Mar 8, 2022

Joseph Depasquale of American Capital Partners

DID JOSEPH DEPASQUALE CAUSE YOU INVESTMENT LOSSES? Joseph Depasquale Of American Capital Partners, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joseph Depasquale of American Capital Partners, LLC? Joseph Depasquale (CRD #4261826) who is currently registered with American Capital Partners, LLC and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Joseph Depasquale Customer Complaints Joseph Depasquale has been the subject of 2 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of Joseph Depasquale’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against American Capital Partners, LLC for investment losses caused by Joseph Depasquale’s alleged misconduct. Allegations Against Joseph Depasquale A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Joseph Depasquale’ alleged breach of fiduciary duties, misrepresentation. The client alleges that certain investments made by Joseph Depasquale were unsuitable. Joseph Depasquale Red Flags & Your Rights As An Investor Of course, Joseph Depasquale 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 Joseph Depasquale at American Capital Partners, LLC on alert to review carefully the activity and performance of their accounts and question whether Joseph Depasquale has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Capital Partners, LLC 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 American Capital Partners, LLC Due To Joseph Depasquale If you have questions about American Capital Partners, LLC and/or Joseph Depasquale 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

Robert Halldin formerly with American Portfolios Financial Services

DID ROBERT JAMES HALLDIN CAUSE YOU INVESTMENT LOSSES? Robert Halldin Formerly With American Portfolios Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Robert Halldin formerly with American Portfolios Financial Services? Robert Halldin (CRD #1458098) who was formerly registered with American Portfolios Financial Services and located in Newington, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Robert Halldin Customer Complaints Robert Halldin has been the subject of 3 customer complaints that we know about. Two of Robert Halldin’s 3 customer complaints were settled in favor of investors. One of Robert Halldin’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Robert Halldin A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Robert Halldin’s alleged breach of fiduciary duty, violation of Florida Securities Investor Protection Act, negligence, failure to supervise. Churning, unsuitable investments, unauthorized trading, overconcentration allegedly by Robert Halldin. The allegations are that Robert Halldin made unsuitable investments in accounts held away from the firm. Robert Halldin Red Flags & Your Rights As An Investor Of course, Robert Halldin did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Robert Halldin at American Portfolios Financial Services on alert to review carefully the activity and performance of their accounts and question whether Robert Halldin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Portfolios 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 American Portfolios Financial Services Due To Robert Halldin If you have questions about American Portfolios Financial Services and/or Robert Halldin 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 Graetz Formerly With Paulson Investment Company

DID KEVIN RICHARD GRAETZ CAUSE YOU INVESTMENT LOSSES? Kevin Graetz Formerly With Paulson Investment Company Has 9 Customer Complaints For Alleged Broker Misconduct Who is Kevin Graetz formerly with Paulson Investment Company? Kevin Graetz (CRD #1935982) who was formerly registered with Paulson Investment Company and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Kevin Graetz has had his own share of regulatory investigations.  He has been the subject of 2 FINRA investigations, the last of which resulted in a permanent bar for any further association with any member firm in any capacity for failing to cooperate and supply information in connection with 1 of its investigations. Kevin Graetz Customer Complaints Kevin Graetz has been the subject of 9 customer complaints that we know about. Five of Kevin Graetz’s 9 customer complaints were settled in favor of investors. Four of Kevin Graetz’s customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against Kevin Graetz 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 Kevin Graetz sold him unregistered, fraudulent, and unapproved investments. Client alleged that Kevin Graetz’s purchases of INB were unsuitable given her investment objectives. Client alleged Kevin Graetz’s purchasing a large concentration of stock in INB which was unsuitable in size of purchase. Investment was brought on margin. Client alleged sales practice violations in relation to private securities offerings by Kevin Graetz. Customer alleged Kevin Graetz’s general mishandling of account. Customer alleged fraud, negligent misrepresentations, negligence, and unjust enrichment by Kevin Graetz. Customer alleged misconduct, fraudulent misrepresentations, omissions and selling away by Kevin Graetz. Customer alleged that Kevin Graetz did not return his phone calls, that he lost approximately $185,000.00 that he did not authorize option trades, and that Kevin Graetz purchased and sold options without his authorization. Kevin Graetz Red Flags & Your Rights As An Investor Of course, Kevin Graetz 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 Graetz at Paulson Investment Company on alert to review carefully the activity and performance of their accounts and question whether Kevin Graetz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Paulson Investment 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 Paulson Investment Company Due To Kevin Graetz If you have questions about Paulson Investment Company and/or Kevin Graetz 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

Paul Granito of RBC Capital Markets

DID PAUL CHARLES GRANITO CAUSE YOU INVESTMENT LOSSES? Paul Granito Of RBC Capital Markets Has 2 Customer Complaints For Alleged Broker Misconduct Who is Paul Granito of RBC Capital Markets? Paul Granito (CRD #3170823) who is currently registered with RBC Capital Markets and located in Paramus, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Paul Granito Customer Complaints Paul Granito has been the subject of 2 customer complaints that we know about.  Both of Paul Granito’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Paul Granito 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 with respect to investments made by Paul Granito. Former client alleged Paul Granito inappropriately recommended she invest in an entity controlled by her husband. Paul Granito Red Flags & Your Rights As An Investor Of course, Paul Granito 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 Paul Granito at RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Paul Granito 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 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 RBC Capital Markets Due To Paul Granito If you have questions about RBC Capital Markets and/or Paul Granito 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

Jon Hamasaki of TD Ameritrade

DID JON CURTIS HAMASAKI CAUSE YOU INVESTMENT LOSSES? Jon Hamasaki Of TD Ameritrade And TD Ameritrade Investment Management Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jon Hamasaki of TD Ameritrade? Jon Hamasaki (CRD #2366916) who is currently registered with TD Ameritrade, TD Ameritrade Investment Management and located in Long Beach, California is a subject of one of our many securities industry sales practice abuse investigations. Jon Hamasaki Customer Complaints Jon Hamasaki has been the subject of 2 customer complaints that we know about. Both of Jon Hamasaki’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Jon Hamasaki 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 he was referred to a third party investment advisor that carried out unsuitable investment strategy allegedly by Jon Hamasaki. Jon Hamasaki’s alleged inappropriate recommendation regarding an Australian bond. Client alleged possible risk of currency changes between the Australian dollar and U.S. Dollar was not disclosed. Jon Hamasaki Red Flags & Your Rights As An Investor Of course, Jon Hamasaki 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 Jon Hamasaki at TD Ameritrade and TD Ameritrade Investment Management on alert to review carefully the activity and performance of their accounts and question whether Jon Hamasaki has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TD Ameritrade and TD Ameritrade Investment 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 TD Ameritrade Due To Jon Hamasaki If you have questions about TD Ameritrade, TD Ameritrade Investment Management, and/or Jon Hamasaki 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 Hanrahan of MML Investors Services

DID MICHAEL PATRICK HANRAHAN CAUSE YOU INVESTMENT LOSSES? Michael Hanrahan Formerly With MML Investors Services And MSI Financial Services Has 4 Customer Complaints For Alleged Broker Misconduct Who is Michael Hanrahan of MML Investors Services? Michael Hanrahan (CRD #1951824) who was formerly registered with MML Investors Services and located in Sumter, South Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Michael Hanrahan was associated with MSI Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Hanrahan Customer Complaints Michael Hanrahan 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 Michael Hanrahan’s 3 customer complaints was settled in favor of investors. Three of Michael Hanrahan’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Michael Hanrahan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged Michael Hanrahan mismanaged a fund transfer into his variable annuity. Plaintiff alleged that upon Michael Hanrahan’s advice, he pledged the cash value of his insurance policy and an additional sum of money as security for loans made to the defendant Amsub Network, Inc. by Sumter National Bank and the Branch Banking & Trust Company of South Carolina. Amsub Network defaulted on the loan. Plaintiff claimed Michael Hanrahan misrepresented the financial condition of Amsub Network and provided him with incorrect financial advice. The complainant alleged that this annuity was misrepresented by Michael Hanrahan. The complainant stated she did not understand that there were other options available that would have been more in line with her current and upcoming liquidity needs. Michael Hanrahan Red Flags & Your Rights As An Investor Of course, Michael Hanrahan 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 Hanrahan at MML Investors Services and MSI Financial Services on alert to review carefully the activity and performance of their accounts and question whether Michael Hanrahan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services and MSI 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 MML Investors Services Due To Michael Hanrahan If you have questions about MML Investors Services, MSI Financial Services, and/or Michael Hanrahan 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

Lawrence Hardee of Center Street Securities

DID LAWRENCE ALAN HARDEE CAUSE YOU INVESTMENT LOSSES? Lawrence Hardee Of Center Street Securities, Center Street Advisors And Formerly With Brookstone Capital Management Has A Customer Complaint For Alleged Broker Misconduct Who is Lawrence Hardee of Center Street Securities ? Lawrence Hardee (CRD #1701419) who is currently registered with Center Street Securities, Center Street Advisors and located in Brentwood, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Prior to Center Street Securities and Center Street Advisors, Lawrence Hardee was associated with Brookstone Capital Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Lawrence Hardee Customer Complaint Lawrence Hardee 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, over concentrated. The customer complaint filed against Lawrence Hardee’s current employer Center Street Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Lawrence Hardee Red Flags & Your Rights As An Investor Of course, Lawrence Hardee 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 Lawrence Hardee at Center Street Securities, Center Street Advisors, and Brookstone Capital Management on alert to review carefully the activity and performance of their accounts and question whether Lawrence Hardee has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Center Street Securities, Center Street Advisors, and Brookstone Capital Management 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 Center Street Securities Due To Lawrence Hardee If you have questions about Center Street Securities, Center Street Advisors, Brookstone Capital Management, and/or Lawrence Hardee 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

Thomas Griffiths of LPL Financial

DID THOMAS MARK GRIFFITHS CAUSE YOU INVESTMENT LOSSES? Thomas Griffiths Of LPL Financial And Great Valley Advisor Group Has 2 Customer Complaints For Alleged Broker Misconduct Who is Thomas Griffiths of LPL Financial? Thomas Griffiths (CRD #2106304) who is currently registered with LPL Financial, Great Valley Advisor Group and located in Newtown, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Thomas Griffiths Customer Complaints Thomas Griffiths 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 Thomas Griffiths’ customers’ complaints was denied and, to date, the customers have not taken any further action.  There is currently one pending customer complaint filed against LPL Financial for investment losses caused by Thomas Griffiths’ alleged misconduct. Allegations Against Thomas Griffiths 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 that they purchased non-conventional products that were risky at the recommendation of Thomas Griffiths. Pennsylvania client stated that he felt his ING Golden Select Variable annuity allegedly made by Thomas Griffiths was not a good investment choice for him. Thomas Griffiths Red Flags & Your Rights As An Investor Of course, Thomas Griffiths 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 Griffiths at LPL Financial and Great Valley Advisor Group on alert to review carefully the activity and performance of their accounts and question whether Thomas Griffiths has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and Great Valley Advisor Group also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial Due To Thomas Griffiths If you have questions about LPL Financial and Great Valley Advisor Group, and/or Thomas Griffiths 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

Cynthia Harless of Raymond James & Associates

DID CYNTHIA ELAINE HARLESS CAUSE YOU INVESTMENT LOSSES? Cynthia Harless Of Raymond James & Associates Has 3 Customer Complaints For Alleged Broker Misconduct Who is Cynthia Harless of Raymond James & Associates? Cynthia Harless (CRD #1882246) who is currently registered with Raymond James & Associates and located in Knoxville, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Cynthia Harless Customer Complaints Cynthia Harless has been the subject of 3 customer complaints that we know about. All of Cynthia Harless’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Cynthia Harless 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 Cynthia Harless’ investments were unsuitable and misrepresented at the point of sale. Client alleged misrepresentation by Cynthia Harless. Client alleged that broker “guaranteed” principal on mutual fund investment. Customer alleged Cynthia Harless’ misrepresentation. Client stated he did not understand the nature or mechanics of a margin account. Cynthia Harless Red Flags & Your Rights As An Investor Of course, Cynthia Harless 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 Cynthia Harless at Raymond James & Associates on alert to review carefully the activity and performance of their accounts and question whether Cynthia Harless has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 Raymond James & Associates Due To Cynthia Harless If you have questions about Raymond James & Associates and/or Cynthia Harless 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 Grillo of Cambridge Investment Research

DID JOHN LINO GRILLO CAUSE YOU INVESTMENT LOSSES? John Grillo Of Cambridge Investment Research And Cambridge Investment Research Advisors Has 3 Customer Complaints For Alleged Broker Misconduct Who is John Grillo of Cambridge Investment Research? John Grillo (CRD #2643787) who is currently registered with Cambridge Investment Research, Cambridge Investment Research Advisors and located in Carrollton, Georgia is a subject of one of our many securities industry sales practice abuse investigations. John Grillo Customer Complaints John Grillo 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 Grillo’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Cambridge Investment Research for investment losses caused by John Grillo’s alleged misconduct. Allegations Against John Grillo 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 fund was misrepresented by John Grillo and unsuitable. The claimants alleged their investments were placed in a risky mutual fund that was unsuitable for them. John Grillo Red Flags & Your Rights As An Investor Of course, John Grillo 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 Grillo at Cambridge Investment Research and Cambridge Investment Research Advisors on alert to review carefully the activity and performance of their accounts and question whether John Grillo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research and Cambridge Investment Research 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 Cambridge Investment Research Due To John Grillo If you have questions about Cambridge Investment Research, Cambridge Investment Research Advisors, and/or John Grillo 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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