Mar 8, 2022

Lyle Boudreaux formerly with TCFG Wealth Management

DID LYLE J. BOUDREAUX CAUSE YOU INVESTMENT LOSSES? Lyle Boudreaux Formerly With TCFG Wealth Management And Independent Financial Group Has 5 Customer Complaints For Alleged Broker Misconduct Who is Lyle Boudreaux formerly with TCFG Wealth Management? Lyle Boudreaux (CRD #4303420) who was formerly registered with TCFG Wealth Management and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to TCFG Wealth Management, Lyle Boudreaux was associated with Independent Financial Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Lyle Boudreaux has had his own regulatory problems in the State of Texas.  When he last attempted registration as a securities broker in that state, he was investigated for allegedly trading high risk leveraged exchange traded funds in certain clients account and ultimately agreed to a denial of his application and not to reapply for registration with the State of Texas for a period of one year. Lyle Boudreaux Customer Complaints Lyle Boudreaux has been the subject of 5 customer complaints that we know about.  All of Lyle Boudreaux’s 5 customer complaints were settled in favor of investors. Allegations Against Lyle Boudreaux 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 Lyle Boudreaux’s breach of fiduciary duty, mismanagement, and failure to disclose material information with regard to an ETF and an alternative investment. Client alleged Lyle Boudreaux’s investments were not appropriate/suitable. Client allegedly suffered losses as a result of an ETF position in an advisory account allegedly made by Lyle Boudreaux. Client allegedly suffered losses in an advisory account due to an ETF position that he claims was inappropriate allegedly made by Lyle Boudreaux. Statement of claim alleged Lyle Boudreaux’s breach of contract, violation of state securities laws, and negligence in connection with leveraged ETFs purchased. Lyle Boudreaux Red Flags & Your Rights As An Investor Of course, Lyle Boudreaux 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 Lyle Boudreaux at TCFG Wealth Management and Independent Financial Group on alert to review carefully the activity and performance of their accounts and question whether Lyle Boudreaux has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TCFG Wealth Management and Independent Financial 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 TCFG Wealth Management Due To Lyle Boudreaux If you have questions about TCFG Wealth Management, Independent Financial Group, and/or Lyle Boudreaux 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 Bransky of Stifel Nicolaus & Company

DID ANDREW J BRANSKY CAUSE YOU INVESTMENT LOSSES? Andrew Bransky Of Stifel Nicolaus & Company And Formerly With B.C. Ziegler And Co Has 2 Customer Complaints For Alleged Broker Misconduct Who is Andrew Bransky of Stifel Nicolaus & Company? Andrew Bransky (CRD #2680736) who is currently registered with Stifel Nicolaus & Company and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel Nicolaus & Company, Andrew Bransky was associated with B.C. Ziegler And Co and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Andrew Bransky Customer Complaints Andrew Bransky 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. One of Andrew Bransky’s 2 customer complaints was settled in favor of investors. One of Andrew Bransky’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Andrew Bransky 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 Andrew Bransky recommended an unsuitable stock. The bonds that were sold to the client were sold in a private placement transaction, the counsel for the trust questions the suitability of the bonds allegedly made by Andrew Bransky. Andrew Bransky Red Flags & Your Rights As An Investor Of course, Andrew Bransky 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 Bransky at Stifel Nicolaus & Company and B.C. Ziegler And Co on alert to review carefully the activity and performance of their accounts and question whether Andrew Bransky has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel Nicolaus & Company and B.C. Ziegler And Co 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 Stifel Nicolaus & Company Due To Andrew Bransky If you have questions about Stifel Nicolaus & Company, B.C. Ziegler And Co, and/or Andrew Bransky 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

Kevin Brennan Formerly With Andrew Garrett

DID KEVIN PATRICK BRENNAN CAUSE YOU INVESTMENT LOSSES? Kevin Brennan Formerly With Andrew Garrett Has 6 Customer Complaints For Alleged Broker Misconduct Who is Kevin Brennan formerly with Andrew Garrett? Kevin Brennan (CRD #3009014) who was formerly registered with Andrew Garrett and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Kevin Brennan has been the subject of multiple investigations by regulators, including, FINRA, the State of New Jersey, Nevada, and Iowa.  Over the years, he has been subject of a variety of sanctions by the regulators, including suspensions, and fines. Kevin Brennan Customer Complaints Kevin Brennan has been the subject of 6 customer complaints that we know about. One arbitration award was entered against Benson York Group for $320,000 due to Kevin Brennan’s alleged misconduct causing investors losses. Three of Kevin Brennan’s 6 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Andrew Garrett, Inc. for investment losses caused by Kevin Brennan’s alleged misconduct. Allegations Against Kevin Brennan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Kevin Brennan’s alleged churning, excessive commissions, unsuitable investments failure to supervise. Churning allegedly by Kevin Brennan. Unauthorized trades, trading on margin without authorization, excessive commissions allegedly by Kevin Brennan. Unauthorized trading, misrepresentation allegedly by Kevin Brennan. Kevin Brennan’s alleged unauthorized trading, securities fraud, negligence, breach of fiduciary responsibility and common law fraud. Kevin Brennan’s alleged unsuitable investments, unauthorized trading, failure to supervise. Kevin Brennan Red Flags & Your Rights As An Investor Of course, Kevin Brennan 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 Kevin Brennan at Andrew Garrett on alert to review carefully the activity and performance of their accounts and question whether Kevin Brennan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Andrew Garrett 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 Andrew Garrett Due To Kevin Brennan If you have questions about Andrew Garrett and/or Kevin Brennan 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 Brienza of Merrill Lynch Pierce Fenner & Smith

DID JOHN JOSEPH BRIENZA CAUSE YOU INVESTMENT LOSSES? John Brienza Of Merrill Lynch Pierce Fenner & Smith Has 4 Customer Complaints For Alleged Broker Misconduct Who is John Brienza of Merrill Lynch Pierce Fenner & Smith? John Brienza (CRD #1652520) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. John Brienza Customer Complaints John Brienza has been the subject of 4 customer complaints that we know about. Two of John Brienza’s 4 customer complaints resulted in arbitration awards in favor of the investors for over $300,000 and $42,000. Two of John Brienza’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against John Brienza 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 unsuitable investments made by John Brienza. Customers alleged John Brienza made unsuitable investments. The customer alleged unsuitable investment recommendations by John Brienza. John Brienza Red Flags & Your Rights As An Investor Of course, John Brienza 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 Brienza at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether John Brienza 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 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 Merrill Lynch Pierce Fenner & Smith Due To John Brienza If you have questions about Merrill Lynch Pierce Fenner & Smith and/or John Brienza 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

Samuel Ross of The O.N. Equity Sales

DID SAMUEL KILLGORE ROSS CAUSE YOU INVESTMENT LOSSES? Samuel Ross Of The O.N. Equity Sales, ON Investment Management Co Has A Customer Complaint For Alleged Broker Misconduct Who is Samuel Ross of The O.N. Equity Sales? Samuel Ross (CRD #1111825) who is currently registered with The O.N. Equity Sales, ON Investment Management Co and located in Bristol, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Samuel Ross Customer Complaint Samuel Ross 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 the representative failed to properly complete death claim form resulting in forfeit of lifetime income option. The customer complaint filed against Samuel Ross’ current employer The O.N. Equity Sales for investment losses caused by the alleged misconduct is pending as of the date of this report. Samuel Ross Red Flags & Your Rights As An Investor Of course, Samuel Ross 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 Samuel Ross at The O.N. Equity Sales and ON Investment Management Co on alert to review carefully the activity and performance of their accounts and question whether Samuel Ross has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The O.N. Equity Sales and ON Investment Management Co 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 ON Investment Management Co Due To Samuel Ross If you have questions about The O.N. Equity Sales, ON Investment Management Co, and/or Samuel Ross 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

Warren Rowe formerly with Oppenheimer & Co.

DID WARREN ELLWOOD ROWE CAUSE YOU INVESTMENT LOSSES? Warren Rowe Formerly With Oppenheimer & Co. Has 8 Customer Complaints For Alleged Broker Misconduct Who is Warren Rowe formerly with Oppenheimer & Co.? Warren Rowe (CRD #1065880) who was formerly registered with Oppenheimer & Co. and located in Richmond, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Warren Rowe Customer Complaints Warren Rowe has been the subject of 8 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses.  One of Warren Rowe’s 8 customer complaints resulted in an arbitration award in favor of the investors. Two of Warren Rowe’s 8 customer complaints were settled in favor of investors. Four of Warren Rowe’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Oppenheimer & Co. for investment losses caused by Warren Rowe’s alleged misconduct. Allegations Against Warren Rowe 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 Warren Rowe recommended unsuitable securities. Client claims that her margin use, margin interest and transactions were inappropriate allegedly made by Warren Rowe. Client alleged that Warren Rowe took loan from the client, and it has not been repaid. Customer alleged in writing that Warren Rowe made unsuitable managed account recommendations. Customer alleged Warren Rowe recommended an unsuitable outside money manager causing losses in his client’s account. Excessive trading allegedly by Warren Rowe. Warren Rowe Red Flags & Your Rights As An Investor Of course, Warren Rowe 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 Warren Rowe at Oppenheimer & Co. on alert to review carefully the activity and performance of their accounts and question whether Warren Rowe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. 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 Oppenheimer & Co. Due To Warren Rowe If you have questions about Oppenheimer & Co. and/or Warren Rowe 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

Reed Rubin of Wells Fargo Clearing Services

DID REED RUBIN CAUSE YOU INVESTMENT LOSSES? Reed Rubin Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Reed Rubin of Wells Fargo Clearing Services? Reed Rubin (CRD #406566) 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. Reed Rubin Customer Complaint Reed Rubin 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 his Financial Advisor over-concentrated his account in a single unsuitable energy stock. The customer complaint filed against Reed Rubin’s former employer Wells Fargo Advisors for investment losses caused by the alleged misconduct is pending as of the date of this report. Reed Rubin Red Flags & Your Rights As An Investor Of course, Reed Rubin 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 Reed Rubin at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Reed Rubin 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 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 Clearing Services Due To Reed Rubin If you have questions about Wells Fargo Clearing Services and/or Reed Rubin 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 Rulison of Morgan Stanley

DID MICHAEL EDWARD RULISON CAUSE YOU INVESTMENT LOSSES? Michael Rulison Of Morgan Stanley Has 5 Customer Complaints For Alleged Broker Misconduct Who is Michael Rulison of Morgan Stanley? Michael Rulison (CRD #407131) who is currently registered with Morgan Stanley and located in Syracuse, New York is a subject of one of our many securities industry sales practice abuse investigations. Michael Rulison Customer Complaints Michael Rulison has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Michael Rulison’s 5 customer complaints were settled in favor of investors. Three of Michael Rulison’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Michael Rulison A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Attorney alleged, inter alia, unauthorized trading with respect to investment activity in accounts by Michael Rulison. Client verbally alleged, inter alia, Michael Rulison’s unauthorized trading with respect to trades purchased on margin. Client alleged that the client did not authorize trades in her accounts allegedly committed by Michael Rulison. Clients alleged investments had unsuitable risk and were unauthorized allegedly committed by Michael Rulison. Michael Rulison Red Flags & Your Rights As An Investor Of course, Michael Rulison 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 Rulison at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Michael Rulison 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 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 Morgan Stanley Due To Michael Rulison If you have questions about Morgan Stanley and/or Michael Rulison 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 Russo formerly with Chelsea Financial Services

DID RICHARD ANTONE RUSSO CAUSE YOU INVESTMENT LOSSES? Richard Russo Formerly With Chelsea Financial Services And IFS Securities Has 9 Customer Complaints For Alleged Broker Misconduct Who is Richard Russo formerly with Chelsea Financial Services? Richard Russo (CRD #843283) who was formerly registered with Chelsea Financial Services and located in Ladeca Ranch, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Chelsea Financial Services, Richard Russo was associated with IFS Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Russo Customer Complaints Richard Russo has been the subject of 9 customer complaints that we know about. Seven of Richard Russo’s 9 customer complaints were settled in favor of investors. Two of Richard Russo’s customers’ complaints were denied and, to date, the customers have not taken any further action Allegations Against Richard Russo A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Richard Russo’s alleged excessive trading, churning and unsuitability. Client alleged that various investments on mutual funds made by Richard Russo were not appropriate for her, once they declined in value. Unsuitable Investments allegedly by Richard Russo that resulted in a loss of principal. Customer alleged that she had requested Richard Russo to send her a check for all of her money. She alleges in the complaint the check was $2k less than expected then follows up by saying that she believes that interest should be paid and accusing the representative of using $12,000 for personal use. Richard Russo Red Flags & Your Rights As An Investor Of course, Richard Russo 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 Russo at Chelsea Financial Services and IFS Securities on alert to review carefully the activity and performance of their accounts and question whether Richard Russo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Chelsea Financial Services and IFS 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 Chelsea Financial Services and IFS Securities Due To Richard Russo If you have questions about Chelsea Financial Services, IFS Securities, and/or Richard Russo 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 Richardson Of Avantax Investment Services

DID WILLIAM FRANKLIN RICHARDSON CAUSE YOU INVESTMENT LOSSES? William Richardson Of Avantax Investment Services, Avantax Advisory Services And Formerly With Securities America, Securities America Advisors, and Investacorp Advisory Services Has 6 Customer Complaints For Alleged Broker Misconduct Who is William Richardson of Avantax Investment Services? William Richardson (CRD #721293) who is currently registered with Avantax Investment Services, Avantax Advisory Services and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Avantax Investment Services, Avantax Advisory Services, William Richardson was associated with Securities America, Securities America Advisors, and Investacorp Advisory Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Richardson Customer Complaints William Richardson has been the subject of 6 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of William Richardson’s 6 customer complaints were settled in favor of investors. Three of William Richardson’s customers complaints were denied and, to date, the customers had not taken any further action. There is currently one pending customer complaint filed against Investacorp for investment losses caused by William Richardson’s alleged misconduct. Allegations Against William Richardson 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 the investments were unsuitable at the time of sale. After electing to invest in REITs and BDCs, Claimant alleged that the investments made by William Richardson were unsuitable. Client alleged William Richardson was negligent in calculating RMD which resulted in resetting of annuity benefit amount. Client alleged that a variable annuity purchased was unsuitable and misrepresented by William Richardson. Client alleged that her age of 73 was overlooked by William Richardson and the investment is inappropriate for her. The client alleged the limited partnership investment he purchased from William Richardson was not suitable. William Richardson Red Flags & Your Rights As An Investor Of course, William Richardson 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 Richardson at Avantax Investment Services, Avantax Advisory Services, Securities America, Securities America Advisors, and Investacorp Advisory Services on alert to review carefully the activity and performance of their accounts and question whether William Richardson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Avantax Investment Services, Avantax Advisory Services, Securities America, Securities America Advisors, and Investacorp 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 Avantax Investment Services and Securities America Due To William Richardson If you have questions about Avantax Investment Services, Avantax Advisory Services, Securities America, Securities America Advisors, Investacorp Advisory Services, and/or William Richardson 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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