Mar 8, 2022

Martha Grimshaw-Killian of J.W. Cole Financial

DID MARTHA LYNN GRIMSHAW-KILLIAN CAUSE YOU INVESTMENT LOSSES? Martha Grimshaw-Killian Of J.W. Cole Financial And Formerly With PNC Investments Has A Customer Complaint For Alleged Broker Misconduct Who is Martha Grimshaw-Killian of J.W. Cole Financial? Martha Grimshaw-Killian (CRD #2683822) who is currently registered with J.W. Cole Financial and located in Bradenton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to J.W. Cole Financial, Martha Grimshaw-Killian was associated with PNC Investments and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Martha Grimshaw-Killian Customer Complaint Martha Grimshaw-Killian 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 customer alleged that the representative did not fully disclose all the facts concerning charges, expenses and fees guarantee and risk. Martha Grimshaw-Killian’s customer complaint was settled in favor of the investors. Martha Grimshaw-Killian Red Flags & Your Rights As An Investor Of course, Martha Grimshaw-Killian 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 Martha Grimshaw-Killian at J.W. Cole Financial and PNC Investments on alert to review carefully the activity and performance of their accounts and question whether Martha Grimshaw-Killian has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.W. Cole Financial and PNC 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 J.W. Cole Financial Due To Martha Grimshaw-Killian If you have questions about J.W. Cole Financial, PNC Investments, and/or Martha Grimshaw-Killian 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 Groff of Charles Schwab & Co.

DID RICHARD BRADEN GROFF CAUSE YOU INVESTMENT LOSSES? Richard Groff Of Charles Schwab & Co. Has A Customer Complaint For Alleged Broker Misconduct Who is Richard Groff of Charles Schwab & Co.? Richard Groff (CRD #4177139) who is currently registered with Charles Schwab & Co. and located in Sandy Springs, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Richard Groff Customer Complaint Richard Groff 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 provided instructions to the representative to sell the ETF’s in her account and leave the funds in cash; instead he purchased shares of various securities with the proceeds. Richard Groff’s customer complaint was settled in favor of the investors. Richard Groff Red Flags & Your Rights As An Investor Of course, Richard Groff 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 Groff at Charles Schwab & Co. on alert to review carefully the activity and performance of their accounts and question whether Richard Groff has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & Co. 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 Charles Schwab & Co. Due To Richard Groff If you have questions about Charles Schwab & Co. and/or Richard Groff 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

Ricardo Harmsen of Cantella & Co.

DID RICARDO EDUARDO HARMSEN CAUSE YOU INVESTMENT LOSSES? Ricardo Harmsen Of Cantella & Co. And Formerly With Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Ricardo Harmsen of Cantella & Co.? Ricardo Harmsen (CRD #2011149) who is currently registered with Cantella & Co. and located in Pittsboro, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cantella & Co., Ricardo Harmsen was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ricardo Harmsen Customer Complaints Ricardo Harmsen has been the subject of 2 customer complaints that we know about. Both of Ricardo Harmsen’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Ricardo Harmsen 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 Ricardo Harmsen’s impropriety regarding transfer of assets and claimed that his account is missing $200k. Customer alleged Ricardo Harmsen’s unauthorized transactions. Ricardo Harmsen Red Flags & Your Rights As An Investor Of course, Ricardo Harmsen 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 Ricardo Harmsen at Cantella & Co. and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Ricardo Harmsen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cantella & Co. and Wells Fargo Clearing 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 Cantella & Co. Due To Ricardo Harmsen If you have questions about Cantella & Co., Wells Fargo Clearing Services, and/or Ricardo Harmsen 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

Christopher Harpin of Lincoln Financial Securities

DID CHRISTOPHER TAYLOR HARPIN CAUSE YOU INVESTMENT LOSSES? Christopher Harpin Of Lincoln Financial Securities And Formerly With Samuel A Ramirez & Co. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Christopher Harpin of Lincoln Financial Securities? Christopher Harpin (CRD #2329016) who is currently registered with Lincoln Financial Securities and located in Essex, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Lincoln Financial Securities, Christopher Harpin was associated with Samuel A Ramirez & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Christopher Harpin Customer Complaints Christopher Harpin 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 Christopher Harpin’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Christopher Harpin A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Based on allegations of fraud, deceit, untrue statements, omission of material facts, and schemes to defraud, the client of four brokerage accounts established in January 2017 and June 2020 demanded a rescission of all securities purchased plus statutory interest of 10% per annum from the date(s) of purchase allegedly committed by Christopher Harpin. Client purchased stocks in a non-discretionary account on an unsolicited basis and claimed that Christopher Harpin allegedly did not get him out of these stocks in time to avoid losses due to market correction. Christopher Harpin Red Flags & Your Rights As An Investor Of course, Christopher Harpin 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 Christopher Harpin at Lincoln Financial Securities and Samuel A Ramirez & Co. on alert to review carefully the activity and performance of their accounts and question whether Christopher Harpin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lincoln Financial Securities and Samuel A Ramirez & 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 Lincoln Financial Securities Due To Christopher Harpin If you have questions about Lincoln Financial Securities, Samuel A Ramirez & Co., and/or Christopher Harpin 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 Hart of Morgan Stanley

DID ROBERT PAUL HART CAUSE YOU INVESTMENT LOSSES? Robert Hart Of Morgan Stanley And Formerly With Wells Fargo Clearing Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Robert Hart of Morgan Stanley? Robert Hart (CRD #2313194) who is currently registered with Morgan Stanley and located in Marco Island, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Robert Hart was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Hart Customer Complaints Robert Hart has been the subject of 3 customer complaints that we know about. One arbitration award was entered against Wells Fargo Clearing Services for Robert Hart’s alleged misconduct causing investors losses. Two of Robert Hart’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Robert Hart A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Robert Hart allegedly breached his fiduciary duty. Claimant alleged suitability and negligence. The causes of action relate to an investment account and an IRA account allegedly made by Robert Hart. Robert Hart’s alleged unsuitable advice regarding mutual fund investment. Robert Hart Red Flags & Your Rights As An Investor Of course, Robert Hart 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 Hart at Morgan Stanley and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Robert Hart has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and Wells Fargo Clearing 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 Morgan Stanley Due To Robert Hart If you have questions about Morgan Stanley, Wells Fargo Clearing Services, and/or Robert Hart 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

Douglas Digiorno of UBS Financial Services

DID DOUGLAS DIGIORNO CAUSE YOU INVESTMENT LOSSES? Douglas Digiorno Of UBS Financial Services Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Douglas Digiorno of UBS Financial Services Inc.? Douglas Digiorno (CRD #2702739) who is currently registered with UBS Financial Services Inc. and located in Naples, Florida is a subject of one of our many securities industry sales practice abuse investigations. Douglas Digiorno Customer Complaint Douglas Digiorno has been the subject ofat 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 that his line of credit and aggressive portfolio were unsuitable in light of his age and retirement. The customer complaint filed against Douglas Digiorno’s current employer UBS Financial Services Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Douglas Digiorno Red Flags & Your Rights As An Investor Of course, Douglas Digiorno 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 Douglas Digiorno at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Douglas Digiorno has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Douglas Digiorno If you have questions about UBS Financial Services Inc. and/or Douglas Digiorno 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

Celeste Dinerman of Morgan Stanley

DID CELESTE DINERMAN CAUSE YOU INVESTMENT LOSSES? Celeste Dinerman Of Morgan Stanley Has 4 Customer Complaints For Alleged Broker Misconduct Who is Celeste Dinerman of Morgan Stanley? Celeste Dinerman (CRD #2942377) who is currently registered with Morgan Stanley and located in West Hartford, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Celeste Dinerman Customer Complaints Celeste Dinerman has been the subject of 4 customer complaints that we know about. Three of Celeste Dinerman’s 4 customer complaints were settled in favor of investors. One of Celeste Dinerman’s customers’ complaints was denied and the customer has not taken any further action. Allegations Against Celeste Dinerman 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 Celeste Dinerman’s misrepresentation regarding managed account investment. Client alleged Celeste Dinerman’s misrepresentation relating to a mutual fund investment. Client alleged that the sale of a variable and fixed annuity by Celeste Dinerman was unsuitable. Client alleged, inter alia, that the surrender of an annuity and the purchase of another were misrepresented by Celeste Dinerman. Alleged damages unspecified. Celeste Dinerman Red Flags & Your Rights As An Investor Of course, Celeste Dinerman 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 Celeste Dinerman at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Celeste Dinerman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley also raises questions about the brokerage 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 Morgan Stanley Due To Celeste Dinerman If you have questions about Morgan Stanley and/or Celeste Dinerman 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 Dobbertin of American Portfolio Advisors

DID JOHN DOBBERTIN CAUSE YOU INVESTMENT LOSSES? John Dobbertin of American Portfolios Advisors, Inc., American Portfolios Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is John Dobbertin of American Portfolios Advisors, Inc.? John Dobbertin (CRD #3254308) who is currently registered with American Portfolios Advisors, Inc., American Portfolios Financial Services and located in Fayetteville, New York is a subject of one of our many securities industry sales practice abuse investigations. John Dobbertin Customer Complaint John Dobbertin has been the subject ofat least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were Violations of FINRA Rules 2110 and 2111, misrepresentation and omissions of material facts, and breach of fiduciary duty. The customer complaint filed against John Dobbertin’s current employer American Portfolios Advisors, Inc. and American Portfolios Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. John Dobbertin Red Flags & Your Rights As An Investor Of course, John Dobbertin 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 Dobbertin at American Portfolios Advisors, Inc., American Portfolios Financial Services on alert to review carefully the activity and performance of their accounts and question whether John Dobbertin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Portfolios Advisors, Inc., American Portfolios 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 American Portfolios Advisors, Inc. Due To John Dobbertin If you have questions about American Portfolios Advisors, Inc., American Portfolios Financial Services, and/or John Dobbertin 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 Dixon of Independent Financial Group

DID JOHN DIXON CAUSE YOU INVESTMENT LOSSES? John Dixon Of Independent Financial Group, LLC And Formerly With LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is John Dixon of Independent Financial Group, LLC? John Dixon (CRD #4239339) who is currently registered with Independent Financial Group, LLC and located in Pocatello, Idaho is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Independent Financial Group, John Dixon was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Dixon Customer Complaint John Dixon has been the subject ofat least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that a variety of investments were unsuitable and that LPL failed to meet due diligence requirements. Claimant also alleges fraud, misrepresentation, breach of fiduciary duty, negligent failure to supervise and negligence on behalf of respondent. John Dixon’s customer complaint was settled in favor of the investors. John Dixon Red Flags & Your Rights As An Investor Of course, John Dixon 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 Dixon at Independent Financial Group, LLC and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether John Dixon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Independent Financial Group, LLC and 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 Independent Financial Group, LLC Due To John Dixon If you have questions about Independent Financial Group, LLC, LPL Financial, and/or John Dixon 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 Dolan of Edward Jones

DID TIMOTHY DOLAN CAUSE YOU INVESTMENT LOSSES? Timothy Dolan Of Edward Jones Has 5 Customer Complaints For Alleged Broker Misconduct Who is Timothy Dolan of Edward Jones? Timothy Dolan (CRD #1716037) who is currently registered with Edward Jones and located in North Kansas City, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Timothy Dolan Customer Complaints Timothy Dolan has been the subject of 5 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. Two of Timothy Dolan’s 5 customer complaints were settled in favor of investors. Three of Timothy Dolan’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Timothy Dolan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleges the sell of $25,000 Moberly MO Certificates of Participation 4.4% was the result of the poor advice/recommendation of Timothy Dolan. Client claims she met with Timothy Dolan allegedly to make changes in her funds which client believed would be a safer investment. Client claims she wanted the majority of her funds in a bond fund and was told by the Timothy Dolan there were no bond funds client could place her money in and was advised to leave her money as it was. Client claims she insisted on being more diversified but Timothy Dolan only offered a CD. Client claims she informed the Timothy Dolan she did not want to do that and was given no other options by Timothy Dolan. Client claims she later learned there was a bond fund with American Funds client could have moved to. Client is dissatisfied with the performance of her account and claims she has lost most of her money. Client claims she was told she was being put into secure funds allegedly by Timothy Dolan and now believes that was not true. The client alleged Timothy Dolan misrepresented that assets would not be sold to convert her Advisory Solutions SEP IRA to an Advisory Solutions IRA account. The client claims that Timothy Dolan was told that the account owner was incapable of making sound investment decisions and the complainant (the account owner’s wife) was an inexperienced investor. The complainant states that they did not want to risk or any loss of money and the ability to withdraw funds. The complainant states that the Timothy Dolan told her she would need a POA and she stated that she would speak to a military attorney. Timothy Dolan allegedly recommended mutual funds and would assist with the transfer of funds from the account owners TSP. The complainant states Timothy Dolan contacted her and said the funds were available to make the investments and the complainant states she told Timothy Dolan that the account owner was not home but she thought it was ok to go ahead. Upon receipt of the July statement the complainant was surprised at the decrease in value of the account. She tried to contact the branch and ended up talking with client services. The complainant states she was not told the investments would be subject to the market. The complainant states that account owner gave instructions to liquidate the account and transfer out of Edward Jones. The complainant is requesting the return of the investment in full. Timothy Dolan Red Flags & Your Rights As An Investor Of course, Timothy Dolan 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 Dolan at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Timothy Dolan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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 Edward Jones Due To Timothy Dolan If you have questions about Edward Jones and/or Timothy Dolan 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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