Mar 8, 2022

Stanley Cooper of RBC Capital Markets

DID STANLEY MORRISON COOPER CAUSE YOU INVESTMENT LOSSES? Stanley Cooper Of RBC Capital Markets Has 2 Customer Complaints For Alleged Broker Misconduct Who is Stanley Cooper of RBC Capital Markets? Stanley Cooper (CRD #1667427) who is currently registered with RBC Capital Markets and located in Fresno, California is a subject of one of our many securities industry sales practice abuse investigations. Stanley Cooper Customer Complaints Stanley Cooper has been the subject of 2 customer complaints that we know about.  Both of Stanley Cooper’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Stanley Cooper 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 Stanley Cooper’s REIT investment recommendation was not suitable as stated he only purchased conservative, low-yielding products. Trustee claimed Stanley Cooper’s strategy for the trust account has been unsuitable. Stanley Cooper Red Flags & Your Rights As An Investor Of course, Stanley Cooper 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 Stanley Cooper at RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Stanley Cooper 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 Stanley Cooper If you have questions about RBC Capital Markets and/or Stanley Cooper 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

Andrew Corbman formerly with Newbridge Securities and Kovack Securities

DID ANDREW SCOTT CORBMAN CAUSE YOU INVESTMENT LOSSES? Andrew Corbman Formerly With Newbridge Securities And Kovack Securities Has 19 Customer Complaints For Alleged Broker Misconduct Who is Andrew Corbman formerly with Newbridge Securities? Andrew Corbman (CRD #2513558) who was formerly registered with Newbridge Securities and located in Lansdowne, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Newbridge Securities, Andrew Corbman was associated with Kovack Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Andrew Corbman himself has been the subject of two FINRA investigations.  In 2016, he consented to a one-month suspension and entry of findings that he made recommendations that were unsuitable overconcentrations and certain securities that expose customers to a risk of loss that exceeded each customer’s risk tolerance investment objective.  Shortly after that case was resolved, he refused to cooperate in connection with another investigation and give on the record testimony requested by FINRA and was permanently barred from any further association with any member firm in any capacity. Andrew Corbman Customer Complaints Andrew Corbman has been the subject of 19 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Sixteen of Andrew Corbman’s 19 customer complaints were settled in favor of investors. Three of Andrew Corbman’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Andrew Corbman 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 Andrew Corbman’s breach of fiduciary duty, unsuitability and failure to supervise and violation statutes, regarding the sale of individual securities. Claimant alleged Andrew Corbman’s over-concentration of her account. Claimant alleged that Andrew Corbman sold unsuitable investments. Claimant alleged Andrew Corbman’s unsuitability, common law fraud, breach of contract, negligent supervision, breach of fiduciary duty, and overconcentration in connection with the purchase of stocks. Claimant alleged Andrew Corbman’s unsuitability, fraud, breach of contract, negligent supervision, breach of fiduciary duty, overconcentration, and violation of California’s Securities Act. Claimant alleged Andrew Corbman’s violations of Section 10(b)-5, common law fraud, negligence, unsuitability, unauthorized trading, churning, breach of fiduciary duty and breach of contract.. Claimants alleged Andrew Corbman’s unsuitability, common law fraud, breach of contract, breach of fiduciary duty, overconcentration. Claimants alleged Andrew Corbman’s unsuitability, common law fraud, breach of contract, negligent supervision, breach of fiduciary duty, and overconcentration, in relation to the purchases of shares of Augme Technologies Inc. stock. Client alleged losses in his accounts caused by Andrew Corbman. Client alleged Andrew Corbman’s negligence, unsuitability, failure to supervise related to stock purchases. Client alleged Andrew Corbman’s unsuitability of investments and misrepresentation. Client alleged Andrew Corbman’s unsuitable investments and poor performance. Customer alleged that Andrew Corbman failed to adequately diversify investments. Customer further alleged that broker did not fully disclose the fees and charges of B shares. Customer’s alleged Andrew Corbman had them purchase unsuitable and high risk investments. Andrew Corbman’s alleged suitability of investment, including over concentration in one fund. The claimants alleged that Andrew Corbman liquidated certain investments causing them to pay deferred sales charges and surrender fees and that he didn’t not combine purchases denying them mutual fund breakpoints and rights of accumulation. Andrew Corbman’s alleged unauthorized and unsuitable investments; failure to supervise. Andrew Corbman’s alleged unjust enrichment; misrepresentation and non-disclosure; negligence; breach of fiduciary duty; breach of contract; violation of state securities laws; violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Law; common law fraud; constructive fraud; breach of duty of fair dealing; violations of PA insurance law; churning; unauthorized trading; civil conspiracy. Violations of the Virginia Securities Act, Common Law Fraud, Securities Fraud, Breach of Fiduciary Duty, Unsuitability, Negligence, Breach of Contract were allegedly committed by Andrew Corbman. Andrew Corbman Red Flags & Your Rights As An Investor Of course, Andrew Corbman 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 Andrew Corbman at Newbridge Securities and Kovack Securities on alert to review carefully the activity and performance of their accounts and question whether Andrew Corbman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kovack Securities and Newbridge 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 Newbridge Securities Due To Andrew Corbman If you have questions about Newbridge Securities, Kovack Securities, and/or Andrew Corbman 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

Mark Parker of Cantella Co.

DID MARK PARKER CAUSE YOU INVESTMENT LOSSES? Mark Parker Of Cantella Co., Inc. And Formerly With Raymond James & Associates Has One Customer Complaint For Alleged Broker Misconduct Who is Mark Parker of Cantella Co., Inc.? Mark Parker (CRD #720309) who is currently registered with Cantella Co., Inc. and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cantella Co., Inc., Mark Parker was associated with Raymond James & Associates and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Parker Customer Complaint Mark Parker 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 investments were not suitable given client’s lack of investment experience. Mark Parker’s customer complaint was settled in favor of investors. Mark Parker Red Flags & Your Rights As An Investor Of course, Mark Parker 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 Mark Parker at Cantella Co., Inc. and Raymond James & Associates on alert to review carefully the activity and performance of their accounts and question whether Mark Parker has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cantella Co., Inc. and Raymond James & 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 Cantella Co., Inc. and Raymond James & Associates Due To Mark Parker If you have questions about Cantella Co., Inc., Raymond James & Associates, and/or Mark Parker 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

Marcus Parker of Wells Fargo Clearing Services

DID MARCUS PARKER CAUSE YOU INVESTMENT LOSSES? Marcus Parker Formerly With Wells Fargo Clearing Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Marcus Parker formerly with Wells Fargo Clearing Services, LLC? Marcus Parker (CRD #1031962) who was formerly registered with Wells Fargo Clearing Services, LLC and located in Santa Fe, New Mexico is a subject of one of our many securities industry sales practice abuse investigations. Marcus Parker has also been the subject of a FINRA investigation. In 2018, without admitting or denying the findings, Marcus Parker consented to a permanent bar from any further association with any member firm for refusing to respond to FINRAs request for documents and information in connection with its investigation of his termination of employment after he failed to appear for an interview and questioning about misappropriations in clients’ accounts. Marcus Parker Customer Complaints Marcus Parker has been the subject of 2 customer complaints that we know about. One of Marcus Parker’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against Wells Fargo Clearing Services, LLC for investment losses caused by Marcus Parker’s alleged misconduct. Allegations Against Marcus Parker 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 unsuitable investment recommendations by Marcus Parker. Plaintiff alleged that Marcus Parker made unauthorized transactions instead of managing the Plaintiff’s assets as expected. Marcus Parker Red Flags & Your Rights As An Investor Of course, Marcus Parker 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 Marcus Parker at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Marcus Parker 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 Marcus Parker If you have questions about Wells Fargo Clearing Services, LLC and/or Marcus Parker 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 Ostenberg of MSI Financial Services

DID ROBERT OSTENBERG CAUSE YOU INVESTMENT LOSSES? Robert Ostenberg Formerly With MSI Financial Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Robert Ostenberg formerly with MSI Financial Services, Inc.? Robert Ostenberg (CRD #1046788) who was formerly registered with MSI Financial Services and located in San Jose, California is a subject of one of our many securities industry sales practice abuse investigations. Robert Ostenberg Customer Complaints Robert Ostenberg 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. Both of Robert Ostenberg’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Robert Ostenberg 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 the variable annuity he purchased was not suitable for his financial health. Customer also alleges Robert Ostenberg did not explain the contract and the withdrawal penalties. The complainants’ alleged that Robert Ostenberg misrepresented three variable annuities they purchased. The complainants’ further allege that they were guaranteed their principal would always be safe, and passed on to their beneficiaries. Robert Ostenberg Red Flags & Your Rights As An Investor Of course, Robert Ostenberg 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 Ostenberg at MSI Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Robert Ostenberg has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MSI Financial Services, Inc. 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 MSI Financial Services, Inc. Due To Robert Ostenberg If you have questions about MSI Financial Services, Inc. and/or Robert Ostenberg 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

Dennis Nakamura of McNally Financial Services

DID DENNIS NAKAMURA CAUSE YOU INVESTMENT LOSSES? Dennis Nakamura Formerly With McNally Financial Services Corp. Has 6 Customer Complaints For Alleged Broker Misconduct Who is Dennis Nakamura formerly with McNally Financial Services Corp.? Dennis Nakamura (CRD #819626) who was formerly registered with McNally Financial Services Corp. and located in Moraga, California is a subject of one of our many securities industry sales practice abuse investigations. Dennis Nakamura has also had his regulatory problems with FINRA. In November 2019, FINRA permanently barred him from any further association with any member firm in any capacity for refusing to appear and provide on-the-record testimony requested by FINRA in connection with its investigation into whether he violated the FINRA rules by making unsuitable investment recommendations to customers. Dennis Nakamura Customer Complaints Dennis Nakamura has been the subject of 6 customer complaints that we know about. Five of Dennis Nakamura’s 6 customer complaints were settled in favor of investors. One of Dennis Nakamura’s customers’ complaints was denied and the customers did not take any further action. Allegations Against Dennis Nakamura 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 Dennis Nakamura’s failure to disclose extent of risk, unauthorized trading, recommending unsuitable investments, breach of fiduciary duty, failure to supervise, churning, breach of contract and elder abuse. Dennis Nakamura allegedly over charged in commission for various mutual fund transactions. Unspecified amount of damage. Dennis Nakamura’ allegedly made unsuitable investment recommendations. Dennis Nakamura Red Flags & Your Rights As An Investor Of course, Dennis Nakamura 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 Dennis Nakamura at McNally Financial Services Corp. on alert to review carefully the activity and performance of their accounts and question whether Dennis Nakamura has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at McNally Financial Services Corp. 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 McNally Financial Services Corp. Due To Dennis Nakamura If you have questions about McNally Financial Services Corp. and/or Dennis Nakamura 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 Morrow of Concorde Investment Services

DID WILLIAM MORROW CAUSE YOU INVESTMENT LOSSES? William Morrow of Concorde Investment Services, LLC, Concorde Asset Management And Formerly With Independent Financial Group And Financial Designs Ltd. Has 13 Customer Complaints For Alleged Broker Misconduct Who is William Morrow of Concorde Investment Services, LLC? William Morrow (CRD #836500) who is currently registered with Concorde Investment Services, LLC, Concorde Asset Management and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Concorde Investment Services, LLC, Concorde Asset Management, William Morrow was associated with Independent Financial Group, Financial Designs Ltd. and 10 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Morrow Customer Complaints William Morrow has been the subject of 13 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of William Morrow’s 13 customer complaints resulted in arbitration awards in favor of investors. Ten of William Morrow’s 13 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Independent Financial Group for investment losses caused by William Morrow’s alleged misconduct. Allegations Against William Morrow A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: William Morrow’s breach of contract, negligence, negligent misrepresentation, breach of fiduciary duty related to real estate investments. William Morrow’s breach of fiduciary duty, fraud, misrepresentation, professional negligence & violation of suitability rules in connection with a tenant in common investment. William Morrow’s misrepresentation; omissions; unsuitable recommendations; sale of unregistered securities in connection with 2 TIC investments. William Morrow’s alleged breach of fiduciary duty, negligence, fraudulent misrepresentations, omissions, and unsuitable recommendation. Breach of fiduciary duty; misrepresentation; negligence; violations of California Corporate Code in connection with 2 tenant in common investments allegedly committed by William Morrow. Claimant alleged unsuitability; negligence; breach of fiduciary duty; breach of contract and failure to supervise in connection with 1031 exchange/TIC investments by William Morrow. Claimant alleged that her investment in an unsecured Note of Docuvision was unsuitable by William Morrow. Claimant alleged William Morrow’s unsuitability; breach of fiduciary duty; common law fraud; breach of contract; violation of California Securities Act; negligent supervision; sale of unregistered securities in connection with tenant in common (TIC) investments. Claimant alleged William Morrow’s violation of Federal & State Securities Laws; negligence; unsuitable recommendation; breach of fiduciary duty in connection with 2 tenant in common investments. Claimant alleged that investments were high risk and not in line with their stated objectives and risk tolerance by William Morrow. Unsuitable transactions; omissions; misrepresentation; breach of contractual and fiduciary duties allegedly by William Morrow. William Morrow Red Flags & Your Rights As An Investor Of course, William Morrow 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 Morrow at Concorde Investment Services, Inc., Concorde Asset Management, Independent Financial Group and Financial Designs Ltd. on alert to review carefully the activity and performance of their accounts and question whether William Morrow has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Concorde Investment Services, Inc., Concorde Asset Management, Independent Financial Group and Financial Designs Ltd. 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 Concorde Investment Services, Inc. Due To William Morrow If you have questions about Concorde Investment Services, Inc., Concorde Asset Management, Independent Financial Group, Financial Designs Ltd., and/or William Morrow 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 Monahan of RBC Capital Markets

DID CHRISTOPHER MONAHAN CAUSE YOU INVESTMENT LOSSES? Christopher Monahan Of RBC Capital Markets, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Christopher Monahan of RBC Capital Markets, LLC? Christopher Monahan (CRD #1104708) who is currently registered with RBC Capital Markets, LLC and located in Westport, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Christopher Monahan Customer Complaints Christopher Monahan 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 Christopher Monahan’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against RBC Capital Markets, LLC for investment losses caused by Christopher Monahan’s alleged misconduct. Allegations Against Christopher Monahan 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 Christopher Monahan understood that they did not want to take unnecessary risks with their savings. RBC recommended high risk, concentrated investments in Puerto Rico bonds. Mr. Monahan described the investments as safe income producing vehicles. As a result, the claimants suffered principal losses. Clients believe that the Puerto Rico bonds they purchased over the past six years do not meet their investment objectives allegedly made by Christopher Monahan. Christopher Monahan Red Flags & Your Rights As An Investor Of course, Christopher Monahan 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 Monahan at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Christopher Monahan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, 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 RBC Capital Markets, LLC Due To Christopher Monahan If you have questions about RBC Capital Markets, LLC and/or Christopher Monahan 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

Edgar Mock of Trustmont Financial Group

DID EDGAR MOCK CAUSE YOU INVESTMENT LOSSES? Edgar Mock Of Trustmont Financial Group, Inc., And Money Management Advisory Has One Customer Complaint For Alleged Broker Misconduct Who is Edgar Mock of Trustmont Financial Group, Inc.? Edgar Mock (CRD #1309680) who is currently registered with Trustmont Financial Group, Inc., Money Management Advisory and located in Feasterville, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Edgar Mock has had his own problems with the regulators. Both FINRA and the State of Maryland investigated and sanctioned him. Maryland sanctioned him for transacting business as an unregistered investment adviser. FINRA alleged that Edgar Mock prepared false documents and suspended him from acting as a principal of any firm for one year in addition to a fine. Edgar Mock Customer Complaint Edgar Mock 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 alleged unsuitable securities, common law fraud, breach of fiduciary duty, unjust enrichment, the failure to supervise, and violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Law. The customer complaint filed against Edgar Mock’s current employer Money Management Advisory for investment losses caused by the alleged misconduct is pending as of the date of this report. Edgar Mock Red Flags & Your Rights As An Investor Of course, Edgar Mock 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 Edgar Mock at Trustmont Financial Group, Inc. and Money Management Advisory on alert to review carefully the activity and performance of their accounts and question whether Edgar Mock has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Trustmont Financial Group, Inc. and Money Management Advisory 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 Trustmont Financial Group, Inc. Due To Edgar Mock If you have questions about Trustmont Financial Group, Inc., Money Management Advisory, and/or Edgar Mock 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

Dean Mings of The Tavenner

DID DEAN MINGS CAUSE YOU INVESTMENT LOSSES? Dean Mings Formerly With The Tavenner Company Has 2 Customer Complaints For Alleged Broker Misconduct Who is Dean Mings formerly with The Tavenner Company? Dean Mings (CRD #1197212) who was formerly registered with The Tavenner Company and located in Springfield, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Dean Mings Customer Complaints Dean Mings has been the subject of 2 customer complaints that we know about. One of Dean Mings’ customers’ complaints was denied and the customer did not take any further action. There is currently one pending customer complaint filed against The Tavenner Company for investment losses caused by Dean Mings’ alleged misconduct. Allegations Against Dean Mings 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 he did not know of the 82 basis point fund managers fee many years after the investment. The representative Dean Mings allegedly did not explain this fact or supply him with a prospectus. Claimant alleged unsuitable recommendations related to the purchase of both annuities and life insurance, forgery of customer’s signature by registered representative, unethical and improper conduct by representative, Dean Mings by having power of attorney over customer and being named partial beneficiary of a variable annuity held by customer, and “Selling away” by assisting the customer with purchase of private security not approved by the firm. Dean Mings Red Flags & Your Rights As An Investor Of course, Dean Mings 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 Dean Mings at The Tavenner Company on alert to review carefully the activity and performance of their accounts and question whether Dean Mings has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The Tavenner 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 The Tavenner Company Due To Dean Mings If you have questions about The Tavenner Company and/or Dean Mings 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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