Mar 8, 2022

Ryan Alvarez of Lion Street Financial

DID RYAN ROBERT ALVAREZ CAUSE YOU INVESTMENT LOSSES? Ryan Alvarez of Lion Street Financial, Lion Street Advisors, And Formerly With Wayne Hummer Investments Has 3 Customer Complaints For Alleged Broker Misconduct Who is Ryan Alvarez of Lion Street Financial? Ryan Alvarez (CRD #4266877) who is currently registered with Lion Street Financial, Lion Street Advisors,and located in Naperville, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Lion Street Financial, Lion Street Advisors, Ryan Alvarez was associated with Wayne Hummer Investments and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ryan Alvarez Customer Complaints Ryan Alvarez has been the subject of 3 customer complaints that we know about. Three of Ryan Alvarez’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Ryan Alvarez 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 Ryan Alvarez improperly completed the variable annuity application resulting in the lifetime income benefit rider being based on client life only and not with the Spousal Continuation Benefit as the client desired. Client purchased Jackson National Life variable annuity and alleged that he did not have any knowledge regarding the Jackson variable annuity transaction made by Ryan Alvarez and it was unsuitable. Clients claim mutual fund allegedly made by Ryan Alvarez not suitable. Ryan Alvarez Red Flags & Your Rights As An Investor Of course, Ryan Alvarez 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 Ryan Alvarez at Lion Street Financial, Lion Street Advisors, and Wayne Hummer Investments on alert to review carefully the activity and performance of their accounts and question whether Ryan Alvarez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lion Street Financial, Lion Street Advisors, and Wayne Hummer Investments 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 Lion Street Financial Due To Ryan Alvarez If you have questions about Lion Street Financial, Lion Street Advisors, Wayne Hummer Investments, and/or Ryan Alvarez 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

Darla Amato formerly with IMS Securities

DID DARLA GAMMON D’AMATO CAUSE YOU INVESTMENT LOSSES? Darla Amato Formerly With IMS Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Darla Amato formerly with IMS Securities? Darla Amato (CRD #2432363) who was formerly registered with IMS Securities and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to IMS Securities, Darla Amato was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Darla Amato Customer Complaint Darla Amato 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 claimant alleges the financial advisor made investments that were illiquid and risky. The customer complaint filed against Grand Parkway Capital for investment losses caused by the alleged misconduct is pending as of the date of this report. Darla Amato Red Flags & Your Rights As An Investor Of course, Darla Amato 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 Darla Amato at IMS Securities on alert to review carefully the activity and performance of their accounts and question whether Darla Amato has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at IMS 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 IMS Securities Due To Darla Amato If you have questions about IMS Securities and/or Darla Amato 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

Mitchell Wolfe Formerly With Merrill Lynch Pierce Fenner & Smith

DID MITCHELL JAMES WOLFE CAUSE YOU INVESTMENT LOSSES? Mitchell Wolfe Formerly With Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Mitchell Wolfe formerly with Merrill Lynch Pierce Fenner & Smith? Mitchell Wolfe (CRD #1062945) who was formerly registered with Merrill Lynch Pierce Fenner & Smith and located in Duluth, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Mitchell Wolfe Customer Complaint Mitchell Wolfe 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 the customer alleges unsuitable investment recommendations. Mitchell Wolfe’s customer complaint was denied and, to date, the customers have not taken any further action. Mitchell Wolfe Red Flags & Your Rights As An Investor Of course, Mitchell Wolfe 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 Mitchell Wolfe at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Mitchell Wolfe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith 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 Merrill Lynch Pierce Fenner & Smith Due To Mitchell Wolfe If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Mitchell Wolfe 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

Evan Wuhl Of Wells Fargo Clearing Services

DID EVAN RICHARD WUHL CAUSE YOU INVESTMENT LOSSES? Evan Wuhl Of Wells Fargo Clearing Services Has 16 Customer Complaints For Alleged Broker Misconduct Who is Evan Wuhl of Wells Fargo Clearing Services? Evan Wuhl (CRD #867812) who is currently registered with Wells Fargo Clearing Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Evan Wuhl Customer Complaints Evan Wuhl has been the subject of 16 customer complaints that we know about. Twelve of Evan Wuhl’s 16 customer complaints were settled in favor of investors. Four of Evan Wuhl’s customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against Evan Wuhl A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Evan Wuhl’s alleged unauthorized and unsuitable purchase of stock Claimants alleged that Evan Wuhl’s recommendations were unsuitable. Client complained that he is not willing to take big risks and his investments are down more than the percentage stated by the financial advisor. Claimant alleged that Evan Wuhl’s recommendations of leveraged ETFs were unsuitable. Claimant alleged that respondents and Evan Wuhl inappropriately repeatedly recommended the purchase of multiple share of an inverse-leveraged ETF and then liquidated the entire position in the ETF without her authorization. Claimant alleged unsuitability by Evan Wuhl in that respondents recommended the purchase of mutual funds, individual stocks and leveraged ETFs that were inconsistent with claimants’ investments objectives and financial circumstances. Claimant defined benefit plan alleged that Evan Wuhl’s recommendation of leveraged ETF was unsuitable and unauthorized. Claimants alleged unsuitable investment recommendations in both of two (2) accounts (even though one of these accounts was placed with a third-party money manager). The client alleged that Evan Wuhl placed trades in his account without his authority. The client further alleges the trade was unsuitable for his investment portfolio. The client alleged that Evan Wuhl purchased a security without his authorization. The client alleged that Evan Wuhl misrepresented his triple leveraged short EFT investments. Claimants alleged that Evan Wuhl allegedly recommended unsuitable investments, including both aggressive mutual funds and leveraged ETFs and engaged in unauthorized trading in claimants’ accounts. Evan Wuhl Red Flags & Your Rights As An Investor Of course, Evan Wuhl 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 Evan Wuhl at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Evan Wuhl has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 Wells Fargo Clearing Services Due To Evan Wuhl If you have questions about Wells Fargo Clearing Services and/or Evan Wuhl 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 Anderson of Cetera Advisor Networks

DID JAMES DONALD ANDERSON CAUSE YOU INVESTMENT LOSSES? James Anderson Of Cetera Advisor Networks, CWM And Formerly With Northwestern Mutual Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is James Anderson of Cetera Advisor Networks? James Anderson (CRD #2636501) who is currently registered with CWM, Cetera Advisor Networks and located in Cedar Rapids, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisor Networks and CWM, James Anderson was associated with Northwestern Mutual Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Anderson Customer Complaint James Anderson 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 representative recommended and processed a 401(k) loan without ensuring the recommendations was appropriate and this resulted in losses due to penalties, sanctions, interest, and expenses. James Anderson’s customer complaint was settled in favor of the investors. James Anderson Red Flags & Your Rights As An Investor Of course, James Anderson 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 Anderson at CWM, Cetera Advisor Networks and Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether James Anderson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at CWM, Cetera Advisor Networks and Northwestern Mutual Investment 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 Cetera Advisor Networks Due To James Anderson If you have questions about CWM, Cetera Advisor Networks, Northwestern Mutual Investment Services, and/or James Anderson and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Lawrence Anderson of Wells Fargo Advisors Financial Network

DID LAWRENCE JOSEPH ANDERSON CAUSE YOU INVESTMENT LOSSES? Lawrence Anderson Formerly With Wells Fargo Advisors Financial Network And Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Lawrence Anderson of Wells Fargo Advisors Financial Network? Lawrence Anderson (CRD #1445337) who was formerly registered with Wells Fargo Advisors Financial Network and located in Jackson Hole, Wyoming is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Advisors Financial Network, Lawrence Anderson 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. Lawrence Anderson Customer Complaint Lawrence Anderson 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 Lawrence Anderson failed to follow instructions to liquidate 50% of the claimants’ portfolio and none of a specific stock that the claimants’ had instructed Lawrence Anderson to liquidate all of the claimants’ holdings. The customer complaint filed against Lawrence Anderson’s former employer Wells Fargo Advisors Financial Network for investment losses caused by the alleged misconduct is pending as of the date of this report. Lawrence Anderson Red Flags & Your Rights As An Investor Of course, Lawrence Anderson did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Lawrence Anderson at Wells Fargo Advisors Financial Network and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Lawrence Anderson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Advisors Financial Network and Wells Fargo Clearing 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 Wells Fargo Advisors Financial Network Due To Lawrence Anderson If you have questions about Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, and/or Lawrence Anderson 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

Joshua Adler Of Merrill Lynch Pierce Fenner & Smith

DID JOSHUA MICHAEL ADLER CAUSE YOU INVESTMENT LOSSES? Joshua Adler of Merrill Lynch Pierce Fenner & Smith And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Joshua Adler of Merrill Lynch Pierce Fenner & Smith? Joshua Adler (CRD #3154013) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Joshua Adler was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joshua Adler Customer Complaint Joshua Adler 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 the customer alleges unauthorized trading. Joshua Adler’s customer complaint was settled in favor of the investors. Joshua Adler Red Flags & Your Rights As An Investor Of course, Joshua Adler 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 Joshua Adler at Merrill Lynch Pierce Fenner & Smith and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Joshua Adler has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith and UBS 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 Merrill Lynch Pierce Fenner & Smith and UBS Financial Services Due To Joshua Adler If you have questions about Merrill Lynch Pierce Fenner & Smith, UBS Financial Services, and/or Joshua Adler 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

Dan Avery of Waddell & Reed

DID DAN LEROY AVERY CAUSE YOU INVESTMENT LOSSES? Dan Avery Of Waddell & Reed Has A Customer Complaint For Alleged Broker Misconduct Who is Dan Avery of Waddell & Reed? Dan Avery (CRD #2967385) who is currently registered with Waddell & Reed and located in Ionia, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Dan Avery Customer Complaint Dan Avery 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, contrary to representations and assurances, the Dan Avery did not execute sell orders, resulting in loses to their accounts. Dan Avery’s customer complaint was settled in favor of the investors. Dan Avery Red Flags & Your Rights As An Investor Of course, Dan Avery 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 Dan Avery at Waddell & Reed on alert to review carefully the activity and performance of their accounts and question whether Dan Avery has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Waddell & Reed 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 Waddell & Reed Due To Dan Avery If you have questions about Waddell & Reed and/or Dan Avery 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

Troy Axelson of SagePoint Financial

DID TROY MALON AXELSON CAUSE YOU INVESTMENT LOSSES? Troy Axelson Of SagePoint Financial And Formerly With AIG Capital Services Has A Customer Complaint For Alleged Broker Misconduct Who is Troy Axelson of SagePoint Financial? Troy Axelson (CRD #2405148) who is currently registered with SagePoint Financial and located in White Bear Lake, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Prior to SagePoint Financial, Troy Axelson was associated with AIG Capital Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Troy Axelson Customer Complaint Troy Axelson 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 Troy Axelson purchased Credit Suisse exchange traded notes that were unsuitable. Troy Axelson’s customer complaint was settled in favor of the investors. Troy Axelson Red Flags & Your Rights As An Investor Of course, Troy Axelson 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 Troy Axelson at SagePoint Financial and AIG Capital Services on alert to review carefully the activity and performance of their accounts and question whether Troy Axelson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SagePoint Financial and AIG Capital 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 SagePoint Financial Due To Troy Axelson If you have questions about SagePoint Financial, AIG Capital Services, and/or Troy Axelson 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

Joseph Aiello of Sigma Financial

DID JOSEPH EDWARD AIELLO CAUSE YOU INVESTMENT LOSSES? Joseph Aiello of Sigma Financial, SPC Has A Customer Complaint For Alleged Broker Misconduct Who is Joseph Aiello of Sigma Financial? Joseph Aiello (CRD #1624046) who is currently registered with Sigma Financial, SPC and located in Troy, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Joseph Aiello Customer Complaint Joseph Aiello 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 client purchased annuity contracts and alleges the fees were misrepresented at the time of sale. Joseph Aiello Red Flags & Your Rights As An Investor Of course, Joseph Aiello did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Joseph Aiello at Sigma Financial and SPC on alert to review carefully the activity and performance of their accounts and question whether Joseph Aiello has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sigma Financial and SPC 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 Sigma Financial Due To Joseph Aiello If you have questions about Sigma Financial, SPC, and/or Joseph Aiello 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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