Mar 8, 2022

Patrick Albrecht Of Calton & Associates

DID PATRICK WILLIAM ALBRECHT CAUSE YOU INVESTMENT LOSSES? Patrick Albrecht of Calton & Associates Has 3 Customer Complaints For Alleged Broker Misconduct Who is Patrick Albrecht of Calton & Associates? Patrick Albrecht (CRD #1437137) who is currently registered with Calton & Associates and located in Prescott, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Patrick Albrecht Customer Complaints Patrick Albrecht 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 Patrick Albrecht’s 3 customer complaints was settled in favor of investors. Two of Patrick Albrecht’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Patrick Albrecht A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Patrick Albrecht’s alleged failure to conduct adequate due diligence, negligence, misrepresentation, breach of fiduciary duty. Unsuitable investment recommendations and breach of fiduciary duties  allegedly by Patrick Albrecht. Patrick Albrecht Red Flags & Your Rights As An Investor Of course, Patrick Albrecht 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 Albrecht at Calton & Associates on alert to review carefully the activity and performance of their accounts and question whether Patrick Albrecht has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Calton & Associates 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 Calton & Associates Due To Patrick Albrecht If you have questions about Calton & Associates and/or Patrick Albrecht 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 Aldi Of Wells Fargo Clearing Services

DID JOSEPH ANTHONY ALDI CAUSE YOU INVESTMENT LOSSES? Joseph Aldi Of Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joseph Aldi of Wells Fargo Clearing Services? Joseph Aldi (CRD #2558960) who is currently registered with Wells Fargo Clearing Services and located in Bound Brook, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Joseph Aldi Customer Complaints Joseph Aldi has been the subject of 2 customer complaints that we know about. Two of Joseph Aldi’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Joseph Aldi 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 a GNMA and a Disney and a Ford corporate bonds allegedly made by Joseph Aldi were not suitable for them. Client complained that Joseph Aldi allegedly told him his investment would grow 5% per year for four years which, according to the client was untrue. Joseph Aldi Red Flags & Your Rights As An Investor Of course, Joseph Aldi 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 Aldi at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Joseph Aldi 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 Joseph Aldi If you have questions about Wells Fargo Clearing Services and/or Joseph Aldi 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

Monica Baldwin of Raymond James Financial Services

DID MONICA MARY BALDWIN CAUSE YOU INVESTMENT LOSSES? Monica Baldwin Of Raymond James Financial Services, Raymond James Financial Services Advisors Has 2 Customer Complaints For Alleged Broker Misconduct Who is Monica Baldwin of Raymond James Financial Services? Monica Baldwin (CRD #1410593) who is currently registered with Raymond James Financial Services, Raymond James Financial Services Advisors and located in Longmont, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Monica Baldwin Customer Complaints Monica Baldwin has been the subject of 2 customer complaints that we know about. One of Monica Baldwin’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Raymond James Financial Services for investment losses caused by Monica Baldwin’s alleged misconduct. Allegations Against Monica Baldwin A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer filed a mediation request through FINRA seeking damages related to a Whole Life Insurance Policy used to fund a Life Insurance Trust she purchased allegedly through Monica Baldwin while Ms. Baldwin was at a prior firm. Monica Baldwin’s alleged Negligence, Failure to Supervise, Breach of Contract, Breach of the Duty of Good Faith and Fair Dealing, Breach of Fiduciary Duty, Suitability and Overconcentration. Monica Baldwin Red Flags & Your Rights As An Investor Of course, Monica Baldwin 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 Monica Baldwin at Raymond James Financial Services and Raymond James Financial Services Advisors on alert to review carefully the activity and performance of their accounts and question whether Monica Baldwin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services and Raymond James Financial Services 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 Raymond James Financial Services Due To Monica Baldwin If you have questions about Raymond James Financial Services, Raymond James Financial Services Advisors, and/or Monica Baldwin and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Timothy Baldwin of Infinity Financial Services

DID TIMOTHY WAYNE BALDWIN CAUSE YOU INVESTMENT LOSSES? Timothy Baldwin Of Infinity Financial Services And Formerly With EDI Financial Has 7 Customer Complaints For Alleged Broker Misconduct Who is Timothy Baldwin of Infinity Financial Services? Timothy Baldwin (CRD #2191835) who is currently registered with Infinity Financial Services and located in Ft. Myers, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Infinity Financial Services, Timothy Baldwin was associated with EDI Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Timothy Baldwin Customer Complaints Timothy Baldwin has been the subject of 7 customer complaints that we know about. Five of Timothy Baldwin’s 7 customer complaints were settled in favor of investors. Two of Timothy Baldwin’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Timothy Baldwin 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 Timothy Baldwin purchased an annuity without her consent and made other unauthorized stock transactions as well. Client alleged that Timothy Baldwin executed trades in his accounts without his authorization. Client alleged that Timothy Baldwin engaged in unauthorized trading, specifically with regards to losses in Worldcom. Client states many trades were allegedly being made without her knowledge or approval” by Timothy Baldwin. Clients alleged Timothy Baldwin executed trades at an alarming rate in their account. Additionally, clients allege that trades using the majority of their account balance in one transaction were inappropriate. Clients also allege that they were not notified in advance of most transactions in their account. Allegedly, Timothy Baldwin sold a low cost basis stock that created a short term capital gain and long term capital gain in a concentrated portfolio. Timothy Baldwin Red Flags & Your Rights As An Investor Of course, Timothy Baldwin did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Timothy Baldwin at Infinity Financial Services and EDI Financial on alert to review carefully the activity and performance of their accounts and question whether Timothy Baldwin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Infinity Financial Services and EDI Financial 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 Infinity Financial Services Due To Timothy Baldwin If you have questions about Infinity Financial Services, EDI Financial, and/or Timothy Baldwin 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

Nicholas Armellino of GMS Group

DID NICHOLAS MICHAEL ARMELLINO CAUSE YOU INVESTMENT LOSSES? Nicholas Armellino of GMS Group Has 7 Customer Complaints For Alleged Broker Misconduct Who is Nicholas Armellino of GMS Group? Nicholas Armellino (CRD #3189691) who is currently registered with GMS Group and located in Jersey City, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.  He was disbarred as an attorney for allegedly misappropriating escrow funds in New Jersey. Nicholas Armellino Customer Complaints Nicholas Armellino has been the subject of 7 customer complaints that we know about. Five of Nicholas Armellino’s 7 customer complaints were settled in favor of investors. Two of Nicholas Armellino’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Nicholas Armellino A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Allegation of Nicholas Armellino engaged in unauthorized trading. Customer alleged that Nicholas Armellino told her the Terra Vantage notes that she purchased for her account was a bond, but she states it was actually a limited partnership, and as a result she incurred a loss of $254,000.00. Customer alleged that Nicholas Armellino made certain unauthorized trades in his account. The client alleged Nicholas Armellino engaged in excessive trading  and unsuitably leveraged account. The client alleged Nicholas Armellino made unsuitable investments and misrepresentations regarding certain securities purchased. The customer alleged that Nicholas Armellino failed to provide the client with several notices of material events prior to the customer’s purchase of a West Virginia Economic Development Bond. Nicholas Armellino Red Flags & Your Rights As An Investor Of course, Nicholas Armellino 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 Nicholas Armellino at GMS Group on alert to review carefully the activity and performance of their accounts and question whether Nicholas Armellino has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 GMS Group Due To Nicholas Armellino If you have questions about GMS Group and/or Nicholas Armellino and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Ricardo Armijo of Raymond James Associates

DID RICARDO JAMES ARMIJO CAUSE YOU INVESTMENT LOSSES? Ricardo Armijo Of Raymond James Associates, And Formerly With UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Ricardo Armijo of Raymond James Associates? Ricardo Armijo (CRD #2694904) who is currently registered with Raymond James Associates and located in Birmingham, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Associates, Ricardo Armijo was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ricardo Armijo Customer Complaints Ricardo Armijo has been the subject of 3 customer complaints that we know about.  Multiple clients alleged that Ricardo Armijo never disclosed the fees on the C shares of the mutual funds they invested.  All of Ricardo Armijo’s 3 customer complaints were settled in favor of investors. Ricardo Armijo Red Flags & Your Rights As An Investor Of course, Ricardo Armijo did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Ricardo Armijo at Raymond James Associates and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Ricardo Armijo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Associates 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 Associates Due To Ricardo Armijo If you have questions about Raymond James Associates, UBS Financial Services, and/or Ricardo Armijo 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

Alphonse Arminio of Bestvest Investments Ltd.

DID ALPHONSE PHILIP ARMINIO CAUSE YOU INVESTMENT LOSSES? Alphonse Arminio Of Bestvest Investments Ltd. Has A Customer Complaint For Alleged Broker Misconduct Who is Alphonse Arminio of Bestvest Investments Ltd.? Alphonse Arminio (CRD #4219609) who is currently registered with Bestvest Investments Ltd.and located in Media, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Alphonse Arminio Customer Complaint Alphonse Arminio 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 client has made allegations that the representative misstated investment risk and objectives. Alphonse Arminio’s customer complaint was settled in favor of the investors. Alphonse Arminio Red Flags & Your Rights As An Investor Of course, Alphonse Arminio 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 Alphonse Arminio at Bestvest Investments Ltd. on alert to review carefully the activity and performance of their accounts and question whether Alphonse Arminio has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Bestvest Investments Ltd. 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 Bestvest Investments Ltd. Due To Alphonse Arminio If you have questions about Bestvest Investments Ltd. and/or Alphonse Arminio 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

Tracy Aufleger of Ameriprise Financial Services

DID TRACY GOUGHNOUR AUFLEGER CAUSE YOU INVESTMENT LOSSES? Tracy Aufleger of Ameriprise Financial Services Has 5 Customer Complaints For Alleged Broker Misconduct Who is Tracy Aufleger of Ameriprise Financial Services? Tracy Aufleger (CRD #2317989) who is currently registered with Ameriprise Financial Services and located in Suwanee, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Tracy Aufleger Customer Complaints Tracy Aufleger has been the subject of 5 customer complaints that we know about. One of Tracy Aufleger’s 5 customer complaints were settled in favor of investors. Four of Tracy Aufleger’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Tracy Aufleger 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 Tracy Aufleger provided a poor recommendation to purchase a variable annuity, as she did not need an additional income stream in retirement. Clients alleged they requested their CD to be placed in their cash account at maturity, instead it was placed into a uninsured cash sweep account (US Gov Reserve) without their authorization causing them loss and no access to their cash allegedly made by Tracy Aufleger. The client alleged Tracy Aufleger failed to follow specific written instructions regarding his accounts, resulting in losses to his portfolio. The clients alleged that they were not informed of the commissions associated with the investments recommended by Tracy Aufleger. Additionally, the clients claim the recommendation of variable universal life insurance was not appropriate for their financial circumstances. Tracy Aufleger Red Flags & Your Rights As An Investor Of course, Tracy Aufleger 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 Tracy Aufleger at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Tracy Aufleger has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise 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 Ameriprise Financial Services Due To Tracy Aufleger If you have questions about Ameriprise Financial Services and/or Tracy Aufleger 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

Brian Ballard of UBS Financial Services

DID BRIAN THOMAS BALLARD CAUSE YOU INVESTMENT LOSSES? Brian Ballard Of UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Brian Ballard of UBS Financial Services? Brian Ballard (CRD #2131677) who is currently registered with UBS Financial Services and located in South Ogden, Utah is a subject of one of our many securities industry sales practice abuse investigations. Brian Ballard Customer Complaints Brian Ballard has been the subject of 2 customer complaints that we know about.  Both of Brian Ballard’s 2 customer complaints were settled in favor of investors. Allegations Against Brian Ballard 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, inter alia, that Brian Ballard recommended unsuitable Lehman stock. Claimant alleged Brian Ballard failed to execute her instructions to liquidate positions in her PACE Select funds held in her IRA and Trust accounts. Brian Ballard Red Flags & Your Rights As An Investor Of course, Brian Ballard 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 Brian Ballard at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Brian Ballard has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 UBS Financial Services Due To Brian Ballard If you have questions about UBS Financial Services and/or Brian Ballard 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

Ryan Barradas of Kestra Investment Services

DID RYAN FRANCIS BARRADAS CAUSE YOU INVESTMENT LOSSES? Ryan Barradas Of Kestra Investment Services, Kestra Advisory Services And Formerly With M Holdings Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Ryan Barradas of Kestra Investment Services? Ryan Barradas (CRD #2979630) who is currently registered with Kestra Investment Services, Kestra Advisory Services and located in Phoenix, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kestra Investment Services and Kestra Advisory Services, Ryan Barradas was associated with M Holdings Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ryan Barradas Customer Complaint Ryan Barradas 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 Ryan Barradas breached his fiduciary duty by recommending repeated replacements of existing multi-million dollar life insurance policies. Claimant further accuses Ryan Barradas of making misrepresentations about the necessity of replacing the policies with new products that were inconsistent with the claimants stated goals. The customer complaint filed against Ryan Barradas’ former employer M Holdings Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Ryan Barradas Red Flags & Your Rights As An Investor Of course, Ryan Barradas 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 Barradas at Kestra Investment Services, Kestra Advisory Services and M Holdings Securities on alert to review carefully the activity and performance of their accounts and question whether Ryan Barradas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kestra Investment Services, Kestra Advisory Services and M Holdings 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 Kestra Investment Services Due To Ryan Barradas If you have questions about Kestra Investment Services, Kestra Advisory Services, M Holdings Securities, and/or Ryan Barradas 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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