTY CAUSE YOU INVESTMENT LOSSES? Michael McNulty Of Lincoln Financial Advisors And Formerly With Raymond James & Associates Has 2 Customer Complaints For Alleged Broker Misconduct Who is Michael McNulty of Lincoln Financial Advisors? Michael McNulty (CRD #1493933) who is currently registered with Lincoln Financial Advisors and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Lincoln Financial Advisors, Michael McNulty was associated with Raymond James & Associates and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael McNulty Customer Complaints Michael McNulty 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 Michael McNulty’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Raymond James & Associates for investment losses caused by Michael McNulty’s alleged misconduct. Allegations Against Michael McNulty 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 Michael McNulty recommended unsuitable investments. Client alleged: Michael McNulty’s Failure to Diversify, Material Omissions, Negligence, Breach of Fiduciary Duty, Over Concentration, Suitability, Misrepresentation and Poor Recommendation Michael McNulty Red Flags & Your Rights As An Investor Of course, Michael McNulty 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 McNulty at Lincoln Financial Advisors and Raymond James & Associates on alert to review carefully the activity and performance of their accounts and question whether Michael McNulty has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lincoln Financial Advisors and Raymond James & Associates 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 Lincoln Financial Advisors Due To Michael McNulty If you have questions about Lincoln Financial Advisors, Raymond James & Associates, and/or Michael McNulty 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

Donna Panton of CUSO Financial Services

DID DONNA ANDREA PANTON CAUSE YOU INVESTMENT LOSSES? Donna Panton Of CUSO Financial Services And Formerly With Key Investment Services Has 5 Customer Complaints For Alleged Broker Misconduct Who is Donna Panton of CUSO Financial Services? Donna Panton (CRD #2459647) who is currently registered with CUSO Financial Services and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to CUSO Financial Services, Donna Panton was associated with Key Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Donna Panton Customer Complaints Donna Panton has been the subject of 5 customer complaints that we know about. Three of Donna Panton’s 5 customer complaints were settled in favor of investors. Two of Donna Panton’s customers’ complaints were denied, and, to date, the customers have not taken any further action. Allegations Against Donna Panton 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 Donna Panton’s recommendations to purchase $60,000 shares of PGBAX was unsuitable. Client also alleged that the money to fund the purchase came from an annuity, resulting in a taxable event. Client submitted a written complaint directly to issuing insurance carrier regarding a variable annuity purchased through a CFS representative, allegedly Donna Panton. The written complaint was received by CFS. In the complaint, the client alleged that he did not authorize the entire purchase of a VA involving annuity switch-replacement transactions. Specifically, the client stated that he did not want to exchange two contracts with an aggregate value of approximately $449,965 into a new VA and is therefore requesting to rescind two annuity exchanges and restore his previously held annuity contracts without penalty. In accordance with client’s wishes, VA transaction was cancelled with funds returned to original investments. CFS sent review summary and confirmation letter to the client to close this issue. Customer alleged Donna Panton recommended unsuitable investment. Customer alleged Donna Panton did not properly disclose fees during solicitation of variable annuity. Donna Panton’s alleged failure to disclose tax consequences for withdrawing funds from qualified account. Donna Panton Red Flags & Your Rights As An Investor Of course, Donna Panton 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 Donna Panton at CUSO Financial Services and Key Investment Services on alert to review carefully the activity and performance of their accounts and question whether Donna Panton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at CUSO Financial Services and Key Investment 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 CUSO Financial Services Due To Donna Panton If you have questions about CUSO Financial Services, Key Investment Services, and/or Donna Panton 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

Kevin Meadows formerly with IBN Financial Services

DID KEVIN KIMBALL MEADOWS CAUSE YOU INVESTMENT LOSSES? Kevin Meadows Formerly With IBN Financial Services, Cape Securities And Lombard Securities Has 5 Customer Complaints For Alleged Broker Misconduct Who is Kevin Meadows formerly with IBN Financial Services? Kevin Meadows (CRD #2878889) who was formerly registered with IBN Financial Services and located in Liverpool, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to IBN Financial Services, Kevin Meadows was associated with Cape Securities, Lombard Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kevin Meadows has had his own problems with the regulators.  In February 2020, consented to a three-month suspension by FINRA and all capacities for allegedly unsuitably trading and 3 accounts held by a senior client. Kevin Meadows Customer Complaints Kevin Meadows has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of Kevin Meadows’ 5 customer complaints were settled in favor of investors. Two of Kevin Meadows’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Kevin Meadows 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 Kevin Meadows’ unauthorized trades and use of margin in accounts. Claimants alleged Kevin Meadows recommended investments that were unsuitable for them and failed to repay a loan. Claimants generally alleged failure to supervise, excessive trading, breach of fiduciary duty, and unsuitability. Client alleged that Kevin Meadows “was stealing from mother.” Client inherited her mother’s account as a JTWROS after her mother’s death. Kevin Meadows’ breach of fiduciary responsibility in giving advice on the purchase of Zapata stocks. Kevin Meadows Red Flags & Your Rights As An Investor Of course, Kevin Meadows did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kevin Meadows at IBN Financial Services, Cape Securities, and Lombard Securities on alert to review carefully the activity and performance of their accounts and question whether Kevin Meadows has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at IBN Financial Services, Cape Securities, and Lombard Securities 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 IBN Financial Services Due To Kevin Meadows If you have questions about IBN Financial Services, Cape Securities, Lombard Securities, and/or Kevin Meadows 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

Matthew Meehan formerly with E.J. Sterling

DID MATTHEW MEEHAN CAUSE YOU INVESTMENT LOSSES? Matthew Meehan Formerly With E.J. Sterling Has A Customer Complaint For Alleged Broker Misconduct Who is Matthew Meehan formerly with E.J. Sterling? Matthew Meehan (CRD #4320603) who was formerly registered with E.J. Sterling and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations. Matthew Meehan has also been the subject of a FINRA investigation into whether he engaged in quantitatively unsuitable trading in the accounts of customers, resulting in annualized turnover rates of 12, 21, and 32, respectively, and annualized cost-to-equity ratios of 54%, 110%, and 179%, respectively.  It was further alleged that he engaged in discretionary trading without written authorization from the customer’s or approval by his firm to accept the accounts as discretionary accounts.  Matthew Meehan consented to a 12 month suspension and a $15,000 fine without admitting or denying the allegations. Matthew Meehan Customer Complaint Matthew Meehan 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 client alleged that he was pressured into purchasing 3000 Truecar Inc and due to the fact that the stock lost 50% of the value he lost half his investment. He also alleged that he was told that he could not open his account unless he signed a margin agreement. Matthew Meehan’s customer complaint was denied and, to date, the customer has not taken any further action. Matthew Meehan Red Flags & Your Rights As An Investor Of course, Matthew Meehan 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 Matthew Meehan at E.J. Sterling on alert to review carefully the activity and performance of their accounts and question whether Matthew Meehan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at E.J. Sterling 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 E.J. Sterling Due To Matthew Meehan If you have questions about E.J. Sterling and/or Matthew Meehan 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

Gary Indianer Formerly With CoreCap Investments and PlanMember Securities

DID GARY BRUCE INDIANER CAUSE YOU INVESTMENT LOSSES? Gary Indianer Formerly With CoreCap Investments And PlanMember Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Gary Indianer formerly with CoreCap Investments? Gary Indianer (CRD #2364196) who was formerly registered with CoreCap Investments and located in Southfield, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to CoreCap Investments, Gary Indianer was associated with PlanMember Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gary Indianer Customer Complaint Gary Indianer 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 firm received a written complaint, from the niece of a person that had not been Gary Indianer’s insurance customer for many years but who had been given power of attorney. The customer complaint filed against Gary Indianer’s former employer. Gary Indianer Red Flags & Your Rights As An Investor Of course, Gary Indianer 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 Gary Indianer at CoreCap Investments and PlanMember Securities on alert to review carefully the activity and performance of their accounts and question whether Gary Indianer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PlanMember Securities and CoreCap Investments 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 CoreCap Investments Due To Gary Indianer If you have questions about CoreCap Investments, PlanMember Securities, and/or Gary Indianer 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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