Mar 8, 2022

Dwight West of UBS Financial Services

DID DWIGHT CLYDE WEST CAUSE YOU INVESTMENT LOSSES? Dwight West Of UBS Financial Services Has 6 Customer Complaints For Alleged Broker Misconduct Who is Dwight West of UBS Financial Services? Dwight West (CRD #463778) who is currently registered with UBS Financial Services and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Dwight West Customer Complaints Dwight West has been the subject of 6 customer complaints that we know about. Four of Dwight West’s 6 customer complaints was settled in favor of investors. Two of Dwight West’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Dwight West A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Elderly customer alleged, through her POA and son, that Dwight West engaged in unsuitable recommendations, unauthorized trades, abandonment of account, and failure to communicate. The client alleged Dwight West misrepresented the rate of return he could achieve in comparison to where he held his account before coming to UBS. The client further alleged his financial advisor placed him in risky securities. Dwight West Red Flags & Your Rights As An Investor Of course, Dwight West 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 Dwight West at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Dwight West 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 Dwight West If you have questions about UBS Financial Services and/or Dwight West 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

Eric Abbott of Morgan Stanley

DID ERIC ROBERT ABBOTT CAUSE YOU INVESTMENT LOSSES? Eric Abbott Of Morgan Stanley And Formerly With J.P. Morgan Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Eric Abbott of Morgan Stanley? Eric Abbott (CRD #4331367) who is currently registered with Morgan Stanley and located in Sarasota, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Eric Abbott was associated with J.P. Morgan Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Eric Abbott Customer Complaints Eric Abbott 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 Eric Abbott’s 2 customer complaints was settled in favor of investors. One of Eric Abbott’s customers’ complaints was denied and, to date, the customers had not taken any further action. Allegations Against Eric Abbott 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 Eric Abbott’s misrepresentation regarding variable annuity investments. Clients alleged misrepresentation regarding variable annuity investment by Eric Abbott. Eric Abbott Red Flags & Your Rights As An Investor Of course, Eric Abbott 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 Eric Abbott at Morgan Stanley and J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Eric Abbott has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and J.P. Morgan 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 Morgan Stanley and J.P. Morgan Securities Due To Eric Abbott If you have questions about Morgan Stanley, J.P. Morgan Securities, and/or Eric Abbott 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

Shane Abernathy of Momentum Independent Network

DID SHANE ROSS ABERNATHY CAUSE YOU INVESTMENT LOSSES? Shane Abernathy Of Momentum Independent Network And Formerly With Ameriprise Financial Services and Investment Professionals Has 2 Customer Complaints For Alleged Broker Misconduct Who is Shane Abernathy of Momentum Independent Network? Shane Abernathy (CRD #2402555) who is currently registered with Momentum Independent Network and located in San Antonio, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Momentum Independent Network, Shane Abernathy was associated with Ameriprise Financial Services, Investment Professionals and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Shane Abernathy Customer Complaints Shane Abernathy has been the subject of 2 customer complaints that we know about.  Both of Shane Abernathy’s 2 customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Shane Abernathy A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Complainant alleged unauthorized trading by Shane Abernathy. Client alleged Shane Abernathy misrepresented the fees, surrender schedule and free look period for a Variable Annuity purchased. Shane Abernathy Red Flags & Your Rights As An Investor Of course, Shane Abernathy 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 Shane Abernathy at Momentum Independent Network, Ameriprise Financial Services, and Investment Professionals on alert to review carefully the activity and performance of their accounts and question whether Shane Abernathy has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Momentum Independent Network, Ameriprise Financial Services, and Investment Professionals 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 Momentum Independent Network and Ameriprise Financial Services Due To Shane Abernathy If you have questions about Momentum Independent Network, Ameriprise Financial Services, Investment Professionals, and/or Shane Abernathy 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

Amr Aboulmagd formerly with NYLIFE Securities

DID AMR MOSTAFA ABOULMAGD CAUSE YOU INVESTMENT LOSSES? Amr Aboulmagd Formerly With NYLIFE Securities Has 6 Customer Complaints For Alleged Broker Misconduct Who is Amr Aboulmagd formerly with NYLIFE Securities? Amr Aboulmagd (CRD #3273075) who was formerly registered with NYLIFE Securities and located in Horsham, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Amr Aboulmagd has also been the subject of a FINRA investigation into allegations that he made misrepresentations and unsuitable recommendations to customers regarding switches from a fixed annuity to a variable annuity.  He refused to appear for on-the-record testimony and was subsequently permanently barred from any further association with any member firm in any capacity. Amr Aboulmagd Customer Complaints Amr Aboulmagd has been the subject of 6 customer complaints that we know about. Three of Amr Aboulmagd’s 6 customer complaints were settled in favor of investors. Two of Amr Aboulmagd’s customers’ complaints were denied and, today, the customers have not taken any further action. There is currently one pending customer complaint filed against NYLIFE Securities for investment losses caused by Amr Aboulmagd’s alleged misconduct. Allegations Against Amr Aboulmagd A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customers alleged, among other concerns, that they purchased three variable annuities and one variable universal life insurance policy with excessive fees and charges, which did not benefit them allegedly made by Amr Aboulmagd. Regarding the purchase of several variable annuity policies issued, the customer alleged that Amr Aboulmagd did not explain the surrender charges while moving his funds to other providers, which he feels was unsuitable. The customer alleged that Amr Aboulmagd misrepresented the terms and conditions of a variable annuity she purchased with respect to account balance guarantees, fees, and how the funds would be invested. The customer alleged that the terms and conditions associated with a variable annuity contract purchased with proceeds from a fixed annuity policy were misrepresented allegedly by Amr Aboulmagd and that the surrender charges incurred as a result of the transaction were not fully explained to him. The customer alleged the signature on the client profile and policy disclosure form of the fixed annuity application is not her signature and was done without her authorization allegedly by Amr Aboulmagd. The customers alleged that they were misled by Amr Aboulmagd regarding the purchase of a variable universal life insurance contract purchased with their IRA proceeds. Amr Aboulmagd Red Flags & Your Rights As An Investor Of course, Amr Aboulmagd 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 Amr Aboulmagd at NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Amr Aboulmagd has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLIFE 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 NYLIFE Securities Due To Amr Aboulmagd If you have questions about NYLIFE Securities and/or Amr Aboulmagd 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 Holland of Principal Securities

DID DENNIS HOLLAND CAUSE YOU INVESTMENT LOSSES? Dennis Holland Of Principal Securities, Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Dennis Holland of Principal Securities, Inc.? Dennis Holland (CRD #1186824) who is currently registered with Principal Securities, Inc. and located in Saint Cloud, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Dennis Holland Customer Complaint Dennis Holland 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 client claims damages from the recommendations made by the RR regarding the replacement of his insurance policies, the purchase of a variable annuity and the resulting tax consequences from these transactions. Dennis Holland’s customer complaint was settled in favor of investors. Dennis Holland Red Flags & Your Rights As An Investor Of course, Dennis Holland 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 Holland at Principal Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Dennis Holland has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Principal Securities, Inc. 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 Principal Securities, Inc. Due To Dennis Holland If you have questions about Principal Securities, Inc. and/or Dennis Holland 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

Jerry Adam of The Leaders Group

DID JERRY CHARLES ADAM CAUSE YOU INVESTMENT LOSSES? Jerry Adam Of The Leaders Group And Formerly With Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Jerry Adam of The Leaders Group? Jerry Adam (CRD #2014689) who is currently registered with The Leaders Group and located in Littleton, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to The Leaders Group, Jerry Adam 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. Jerry Adam Customer Complaint Jerry Adam 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 purchase of variable life insurance policy was misrepresented. Jerry Adam’s customer complaint was settled in favor of the investors. Jerry Adam Red Flags & Your Rights As An Investor Of course, Jerry Adam 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 Jerry Adam at The Leaders Group and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Jerry Adam has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The Leaders Group 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 The Leaders Group and Wells Fargo Clearing Services Due To Jerry Adam If you have questions about The Leaders Group, Wells Fargo Clearing Services, and/or Jerry Adam 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

Peter Holler of Securities Service Network

DID PETER HOLLER CAUSE YOU INVESTMENT LOSSES? Peter Holler Formerly With Securities Service Network, Inc. Has 6 Customer Complaints For Alleged Broker Misconduct Who is Peter Holler formerly with Securities Service Network, Inc.? Peter Holler (CRD #838897) who was formerly registered with Securities Service Network, Inc. and located in Bristol, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securities Service Network, Inc., Peter Holler was associated with and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Peter Holler has also been the subject of investigation by regulators. In 2018, he was suspended for 2 years, ordered to pay restitution and fined for allegedly engaging in a series of private securities transactions without providing notice to his member firm. FINRA found that Peter Holler solicited investors to purchase over $1.3 million in promissory notes in a purported real estate investment fund. Peter Holler Customer Complaints Peter Holler has been the subject of 6 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. Six of Peter Holler’s 6 customer complaints were settled in favor of investors. Allegations Against Peter Holler 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 Peter Holler sold them fraudulent investments in the Woodbridge Mortgage Investment Fund 3A LLC. Claimants alleged that Peter Holler sold them fraudulent investments into the Woodbridge Mortgage Investment Funds 3 & 4. They allege these investments were not approved by Mr. Holler’s broker-dealer, Securities Service Network. Claimants alleged that Peter Holler sold them investments in an alleged fraudulent unregistered security called Woodbridge Mortgage Investment Fund 4 LLC. One of the investments actually occurred after Mr. Holler terminated from Securities Service Network, Inc. Client alleged that Peter Holler sold her fraudulent investments in the Woodbridge Mortgage Fund 1 LLC. Claimants alleged that Peter Holler recommended and sold to them investments in the Woodbridge Mortgage Fund promissory notes. The Claimants allege that the investments were not approved by his employer and were in-fact fraudulent investments. Peter Holler Red Flags & Your Rights As An Investor Of course, Peter Holler 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 Peter Holler at Securities Service Network, Inc. on alert to review carefully the activity and performance of their accounts and question whether Peter Holler has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities Service Network, 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 Securities Service Network, Inc. Due To Peter Holler If you have questions about Securities Service Network, Inc. and/or Peter Holler 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 Holt of Ameritas Investment

DID JOHN HOLT CAUSE YOU INVESTMENT LOSSES? John Holt Of Ameritas Investment Company, LLC Has One Customer Complaint For Alleged Broker Misconduct Who is John Holt of Ameritas Investment Company, LLC? John Holt (CRD #249223) who is currently registered with Ameritas Investment Company, LLC and located in Dalton, Georgia is a subject of one of our many securities industry sales practice abuse investigations. John Holt Customer Complaint John Holt 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 made in a civil action in which plaintiff alleges John Holt and Prudential deprived her of interest in the variable annuity by allowing defendant to continue to take withdrawals until the variable annuity was exhausted. The customer complaint filed against John Holt’s current employer Ameritas Investment Company, LLC for investment losses caused by the alleged misconduct is pending as of the date of this report. John Holt Red Flags & Your Rights As An Investor Of course, John Holt 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 Holt at Ameritas Investment Company, LLC on alert to review carefully the activity and performance of their accounts and question whether John Holt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameritas Investment Company, LLC 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 Ameritas Investment Company, LLC Due To John Holt If you have questions about Ameritas Investment Company, LLC and/or John Holt 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 Hord of Oppenheimer & Co.

DID ROBERT HORD CAUSE YOU INVESTMENT LOSSES? Robert Hord of Oppenheimer & Co. Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Robert Hord of Oppenheimer & Co. Inc.? Robert Hord (CRD #830170) who is currently registered with Oppenheimer & Co. Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Robert Hord Customer Complaints Robert Hord has been the subject of 4 customer complaints that we know about. One of Robert Hord’s 4 customers’ complaints resulted in an arbitration award in favor of investors. Two of Robert Hord’s 4 customer complaints were settled in favor of investors. One of Robert Hord’s customers’ complaints was denied and the customers did not take any further action. Allegations Against Robert Hord A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants asserted claims of negligence, breach of contract, breach of fiduciary duty, negligent supervision and negligent misrepresentation concerning their alleged unsuitable investment in a federated mutual fund by Robert Hord. Robert Hord’s alleged failure to supervise. Robert Hord Red Flags & Your Rights As An Investor Of course, Robert Hord 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 Hord at Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Robert Hord has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. 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 Oppenheimer & Co. Inc. Due To Robert Hord If you have questions about Oppenheimer & Co. Inc. and/or Robert Hord 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 Horseman of LPL Financial

DID JOHN HORSEMAN CAUSE YOU INVESTMENT LOSSES? John Horseman Of LPL Financial LLC And Formerly With National Planning Has 4 Customer Complaints For Alleged Broker Misconduct Who is John Horseman of LPL Financial LLC? John Horseman (CRD #851636) who is currently registered with LPL Financial LLC and located in St. Louis, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, John Horseman was associated with National Planning and 16 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Horseman Customer Complaints John Horseman has been the subject of 4 customer complaints that we know about. Two of John Horseman’s 4 customer complaints were settled in favor of investors. Two of John Horseman’s customers’ complaints were denied and the customers did not take any further action. Allegations Against John Horseman 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 poor recommendation by John Horseman resulting in poor performance and failure to disclose fees and commissions. Claimant alleged that he purchased variable annuities that declined in value after he moved investments to another brokerage firm allegedly made by John Horseman. Claimant alleged that two variable annuities John Horseman purchased were unsuitable. Customer alleged that REIT purchased had not performed as John Horseman had predicted, and sought recovery of some of his investment losses. John Horseman Red Flags & Your Rights As An Investor Of course, John Horseman 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 Horseman at LPL Financial LLC and National Planning on alert to review carefully the activity and performance of their accounts and question whether John Horseman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and National Planning 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 LPL Financial LLC Due To John Horseman If you have questions about LPL Financial LLC, National Planning and/or John Horseman 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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