Mar 8, 2022

Scott Dorer of Securities America

DID SCOTT DORER CAUSE YOU INVESTMENT LOSSES? Scott Dorer Of Securities America, Inc., Managed Money Concepts Has A Customer Complaint For Alleged Broker Misconduct Who is Scott Dorer of Securities America, Inc.? Scott Dorer (CRD #1561880) who is currently registered with Securities America, Inc., Managed Money Concepts and located in Lansing, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Scott Dorer Customer Complaint Scott Dorer 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 breach of contract; breach of fiduciary duty; and breach of duty of good faith, loyalty and fair dealing relating to the withdrawal of funds from advisory account. The customer complaint filed against Scott Dorer’s current employer Securities America for investment losses caused by the alleged misconduct is pending as of the date of this report. Scott Dorer Red Flags & Your Rights As An Investor Of course, Scott Dorer 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 Scott Dorer at Securities America, Inc. and Managed Money Concepts on alert to review carefully the activity and performance of their accounts and question whether Scott Dorer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America, Inc. and Managed Money Concepts 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, Inc. Due To Scott Dorer If you have questions about Securities America, Inc., Managed Money Concepts, and/or Scott Dorer 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

Patrick Donnelly of Raymond James Financial Services

DID PATRICK DONNELLY CAUSE YOU INVESTMENT LOSSES? Patrick Donnelly Of Raymond James Financial Services, Inc., Raymond James Financial Services Advisors And Formerly With UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Patrick Donnelly of Raymond James Financial Services, Inc.? Patrick Donnelly (CRD #2056698) who is currently registered with Raymond James Financial Services, Inc., Raymond James Financial Services Advisors and located in Springfield, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, Patrick Donnelly was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Patrick Donnelly Customer Complaints Patrick Donnelly has been the subject of 3 customer complaints that we know about. Two of Patrick Donnelly’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by Patrick Donnelly’s alleged misconduct. Allegations Against Patrick Donnelly 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 Patrick Donnelly’s unsuitable trading and unauthorized use of margin. Patrick Donnelly’ alleged failure to execute orders; breach of fiduciary duty; misrepresentation; omission of facts; breach of contract; and negligence. Claimant trustee alleged breach of fiduciary duty in connection with unauthorized transfer of account assets by Patrick Donnelly. Patrick Donnelly Red Flags & Your Rights As An Investor Of course, Patrick Donnelly 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 Patrick Donnelly at Raymond James Financial Services, Inc., Raymond James Financial Services Advisors and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Patrick Donnelly has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, Inc., Raymond James Financial Services Advisors and 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 Raymond James Financial Services, Inc. Due To Patrick Donnelly If you have questions about Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, UBS Financial Services, and/or Patrick Donnelly 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

Esa Jokela of Center Street Securities

DID ESA PEKKA JOKELA CAUSE YOU INVESTMENT LOSSES? Esa Jokela Of Center Street Securities And Formerly With Madison Avenue Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Esa Jokela of Center Street Securities? Esa Jokela (CRD #2606773) who is currently registered with Center Street Securities and located in Palm Beach Gardens, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Center Street Securities, Esa Jokela was associated with Madison Avenue Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Esa Jokela Customer Complaint Esa Jokela 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 of annuity product that was sold to client. Complaint received from the Better Business Bureau. Esa Jokela’s customer complaint was denied and, to date, the customer has not taken any further action. Esa Jokela Red Flags & Your Rights As An Investor Of course, Esa Jokela 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 Esa Jokela at Center Street Securities and Madison Avenue Securities on alert to review carefully the activity and performance of their accounts and question whether Esa Jokela has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Center Street Securities and Madison Avenue 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 Center Street Securities Due To Esa Jokela If you have questions about Center Street Securities, Madison Avenue Securities, and/or Esa Jokela 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

Steven Kaneski formerly with NYLIFE Securities

DID STEVEN ROSS KANESKI CAUSE YOU INVESTMENT LOSSES? Steven Kaneski Formerly With NYLIFE Securities Has 3 Customer Complaints For Alleged Broker Misconduct Who is Steven Kaneski formerly with NYLIFE Securities? Steven Kaneski (CRD #2028197) who was formerly registered with NYLIFE Securities and located in Roseville, California is a subject of one of our many securities industry sales practice abuse investigations. Steven Kaneski Customer Complaints Steven Kaneski has been the subject of3 customer complaints that we know about. Two of Steven Kaneski’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against NYLIFE Securities for investment losses caused by Steven Kaneski’s alleged misconduct. Allegations Against Steven Kaneski A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: In a telephone conversation the customer allegedly told Steven Kaneski that he was unhappy with the performance and liquidity of the variable annuity he purchased and wanted to surrender the policy without any surrender charges. Plaintiffs alleged in addition to several fixed insurance products, they purchased four Variable Annuities from from Steven Kaneski that were not appropriate for their financial situation. Plaintiffs also alleged the material features, costs and surrender charges of the products were not fully explained and they claimed they did not sign some disclosure documents. Regarding the purchase of two variable annuities, the customer alleged that the policies were not suitable for his needs. The customer further alleged that the fees and surrender charges associated with the policies were not disclosed to him by Steven Kaneski. Steven Kaneski Red Flags & Your Rights As An Investor Of course, Steven Kaneski 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 Steven Kaneski at NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Steven Kaneski has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLIFE 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 NYLIFE Securities Due To Steven Kaneski If you have questions about NYLIFE Securities and/or Steven Kaneski 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

Allan Katz of Buckman, Buckman & Reid

DID ALLAN KATZ CAUSE YOU INVESTMENT LOSSES? Allan Katz Of Buckman, Buckman & Reid, Buckman Advisory Group And Formerly With Royal Alliance Associates Has A Customer Complaint For Alleged Broker Misconduct Who is Allan Katz of Buckman, Buckman & Reid? Allan Katz (CRD #2166004) who is currently registered with Buckman, Buckman & Reid, Buckman Advisory Group and located in Staten Island, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Buckman, Buckman & Reid and Buckman Advisory Group, Allan Katz was associated with Royal Alliance Associates and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Allan Katz Customer Complaint Allan Katz 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 that sale of mutual funds and purchase of variable annuity were unsuitable. Allan Katz’s customer complaint was denied and, to date, the customer has not taken any further action. Allan Katz Red Flags & Your Rights As An Investor Of course, Allan Katz 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 Allan Katz at Buckman, Buckman & Reid, Buckman Advisory Group, and Royal Alliance Associates on alert to review carefully the activity and performance of their accounts and question whether Allan Katz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Buckman, Buckman & Reid, Buckman Advisory Group, and Royal Alliance Associates 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 Buckman, Buckman & Reid Due To Allan Katz If you have questions about Buckman, Buckman & Reid, Buckman Advisory Group, Royal Alliance Associates, and/or Allan Katz 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

James Helfinstine of LPL Financial

DID JAMES ALLAN HELFINSTINE CAUSE YOU INVESTMENT LOSSES? James Helfinstine Of LPL Financial And Formerly With National Planning Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Helfinstine of LPL Financial? James Helfinstine (CRD #2425243) who is currently registered with LPL Financial and located in Prescott, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, James Helfinstine was associated with National Planning and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Helfinstine Customer Complaints James Helfinstine 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 James Helfinstine’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against James Helfinstine 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 that James Helfinstine guaranteed her signature by using a medallion stamp and seal on documents that were not signed by her. Customers alleged James Helfinstine’s unauthorized investment into variable annuities. James Helfinstine Red Flags & Your Rights As An Investor Of course, James Helfinstine 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 James Helfinstine at LPL Financial and National Planning on alert to review carefully the activity and performance of their accounts and question whether James Helfinstine has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and National Planning 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 James Helfinstine If you have questions about LPL Financial, National Planning, and/or James Helfinstine 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

Gregory Henning of LPL Financial

DID GREGORY STEVEN HENNING CAUSE YOU INVESTMENT LOSSES? Gregory Henning Of LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Gregory Henning of LPL Financial? Gregory Henning (CRD #3111355) who is currently registered with LPL Financial and located in Sun Prairie, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Gregory Henning Customer Complaint Gregory Henning 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 customer alleged advisor misrepresented the features of a variable annuity. Gregory Henning’s customer complaint was denied and, to date, the customer has not taken any further action. Gregory Henning Red Flags & Your Rights As An Investor Of course, Gregory Henning 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 Gregory Henning at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Gregory Henning has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial Due To Gregory Henning If you have questions about LPL Financial and/or Gregory Henning 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

William Herf of RBC Capital Markets

DID WILLIAM REILLEY HERF CAUSE YOU INVESTMENT LOSSES? William Herf Of RBC Capital Markets And Formerly With Stifel Nicolaus & Company And B.C. Ziegler Has 3 Customer Complaints For Alleged Broker Misconduct Who is William Herf of RBC Capital Markets? William Herf (CRD #2978220) who is currently registered with RBC Capital Markets and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, William Herf was associated with Stifel Nicolaus & Company, B.C. Ziegler and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Herf Customer Complaints William Herf 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. One of William Herf’s 3 customer complaints was settled in favor of investors. Two of William Herf’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against William Herf 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 an investment recommended/sold to them by William Herf was unsuitable and outside their risk tolerance. Customer alleged that William Herf invested in high risk funds, which resulted in losses. The client alleged that William Herf failed to follow her instructions to liquidate her account in March 2020. William Herf Red Flags & Your Rights As An Investor Of course, William Herf 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 William Herf at RBC Capital Markets, Stifel Nicolaus & Company, and B.C. Ziegler on alert to review carefully the activity and performance of their accounts and question whether William Herf has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, Stifel Nicolaus & Company, and B.C. Ziegler 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 William Herf If you have questions about RBC Capital Markets, Stifel Nicolaus & Company, B.C. Ziegler, and/or William Herf 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

Cesar Hernandez formerly with Gentem Capital

DID CESAR GABRIEL HERNANDEZ CAUSE YOU INVESTMENT LOSSES? Cesar Hernandez Formerly With Gentem Capital Has A Customer Complaint For Alleged Broker Misconduct Who is Cesar Hernandez formerly with Gentem Capital? Cesar Hernandez (CRD #3249722) who was formerly registered with Gentem Capital and located in Old Bridge, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Cesar Hernandez Customer Complaint Cesar Hernandez 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 losses due to a breach of fiduciary responsibility. The customer complaint filed against Cesar Hernandez’s former employer Gentem Capital for investment losses caused by the alleged misconduct is pending as of the date of this report. Cesar Hernandez Red Flags & Your Rights As An Investor Of course, Cesar Hernandez 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 Cesar Hernandez at Gentem Capital on alert to review carefully the activity and performance of their accounts and question whether Cesar Hernandez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Gentem Capital 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 Gentem Capital Due To Cesar Hernandez If you have questions about Gentem Capital and/or Cesar Hernandez 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

James Haselton of Edward Jones

DID JAMES RUSSELL HASELTON CAUSE YOU INVESTMENT LOSSES? James Haselton of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is James Haselton of Edward Jones? James Haselton (CRD #2129114) who is currently registered with Edward Jones and located in Franklin, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. James Haselton Customer Complaint James Haselton 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 regarding recommendations to transfer certain assets from commission to fee-based accounts. Claimant further alleged that Claimant’s receiving firm submitted in kind transfer forms to Edward Jones to transfer all non-proprietary funds. Claimant alleged that instead of following the instructions, Edward Jones liquidated all the Claimant’s investments, resulting in a negative tax consequence. Claimant alleged reverse churning, violations of the Kansas Securities Act, Federal Securities Act, Suitability/Fraud, and Breach of Fiduciary Duty. The customer complaint filed against James Haselton’s current employer Edward Jones for investment losses caused by the alleged misconduct is pending as of the date of this report. James Haselton Red Flags & Your Rights As An Investor Of course, James Haselton 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 James Haselton at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether James Haselton 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 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 Edward Jones Due To James Haselton If you have questions about Edward Jones and/or James Haselton 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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