Mar 8, 2022

Edward Lombard of Raymond James Financial Services

DID EDWARD WILLIAM LOMBARD CAUSE YOU INVESTMENT LOSSES? Edward Lombard Of Raymond James Financial Services And Formerly With Ameriprise Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Edward Lombard of Raymond James Financial Services? Edward Lombard (CRD #3013720) who is currently registered with Raymond James Financial Services and located in Jacksonville, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Financial Services, Edward Lombard was associated with Ameriprise Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Edward Lombard Customer Complaint Edward Lombard 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 advisor liquidated positions without her authorization. Edward Lombard’s customer complaint was settled in favor of the investors. Edward Lombard Red Flags & Your Rights As An Investor Of course, Edward Lombard 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 Edward Lombard at Raymond James Financial Services and Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Edward Lombard has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services and Ameriprise 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 Raymond James Financial Services Due To Edward Lombard If you have questions about Raymond James Financial Services, Ameriprise Financial Services, and/or Edward Lombard 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 Long of Cutter & Company

It’s critical for everyone to understand all they can about the individuals with whom they entrust their money. There are a variety of resources where you may learn more about a person’s background, including previous employment history, regulatory disciplinary actions, and consumer complaints. If you have incurred investment losses or want to know anything more about Brian Long, we will do everything possible to answer your concerns. DID BRIAN CURTIS LONG CAUSE YOU INVESTMENT LOSSES? Brian Long Of Cutter & Company Has 2 Customer Complaints For Alleged Broker Misconduct Who is Brian Long of Cutter & Company? Brian Long (CRD #2143884) who is currently registered with Cutter & Company and located in Ballwin, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Brian Long Customer Complaints Brian Long has been the subject of 2 customer complaints that we know about. One of Brian Long’s customers’ complaints was denied and, to date, the customer has not taken any further action.  The other one of Brian Long’s customer complaints was settled in favor of investors and it appears he was terminated by FFP Securities, Inc for failure to follow FFP Securities, Inc. policies related to those transactions. Allegations Against Brian Long 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 Brian Long did not invest her assets as aggressively as she desired. Two clients verbally complained regarding the face amount of policies purchased allegedly through Brian Long. Brian Long Red Flags & Your Rights As An Investor Of course, Brian Long 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 Long at Cutter & Company on alert to review carefully the activity and performance of their accounts and question whether Brian Long has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cutter & 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 Cutter & Company Due To Brian Long If you have questions about Cutter & Company and/or Brian Long 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

Trent Longnecker of Merrill Lynch Pierce Fenner & Smith

DID TRENT WALKER LONGNECKER CAUSE YOU INVESTMENT LOSSES? Trent Longnecker Of Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Trent Longnecker of Merrill Lynch Pierce Fenner & Smith? Trent Longnecker (CRD #2344606) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Phoenix, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Trent Longnecker Customer Complaints Trent Longnecker has been the subject of 2 customer complaints that we know about, one of which was filed in the last year to recover investment losses. One of Trent Longnecker’s 2 customer complaints was settled in favor of investors.  The other one of Trent Longnecker’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Trent Longnecker A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The customer alleged Trent Longnecker’s made unsuitable investment recommendations from September 2014 until May 2020. Client alleged that the Consults Service, a professional discretionary management service, was misrepresented by Trent Longnecker. Trent Longnecker Red Flags & Your Rights As An Investor Of course, Trent Longnecker 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 Trent Longnecker at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Trent Longnecker 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 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 Merrill Lynch Pierce Fenner & Smith Due To Trent Longnecker If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Trent Longnecker 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

Jerry Lopez of VALIC Financial Advisors

DID JERRY LOPEZ CAUSE YOU INVESTMENT LOSSES? Jerry Lopez Of VALIC Financial Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Jerry Lopez of VALIC Financial Advisors? Jerry Lopez (CRD #2949340) who is currently registered with VALIC Financial Advisors and located in Aptos, California is a subject of one of our many securities industry sales practice abuse investigations. Jerry Lopez Customer Complaint Jerry Lopez 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 she met with her representative and requested he secure her account in a fixed interest option, which he neglected to do. Jerry Lopez’s customer complaint was settled in favor of the investors. Jerry Lopez Red Flags & Your Rights As An Investor Of course, Jerry Lopez 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 Jerry Lopez at VALIC Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Jerry Lopez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at VALIC 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 VALIC Financial Advisors Due To Jerry Lopez If you have questions about VALIC Financial Advisors and/or Jerry Lopez 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 Loughran of UBS Financial Services

DID JOHN MATTHEW LOUGHRAN CAUSE YOU INVESTMENT LOSSES? John Loughran Of UBS Financial Services And Formerly With Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is John Loughran of UBS Financial Services? John Loughran (CRD #1884834) who is currently registered with UBS Financial Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, John Loughran was associated with Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Loughran Customer Complaints John Loughran has been the subject of 2 customer complaints that we know about. One of John Loughran’s customers’ complaints was denied and, to date, the customer has not taken any further action. The customer complaint filed against John Loughran’s current employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Allegations Against John Loughran A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant’s Counsel alleged unsuitability and misrepresentation regarding an options overlay strategy investment by John Loughran. Counsel also made allegations regarding a recommendation to hold the strategy. John Loughran’s alleged breach of fiduciary Duty; suitable, account related – failure to supervise. John Loughran Red Flags & Your Rights As An Investor Of course, John Loughran 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 Loughran at UBS Financial Services and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether John Loughran has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services and Merrill Lynch Pierce Fenner & Smith 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 UBS Financial Services Due To John Loughran If you have questions about UBS Financial Services, Merrill Lynch Pierce Fenner & Smith, and/or John Loughran 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

Kieran Loughran of Spartan Capital Securities

DID KIERAN JOHN LOUGHRAN CAUSE YOU INVESTMENT LOSSES? Kieran Loughran Of Spartan Capital Securities Has 5 Customer Complaints For Alleged Broker Misconduct Who is Kieran Loughran of Spartan Capital Securities? Kieran Loughran (CRD #2826208) who is currently registered with Spartan Capital Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Kieran Loughran Customer Complaints Kieran Loughran 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 Kieran Loughran’s 5 customer complaints were settled in favor of investors. One of Kieran Loughran’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 Spartan Capital Securities for investment losses caused by Kieran Loughran’s alleged misconduct. Allegations Against Kieran Loughran 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 Kieran Loughran’s misrepresentation and over concentration of certain securities in an account. The client sent in an e-mail disputing a purchase allegedly by Kieran Loughran that resulted in a loss generating margin calls in the clients account. Kieran Loughran’s alleged Suitability, Unauthorized Trading, Negligence, Breach of Fiduciary Duty, and Misrepresentation to a customer. Suitability, unauthorized trading, negligence, breach of fiduciary duty, and misrepresentation allegedly by Kieran Loughran. Kieran Loughran allegedly made misrepresentations and unsuitable recommendations. Kieran Loughran Red Flags & Your Rights As An Investor Of course, Kieran Loughran 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 Kieran Loughran at Spartan Capital Securities on alert to review carefully the activity and performance of their accounts and question whether Kieran Loughran has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital 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 Spartan Capital Securities Due To Kieran Loughran If you have questions about Spartan Capital Securities and/or Kieran Loughran 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 Limpert Formerly With Brokers International Financial Services

DID JOHN EMIL LIMPERT CAUSE YOU INVESTMENT LOSSES? John Limpert Formerly With Brokers International Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is John Limpert formerly with Brokers International Financial Services? John Limpert (CRD #1782540) who was formerly registered with Brokers International Financial Services and located in Laguna Hills, California is a subject of one of our many securities industry sales practice abuse investigations. John Limpert Customer Complaints John Limpert 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 John Limpert’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against John Limpert A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client stated she was facing financial hardship and filed for bankruptcy. The client stated the product should not have been sold to her or included in any retirement account by John Limpert. The client thought she had lost her money on a promissory note she had purchased through John Limpert because the promissory note company went bankrupt. She was an accredited investor and her money was held in a safe custodial account with bank – one, until the class action suit against the promissory note company and Bank – One was settled. Bank One prevailed in the suit and her money was returned to her, and she was satisfied with that, and took no further action. John Limpert Red Flags & Your Rights As An Investor Of course, John Limpert 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 Limpert at Brokers International Financial Services on alert to review carefully the activity and performance of their accounts and question whether John Limpert has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Brokers International 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 Brokers International Financial Services Due To John Limpert If you have questions about Brokers International Financial Services and/or John Limpert 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

Antoinette Lucas of TIAA-CREF Individual & Institutional Services

DID ANTOINETTE MARSHALL LUCAS CAUSE YOU INVESTMENT LOSSES? Antoinette Lucas Of TIAA-CREF Individual & Institutional Services And Formerly With Morgan Stanley And OneAmerica Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Antoinette Lucas of TIAA-CREF Individual & Institutional Services? Antoinette Lucas (CRD #4314461) who is currently registered with TIAA-CREF Individual & Institutional Services and located in Charlottesville, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Prior to TIAA-CREF Individual & Institutional Services, Antoinette Lucas was associated with Morgan Stanley, OneAmerica Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Antoinette Lucas Customer Complaint Antoinette Lucas 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 the client stated that she provided account trade instructions to the representative on February 20, 2020 but due to a delay in trades being made, experienced a loss in account value. Antoinette Lucas’ customer complaint was settled in favor of the investors. Antoinette Lucas Red Flags & Your Rights As An Investor Of course, Antoinette Lucas 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 Antoinette Lucas at TIAA-CREF Individual & Institutional Services, Morgan Stanley, and OneAmerica Securities on alert to review carefully the activity and performance of their accounts and question whether Antoinette Lucas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TIAA-CREF Individual & Institutional Services, Morgan Stanley, and OneAmerica 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 TIAA-CREF Individual & Institutional Services Due To Antoinette Lucas If you have questions about TIAA-CREF Individual & Institutional Services, Morgan Stanley, OneAmerica Securities, and/or Antoinette Lucas 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

Jimmy Maldonado of LPL Financial

DID JIMMY MALDONADO CAUSE YOU INVESTMENT LOSSES? Jimmy Maldonado Of LPL Financial And Formerly With Invest Financial And Cetera Advisors Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jimmy Maldonado of LPL Financial? Jimmy Maldonado (CRD #2991263) who is currently registered with LPL Financial and located in Burbank, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Jimmy Maldonado was associated with Invest Financial, Cetera Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jimmy Maldonado Customer Complaints Jimmy Maldonado 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 Jimmy Maldonado’s 2 customer complaints was settled in favor of investors. One of Jimmy Maldonado’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Jimmy Maldonado A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Complaint in question involves a trade on Juniper (JNPR) which Jimmy Maldonado allegdly decided to sell based upon the “Not Held Order” given by the client as the stock was dropping fast. Customer alleged Jimmy Maldonado’s misrepresentation of a Business Development Company. Jimmy Maldonado Red Flags & Your Rights As An Investor Of course, Jimmy Maldonado 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 Jimmy Maldonado at LPL Financial, Invest Financial, and Cetera Advisors on alert to review carefully the activity and performance of their accounts and question whether Jimmy Maldonado has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, Invest Financial, and Cetera Advisors 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 Jimmy Maldonado If you have questions about LPL Financial, Invest Financial, Cetera Advisors, and/or Jimmy Maldonado 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 Mallow of Fidelity Brokerage Services

DID RYAN SCOTT MALLOW CAUSE YOU INVESTMENT LOSSES? Ryan Mallow Of Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors And Formerly With Strategic Advisers Has 2 Customer Complaints For Alleged Broker Misconduct Who is Ryan Mallow of Fidelity Brokerage Services? Ryan Mallow (CRD #2420445) who is currently registered with Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors and located in Jacksonville, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Ryan Mallow was associated with Strategic Advisers and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ryan Mallow Customer Complaints Ryan Mallow has been the subject of 2 customer complaints that we know about, which was filed in the last year to recover investment losses.  One of Ryan Mallow’s 2 customer complaints was settled in favor of investors. The customer complaint filed against Ryan Mallow’s current employer Fidelity Brokerage Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Allegations Against Ryan Mallow 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 that Ryan Mallow misrepresented the level of risk associated with securities in a managed account. Executions – failure to execute allegedly by Ryan Mallow. Ryan Mallow Red Flags & Your Rights As An Investor Of course, Ryan Mallow 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 Mallow at Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, and Strategic Advisers on alert to review carefully the activity and performance of their accounts and question whether Ryan Mallow has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, and Strategic Advisers 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 Fidelity Brokerage Services Due To Ryan Mallow If you have questions about Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Strategic Advisers, and/or Ryan Mallow 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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