Mar 8, 2022

Roger Davis of ProEquities

DID ROGER DAVIS CAUSE YOU INVESTMENT LOSSES? Roger Davis of ProEquities, Inc., WMG Financial Advisors And Formerly With Lincoln Financial Securities, SunTrust Advisory Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Roger Davis of ProEquities, Inc.? Roger Davis (CRD #2087383) who is currently registered with ProEquities, Inc., WMG Financial Advisors and located in Chattanooga, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Prior to ProEquities, Inc. and WMG Financial Advisors, Roger Davis was associated with Lincoln Financial Securities, SunTrust Advisory Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Roger Davis Customer Complaints Roger Davis has been the subject of 2 customer complaints that we know about. Both of Roger Davis’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Roger Davis 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 Roger Davis misled him regarding the performance and nature of his investments. He further alleges unsuitability, poor performance and lack of communication with regard to his portfolio. The client alleged she was told by Roger Davis she would never lose her initial investment amount. She was also concerned about the investment performance. Roger Davis Red Flags & Your Rights As An Investor Of course, Roger Davis 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 Roger Davis at ProEquities, Inc., WMG Financial Advisors, Lincoln Financial Securities, and SunTrust Advisory Services on alert to review carefully the activity and performance of their accounts and question whether Roger Davis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at ProEquities, Inc., WMG Financial Advisors, Lincoln Financial Securities, and SunTrust Advisory 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 ProEquities, Inc. Due To Roger Davis If you have questions about ProEquities, Inc., WMG Financial Advisors, Lincoln Financial Securities, SunTrust Advisory Services, and/or Roger Davis 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

Elise Davis of Morgan Stanley

DID ELISE DAVIS CAUSE YOU INVESTMENT LOSSES? Elise Davis Of Morgan Stanley Has One Customer Complaint For Alleged Broker Misconduct Who is Elise Davis of Morgan Stanley? Elise Davis (CRD #1565856) who is currently registered with Morgan Stanley and located in Santa Fe, New Mexico is a subject of one of our many securities industry sales practice abuse investigations. Elise Davis Customer Complaint Elise Davis 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 clients allege, inter alia, that prepayment penalties applicable to liquidity access line were not disclosed to them. Elise Davis’ customer complaint was settled in favor of the investors. Elise Davis Red Flags & Your Rights As An Investor Of course, Elise Davis 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 Elise Davis at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Elise Davis 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 firm’ssupervisory 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 Elise Davis If you have questions about Morgan Stanley and/or Elise Davis 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

Lois Davies of Royal Alliance Associates

DID LOIS DAVIES CAUSE YOU INVESTMENT LOSSES? Lois Davies Of Royal Alliance Associates, Inc. And Formerly With Signator Investors Has One Customer Complaint For Alleged Broker Misconduct Who is Lois Davies of Royal Alliance Associates, Inc.? Lois Davies (CRD #1738537) who is currently registered with Royal Alliance Associates, Inc. and located in Broadview Heights, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Royal Alliance Associates, Inc., Lois Davies was associated with Signator Investors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Lois Davies Customer Complaint Lois Davies 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 the customer alleges that variable annuities purchased were misrepresented. Lois Davies’ customer complaint was denied and, to date, the customer has not taken any further action. Lois Davies Red Flags & Your Rights As An Investor Of course, Lois Davies 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 Lois Davies at Royal Alliance Associates, Inc. and Signator Investors on alert to review carefully the activity and performance of their accounts and question whether Lois Davies has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates and Signator Investors also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Royal Alliance Associates, Inc. Due To Lois Davies If you have questions about Royal Alliance Associates, Inc., Signator Investors, and/or Lois Davies 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

Irwin Davidson of Wells Fargo Clearing Services

DID IRWIN DAVIDSON CAUSE YOU INVESTMENT LOSSES? Irwin Davidson Of Wells Fargo Clearing Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Irwin Davidson of Wells Fargo Clearing Services, LLC? Irwin Davidson (CRD #3067529) who is currently registered with Wells Fargo Clearing Services, LLC and located in Westfield, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Irwin Davidson Customer Complaints Irwin Davidson 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 Irwin Davidson’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Irwin Davidson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged that Irwin Davidson did not recommend suitable securities to meet his conservative investment objectives. Client liquidated his securities and is requesting to be reimbursed for surrender penalties and tax liabilities. Client complained that Irwin Davidson allegedly did not fully explain the investment choices for his grandchildren’s 529 accounts, which resulted in unsuitable investments. Irwin Davidson Red Flags & Your Rights As An Investor Of course, Irwin Davidson 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 Irwin Davidson at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Irwin Davidson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, 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 Wells Fargo Clearing Services, LLC Due To Irwin Davidson If you have questions about Wells Fargo Clearing Services, LLC and/or Irwin Davidson 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 Davenport of Liberty Partners Financial Services

DID JOHN DAVENPORT CAUSE YOU INVESTMENT LOSSES? John Davenport Of Liberty Partners Financial Services, LLC, Liberty Partners Capital Management And Formerly With Securities America, Securities America Advisors Has 3 Customer Complaints For Alleged Broker Misconduct Who is John Davenport of Liberty Partners Financial Services, LLC? John Davenport (CRD #1448999) who is currently registered with Liberty Partners Financial Services, LLC, Liberty Partners Capital Management and located in Norwalk, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Liberty Partners Financial Services, LLC and Liberty Partners Capital Management, John Davenport was associated with Securities America, Securities America Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Davenport is that his share of regulatory problems as well. In 2019, he was investigated by FINRA and consented to a two-month suspension and fine of $20,000 for allegedly sharing commissions with a registered representative of another brokerage firm without the knowledge and consent of by the firm in violation of FINRA’s Code of Conduct. John Davenport Customer Complaints John Davenport has been the subject of 3 customer complaints that we know about. One of John Davenport’s 3 customer complaints was settled in favor of investors. One of John Davenport’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 Liberty Partners Financial Services, LLC for investment losses caused by John Davenport’s alleged misconduct. Allegations Against John Davenport 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 John Davenport gave poor advice when he suggested client move his TRS account to a variable annuity. Client alleged they were not informed by John Davenport that contributions to a charitable remainder trust could not be subsequently withdrawn as a single sum payment. John Davenport’s  alleged violations of FINRA 2110, failure to observe high standards of commercial honor and just and equitable principles of trade, FINRA 2111 recommending and selling securities without adequate due diligence and without a reasonable basis; negligence, misrepresentation and omission of material fact, and breach of fiduciary duty. John Davenport Red Flags & Your Rights As An Investor Of course, John Davenport 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 Davenport at Liberty Partners Financial Services, LLC, Liberty Partners Capital Management, Securities America, and Securities America Advisors on alert to review carefully the activity and performance of their accounts and question whether John Davenport has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Liberty Partners Financial Services, LLC, Liberty Partners Capital Management, Securities America, and Securities America 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 Liberty Partners Financial Services, LLC Due To John Davenport If you have questions about Liberty Partners Financial Services, LLC, Liberty Partners Capital Management, Securities America, Securities America Advisors, and/or John Davenport 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 Daley of Lincoln Financial Advisors

DID JOHN DALEY CAUSE YOU INVESTMENT LOSSES? John Daley Of Lincoln Financial Advisors Corp. Has One Customer Complaint For Alleged Broker Misconduct Who is John Daley of Lincoln Financial Advisors Corp.? John Daley (CRD #2282750) who is currently registered with Lincoln Financial Advisors Corp. and located in McDonald, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. John Daley has also been the subject of Van investigation by the Commonwealth of Pennsylvania for allegedly misrepresenting the terms and conditions of insurance policies, failing to provide clients with written disclosure of the terms and conditions of their policies and/or failure to adequately disclose the basic cost information about the product being sold. The matter was settled by consent to a cease-and-desist order and monetary fine. John Daley Customer Complaint John Daley 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 the clients alleged that John Daley misrepresented the variable annuity products he sold and they were poor recommendations for their needs. John Daley’s customer complaint was denied and, to date, the customers have not taken any further action. John Daley Red Flags & Your Rights As An Investor Of course, John Daley 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 Daley at Lincoln Financial Advisors Corp. on alert to review carefully the activity and performance of their accounts and question whether John Daley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lincoln Financial Advisors Corp. 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 Lincoln Financial Advisors Corp. Due To John Daley If you have questions about Lincoln Financial Advisors Corp. and/or John Daley 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 David of Cetera Advisor Networks

DID MICHAEL DAVID CAUSE YOU INVESTMENT LOSSES? Michael David Of Cetera Advisor Networks, LLC, CWM And Formerly With LPL Financial Has One Customer Complaint For Alleged Broker Misconduct Who is Michael David of Cetera Advisor Networks, LLC? Michael David (CRD #2880609) who is currently registered with Cetera Advisor Networks, LLC, CWM and located in Amarillo, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisor Networks, LLC and CWM, Michael David was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael David Customer Complaint Michael David 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 that the claimant was allegedly induced into purchasing at least three alternative products- two BDCs and one REIT – which she allegedly did not understand and were allegedly misrepresented to her. Claimant alleges the investments were unsuitable. The customer complaint filed against Michael David’s current employer LPL Financial for investment losses caused by the alleged misconduct is pending as of the date of this report. Michael David Red Flags & Your Rights As An Investor Of course, Michael David 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 David at Cetera Advisor Networks, LLC, CWM and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Michael David has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks, LLC, CWM, 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 Cetera Advisor Networks, LLC Due To Michael David If you have questions about Cetera Advisor Networks, LLC, CWM, LPL Financial, and/or Michael David 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

Gary Knadle of The GMS Group

DID GARY KNADLE CAUSE YOU INVESTMENT LOSSES? Gary Knadle Of The GMS Group Has 3 Customer Complaints For Alleged Broker Misconduct Who is Gary Knadle of The GMS Group? Gary Knadle (CRD #837250) who is currently registered with The GMS Group and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Gary Knadle Customer Complaints Gary Knadle has been the subject of3 customer complaints that we know about. Two of Gary Knadle’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against The GMS Group for investment losses caused by Gary Knadle’s alleged misconduct. Allegations Against Gary Knadle A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Gary Knadle’s alleged unsuitable recommendations and misrepresentation of investment in certain corporate bonds. Client alleges Gary Knadle’s unsuitable recommendations, Breach of fiduciary duty, negligence, fraud, breach of contract, violation of Securities Exchange Act, section 10(b) and Rule 10b-5. The amount of potential risk involved in the purchases of corporate debt in Lehman Brothers and Citigroup bonds allegedly by Gary Knadle was not disclosed properly. Gary Knadle Red Flags & Your Rights As An Investor Of course, Gary Knadle 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 Gary Knadle at The GMS Group on alert to review carefully the activity and performance of their accounts and question whether Gary Knadle has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The GMS 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 The GMS Group Due To Gary Knadle If you have questions about The GMS Group and/or Gary Knadle 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 Klimpt of Cetera Investment Services

DID RICHARD KLIMPT CAUSE YOU INVESTMENT LOSSES? Richard Klimpt Of Cetera Investment Services LLC, Cetera Investment Advisers And Formerly With PNC Investments Has One Customer Complaint For Alleged Broker Misconduct Who is Richard Klimpt of Cetera Investment Services LLC? Richard Klimpt (CRD #1264574) who is currently registered with Cetera Investment Services LLC, Cetera Investment Advisers and located in Homewood, Alabama is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Investment Services LLC, Cetera Investment Advisers, Richard Klimpt was associated with PNC Investments and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Klimpt Customer Complaint Richard Klimpt 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 the client alleges that it was her understanding that she was investing in a certificate of deposit and not an annuity. Richard Klimpt’s customer complaint was denied and the customers did not take any further action. Richard Klimpt Red Flags & Your Rights As An Investor Of course, Richard Klimpt 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 Klimpt at Cetera Investment Services LLC, Cetera Investment Advisers, and PNC Investments on alert to review carefully the activity and performance of their accounts and question whether Richard Klimpt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Investment Services LLC, Cetera Investment Advisers, 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 Cetera Investment Services LLC Due To Richard Klimpt If you have questions about Cetera Investment Services LLC, Cetera Investment Advisers, PNC Investments, and/or Richard Klimpt 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 Klein of J.P. Morgan Securities

DID ROBERT KLEIN CAUSE YOU INVESTMENT LOSSES? Robert Klein Formerly With J.P. Morgan Securities LLC Has 12 Customer Complaints For Alleged Broker Misconduct Who is Robert Klein formerly with J.P. Morgan Securities LLC? Robert Klein (CRD #1254422) who was formerly registered with J.P. Morgan Securities LLC and located in Newport Beach, California is a subject of one of our many securities industry sales practice abuse investigations. Robert Klein Customer Complaints Robert Klein has been the subject of12 customer complaints that we know about. One arbitration award was entered against J.P. Morgan Securities LLC for Robert Klein’s alleged misconduct in favor of the investor in the amount of over $1.1 million plus interest. Nine of Robert Klein’s 12 customer complaints were settled in favor of investors. One of Robert Klein’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against J.P. Morgan Securities LLC for investment losses caused by Robert Klein’s alleged misconduct. Allegations Against Robert Klein A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged Robert Klein was negligent and breached his fiduciary duty as a result of improper levels of concentration, leverage and short selling associated with the managed account investment strategy. Client alleged fraud, negligence, misrepresentation, breach of contract and breach of fiduciary duty by Robert Klein. Client alleged that Robert Klein misrepresented the level of risk and use of margin and leverage in managed account. Client alleged breach of fiduciary duty, breach of contract, negligence and misrepresentation of risk associated with Robert Klein’s alleged investment strategy, and that specific investments were too aggressive and over concentrated. Client alleged Robert Klein’s breach of fiduciary duty, breach of contract, negligence and misrepresentation of risk in connection with alleged unsuitable investments and the Portfolio Manager’s investment strategy. Client alleged Robert Klein’s breach of fiduciary duty, breach of contract, negligence, unauthorized margin transactions and misrepresentation of the risk associated with investment strategy and that the selected investments were unsuitable for the account. Client alleged overconcentration of account in short treasury bonds by Robert Klein. Client alleged that account was invested too aggressively and an overconcentration of account in short treasury bonds by Robert Klein. Client alleged that in connection with the portfolio manager’s investment strategy, Robert Klein allegedly misrepresented the risk of that strategy and breached his fiduciary duties by directing unsuitable and over concentrated investments and failing to follow instructions. Client alleged unsuitability regarding managed account investments by Robert Klein. Clients allegd Robert Klein’s misrepresentation, omissions and breach of fiduciary duty in connection with alleged unsuitable investments and improper allocation of assets as part of an investment strategy in a managed account. Robert Klein’s alleged breach of fiduciary duty, breach of written and oral contract, constructive fraud, fraud by misrepresentation and omission, and violation of state and federal securities laws. Robert Klein Red Flags & Your Rights As An Investor Of course, Robert Klein did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Robert Klein at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Robert Klein has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities 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 J.P. Morgan Securities LLC Due To Robert Klein If you have questions about J.P. Morgan Securities LLC and/or Robert Klein and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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