Mar 8, 2022

Peter Izzo of Merrill Lynch Pierce Fenner & Smith

DID PETER SCOTT IZZO CAUSE YOU INVESTMENT LOSSES? Peter Izzo Of Merrill Lynch Pierce Fenner & Smith Has 4 Customer Complaints For Alleged Broker Misconduct Who is Peter Izzo of Merrill Lynch Pierce Fenner & Smith? Peter Izzo (CRD #2943901) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Peter Izzo Customer Complaints Peter Izzo 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. All of Peter Izzo’s 4 customer complaints were settled in favor of investors. Allegations Against Peter Izzo A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged unsuitable recommendations and investments in their accounts by Peter Izzo. Claimants further alleged FA failed to explain the risks of margin. The claimants alleged that unsuitable investments were made in their account and that there was excessive and unauthorized trading on margin in their account by Peter Izzo. The customer alleged Peter Izzo’s unauthorized trading and misrepresentations regarding the liquidity of auction rate securities. Damages unspecified. The customer alleged unsuitable investment recommendations by Peter Izzo. Peter Izzo Red Flags & Your Rights As An Investor Of course, Peter Izzo 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 Izzo at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Peter Izzo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith 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 Merrill Lynch Pierce Fenner & Smith Due To Peter Izzo If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Peter Izzo 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

Richard Jackman of Crown Capital Securities

DID RICHARD W. JACKMAN CAUSE YOU INVESTMENT LOSSES? Richard Jackman Of Crown Capital Securities And Secura Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Richard Jackman of Crown Capital Securities? Richard Jackman (CRD #2501641) who is currently registered with Crown Capital Securities, Secura Financial and located in Orange, California is a subject of one of our many securities industry sales practice abuse investigations. Richard Jackman Customer Complaint Richard Jackman has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unsuitable investments made in illiquid products. The customer complaint filed against Richard Jackman’s current employer Crown Capital Securities, J.W. Cole Financial, and LPL Financial for investment losses caused by the alleged misconduct is pending as of the date of this report. Richard Jackman Red Flags & Your Rights As An Investor Of course, Richard Jackman 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 Richard Jackman at Crown Capital Securities and Secura Financial on alert to review carefully the activity and performance of their accounts and question whether Richard Jackman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Crown Capital Securities and Secura 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 Crown Capital Securities Due To Richard Jackman If you have questions about Crown Capital Securities, Secura Financial, and/or Richard Jackman 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

Clifford Virgin of UBS Financial Services

DID CLIFFORD VIRGIN III CAUSE YOU INVESTMENT LOSSES? Clifford Virgin Of UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Clifford Virgin of UBS Financial Services? Clifford Virgin (CRD #1878876) who is currently registered with UBS Financial Services and located in Florham Park, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Clifford Virgin Customer Complaints Clifford Virgin has been the subject of 3 customer complaints that we know about. One of Clifford Virgin’s customer complaints was settled in favor of investors. Two of Clifford Virgin’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Clifford Virgin 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 price structure to purchase U.S. Treasury securities was misrepresented by Clifford Virgin and that the purchase of a mutual fund was unsuitable. Claimant’s counsel alleged Clifford Virgin’s unsuitable trading which resulted in substantial losses and tax liabilities for the heirs of the trust. Clifford Virgin Red Flags & Your Rights As An Investor Of course, Clifford Virgin 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 Clifford Virgin at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Clifford Virgin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS 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 UBS Financial Services Due To Clifford Virgin If you have questions about UBS Financial Services and/or Clifford Virgin 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 Kiefer of Royal Alliance Associates

DID MICHAEL EDWARD KIEFER CAUSE YOU INVESTMENT LOSSES? Michael Kiefer Of Royal Alliance Associates And Formerly With Signator Investors And Transamerica Financial Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Kiefer of Royal Alliance Associates? Michael Kiefer (CRD #4124115) who is currently registered with Royal Alliance Associates and located in Albuquerque, New Mexico is a subject of one of our many securities industry sales practice abuse investigations. Prior to Royal Alliance Associates, Michael Kiefer was associated with Signator Investors, Transamerica Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Kiefer Customer Complaint Michael Kiefer 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 there was a delay in connection with the sale of a thinly-traded stock. The customer complaint filed against Michael Kiefer’s current employer Royal Alliance Associates for investment losses caused by the alleged misconduct is pending as of the date of this report. Michael Kiefer Red Flags & Your Rights As An Investor Of course, Michael Kiefer 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 Kiefer at Royal Alliance Associates, Signator Investors, and Transamerica Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Michael Kiefer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates, Signator Investors, and Transamerica 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 Royal Alliance Associates Due To Michael Kiefer If you have questions about Royal Alliance Associates, Signator Investors, Transamerica Financial Advisors, and/or Michael Kiefer 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

Steve Kim formerly with TD Ameritrade

DID STEVE DOUGYUN KIM CAUSE YOU INVESTMENT LOSSES? Steve Kim Formerly With TD Ameritrade Has A Customer Complaint For Alleged Broker Misconduct Who is Steve Kim formerly with TD Ameritrade? Steve Kim (CRD #2487413) who was formerly registered with TD Ameritrade and located in E. Palo Alto, California is a subject of one of our many securities industry sales practice abuse investigations. Steve Kim Customer Complaint Steve Kim 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 unsuitable recommendation involving Aequitas. Steve Kim’s customer complaint was settled in favor of the investors. Steve Kim Red Flags & Your Rights As An Investor Of course, Steve Kim 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 Steve Kim at TD Ameritrade on alert to review carefully the activity and performance of their accounts and question whether Steve Kim has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TD Ameritrade 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 TD Ameritrade Due To Steve Kim If you have questions about TD Ameritrade and/or Steve Kim 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

Sally Kirkpatrick of RBC Capital Markets

DID SALLY ANN KIRKPATRICK CAUSE YOU INVESTMENT LOSSES? Sally Kirkpatrick Of RBC Capital Markets Has A Customer Complaint For Alleged Broker Misconduct Who is Sally Kirkpatrick of RBC Capital Markets? Sally Kirkpatrick (CRD #2373579) who is currently registered with RBC Capital Markets and located in Chevy Chase, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Sally Kirkpatrick Customer Complaint Sally Kirkpatrick 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 expressed concern that his financial advisor provided inaccurate information in connection with a 1035 exchange which he believes adversely impacted his retirement strategy.  Sally Kirkpatrick’s customer complaint was settled in favor of the investors. Sally Kirkpatrick Red Flags & Your Rights As An Investor Of course, Sally Kirkpatrick 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 Sally Kirkpatrick at RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Sally Kirkpatrick has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets 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 RBC Capital Markets Due To Sally Kirkpatrick If you have questions about RBC Capital Markets and/or Sally Kirkpatrick 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

Timothy Kissling formerly with Madison Avenue Securities

DID TIMOTHY JON KISSLING CAUSE YOU INVESTMENT LOSSES? DID TIMOTHY JON KISSLING CAUSE YOU INVESTMENT LOSSES? Who is Timothy Kissling formerly with Madison Avenue Securities? Timothy Kissling (CRD #2515918) who was formerly registered with Madison Avenue Securities and located in New Castle, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Timothy Kissling Customer Complaints Timothy Kissling 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 Timothy Kissling’s customer complaints was settled in favor of investors. One of Timothy Kissling’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Timothy Kissling A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged Timothy Kissling’s failure to conduct due diligence on several points, unsuitable recommendation, over concentration, misrepresentations and omissions in violation of FINRA regulations in the sale of alternative investments. Client purchased Aviva Indexed Universal Life insurance policy with a face amount of $1 million. Client paid two years’ worth of premium and then cancelled the policy. Client also alleged that Timothy Kissling sold her REITs to generate income to cover the premium, but they didn’t pay as expected. Client alleged that he had her convert her IRA to a Roth IRA, which caused a payment due to the IRS of $27,000. Client said Timothy Kissling took advantage of her situation Timothy Kissling Red Flags & Your Rights As An Investor Of course, Timothy Kissling 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 Timothy Kissling at Madison Avenue Securities on alert to review carefully the activity and performance of their accounts and question whether Timothy Kissling has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Madison Avenue 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 Madison Avenue Securities Due To Timothy Kissling If you have questions about Madison Avenue Securities and/or Timothy Kissling 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

Rafael Klein of David Lerner Associates

DID RAFAEL SCOTT KLEIN CAUSE YOU INVESTMENT LOSSES? Rafael Klein Of David Lerner Associates And Spirit Of America Management Has 4 Customer Complaints For Alleged Broker Misconduct Who is Rafael Klein of David Lerner Associates? Rafael Klein (CRD #2865823) who is currently registered with David Lerner Associates, Spirit Of America Management and located in Westport, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Rafael Klein Customer Complaints Rafael Klein 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. One of Rafael Klein’s customer complaints was settled in favor of investors. One of Rafael Klein’s customer complaints was denied and, to date, the customer has not taken any further action. There are currently two pending customer complaints filed against David Lerner Associates for investment losses caused by Rafael Klein’s alleged misconduct. Allegations Against Rafael Klein 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 unsuitability by Rafael Klein. Misrepresentations allegedly by Rafael Klein. Rafael Klein’s alleged misrepresentation and omission, breach of fiduciary duty, failure to supervise, fraud, unauthorized trading. Rafael Klein Red Flags & Your Rights As An Investor Of course, Rafael Klein 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 Rafael Klein at David Lerner Associates and Spirit Of America Management on alert to review carefully the activity and performance of their accounts and question whether Rafael Klein has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at David Lerner Associates and Spirit Of America 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 David Lerner Associates Due To Rafael Klein If you have questions about David Lerner Associates, Spirit Of America Management, and/or Rafael Klein 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 Klevens of Securities America

DID JOHN THOMSON KLEVENS CAUSE YOU INVESTMENT LOSSES? John Klevens Of Securities America And Formerly With KMS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is John Klevens of Securities America? John Klevens (CRD #2125586) who is currently registered with Securities America and located in Bellevue, Washington is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Securities America, John Klevens was associated with KMS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Klevens Customer Complaint John Klevens 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 KMS Advisor filed a civil action against his former client alleging violations of an existing protection order that was granted by King County District Court. The former client filed a counter-claim against KMS Advisor which alleged breach of fiduciary duty and mismanagement of funds and demanded disgorgement of all fees and costs. John Klevens’ customer complaint was settled in favor of the investors. John Klevens Red Flags & Your Rights As An Investor Of course, John Klevens 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 Klevens at Securities America and KMS Financial Services on alert to review carefully the activity and performance of their accounts and question whether John Klevens has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America and KMS 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 Securities America Due To John Klevens If you have questions about Securities America, KMS Financial Services, and/or John Klevens 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 Knittle of American Portfolios Financial Services

DID PETER MARTIN KNITTLE CAUSE YOU INVESTMENT LOSSES? Peter Knittle Of American Portfolios Financial Services, American Portfolios Advisors And Formerly With LPL Financial And ESL Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is Peter Knittle of American Portfolios Financial Services? Peter Knittle (CRD #4090117) who is currently registered with American Portfolios Advisors, American Portfolios Financial Services and located in Rochester, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to American Portfolios Financial Services, American Portfolios Advisors, Peter Knittle was associated with LPL Financial, ESL Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Peter Knittle Customer Complaint Peter Knittle 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 misrepresentation in connection with a withdrawal from their variable annuity. Peter Knittle’s customer complaint was denied and, to date, the customer has not taken any further action. Peter Knittle Red Flags & Your Rights As An Investor Of course, Peter Knittle 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 Knittle at American Portfolios Financial Services, American Portfolios Advisors, LPL Financial, and ESL Investment Services on alert to review carefully the activity and performance of their accounts and question whether Peter Knittle has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Portfolios Financial Services, American Portfolios Advisors, LPL Financial, and ESL Investment 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 American Portfolios Financial Services Due To Peter Knittle If you have questions about American Portfolios Financial Services, American Portfolios Advisors, LPL Financial, ESL Investment Services, and/or Peter Knittle 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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