Mar 7, 2022

Christopher Norton formerly with I-Bankers Direct

DID CHRISTOPHER TODD NORTON CAUSE YOU INVESTMENT LOSSES? Christopher Norton Formerly With I-Bankers Direct, Aegis Capital, And IAA Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Christopher Norton formerly with I-Bankers Direct? Christopher Norton (CRD #5386000) who was formerly registered with I‑Bankers Direct and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to I‑Bankers Direct, Christopher Norton was associated with Aegis Capital, IAA Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Christopher Norton Customer Complaint Christopher Norton 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 excessive and unsuitable trading, false and misleading statements. Christopher Norton’s customer complaint was settled in favor of the investors. Christopher Norton Red Flags & Your Rights As An Investor Of course, Christopher Norton did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Christopher Norton at I-Bankers Direct, Aegis Capital, and IAA Financial on alert to review carefully the activity and performance of their accounts and question whether Christopher Norton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at I-Bankers Direct, Aegis Capital, and IAA Financial 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 I-Bankers Direct Due To Christopher Norton If you have questions about I-Bankers Direct, Aegis Capital, IAA Financial, and/or Christopher Norton 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 7, 2022

Philip Noto formerly with First Standard Financial Company

DID PHILIP ALBERT NOTO CAUSE YOU INVESTMENT LOSSES? Philip Noto Formerly With First Standard Financial Company Has 2 Customer Complaints For Alleged Broker Misconduct Who is Philip Noto formerly with First Standard Financial Company? Philip Noto (CRD #4837180) who was formerly registered with First Standard Financial Company and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Philip Noto Customer Complaints Philip Noto 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. Both customer complaints filed against Philip Noto’s former employers First Standard Financial Company and Oppenheimer for investment losses caused by the alleged misconduct are pending as of the date of this report. Allegations Against Philip Noto A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unauthorized trading & suitability by Philip Noto. Philip Noto was named in a customer complaint that asserted the following causes of action: fraud; breach of fiduciary duties; and negligence. Philip Noto Red Flags & Your Rights As An Investor Of course, Philip Noto 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 Philip Noto at First Standard Financial Company on alert to review carefully the activity and performance of their accounts and question whether Philip Noto has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Standard Financial Company 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 First Standard Financial Company Due To Philip Noto If you have questions about First Standard Financial Company and/or Philip Noto 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 7, 2022

Jared Nuxoll of Edward Jones

DID JARED PAUL NUXOLL CAUSE YOU INVESTMENT LOSSES? Jared Nuxoll Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Jared Nuxoll of Edward Jones? Jared Nuxoll (CRD #5967589) who is currently registered with Edward Jones and located in Columbia, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Jared Nuxoll Customer Complaint Jared Nuxoll 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 alleged a 1035 exchange from AIG to Lincoln was completed without her authorization. Jared Nuxoll’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Jared Nuxoll Red Flags & Your Rights As An Investor Of course, Jared Nuxoll 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 Jared Nuxoll at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Jared Nuxoll has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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 Edward Jones Due To Jared Nuxoll If you have questions about Edward Jones and/or Jared Nuxoll 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 7, 2022

Matthew O’Connor of LPL Financial

DID MATTHEW JOSEPH O’CONNOR CAUSE YOU INVESTMENT LOSSES? Matthew O’Connor Of LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Matthew O’Connor of LPL Financial? Matthew O’Connor (CRD #5276272) who is currently registered with LPL Financial and located in New Bedford, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Matthew O’Connor Customer Complaint Matthew O’Connor 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 misrepresentation with regard to the liquidity of a REIT she purchased. Matthew O’Connor’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Matthew O’Connor Red Flags & Your Rights As An Investor Of course, Matthew O’Connor 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 Matthew O’Connor at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Matthew O’Connor has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial 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 LPL Financial Due To Matthew O’Connor If you have questions about LPL Financial and/or Matthew O’Connor 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 7, 2022

Troy Orlando of Joseph Stone Capital

DID TROY ALLEN ORLANDO CAUSE YOU INVESTMENT LOSSES? Troy Orlando Of Joseph Stone Capital And Formerly With Worden Capital Management, Spartan Capital Securities And J.H. Darbie & Co. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Troy Orlando of Joseph Stone Capital? Troy Orlando (CRD #6055474) who is currently registered with Joseph Stone Capital and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Joseph Stone Capital, Troy Orlando was associated with Worden Capital Management, Spartan Capital Securities, J.H. Darbie & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Troy Orlando Customer Complaints Troy Orlando has been the subject of 2 customer complaints that we know about. One of Troy Orlando’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Spartan Capital Securities for investment losses caused by Troy Orlando’s alleged misconduct. Allegations Against Troy Orlando A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Troy Orlando’s unauthorized trades and use of margin. Negligence, Unsuitability, Breach of Fiduciary Duty, Breach of Contract, Negligent Misrepresentation and Omission by Troy Orlando. Troy Orlando Red Flags & Your Rights As An Investor Of course, Troy Orlando 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 Orlando at Joseph Stone Capital, Worden Capital Management, Spartan Capital Securities, and J.H. Darbie & Co. on alert to review carefully the activity and performance of their accounts and question whether Troy Orlando has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Joseph Stone Capital, Worden Capital Management, Spartan Capital Securities, and J.H. Darbie & 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 Joseph Stone Capital Due To Troy Orlando If you have questions about Joseph Stone Capital, Worden Capital Management, Spartan Capital Securities, J.H. Darbie & Co., and/or Troy Orlando 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 7, 2022

Andrew Oster formerly with SagePoint Financial

DID ANDREW ELLIS OSTER CAUSE YOU INVESTMENT LOSSES? Andrew Oster Formerly With SagePoint Financial Has 2 Customer Complaints For Alleged Broker Misconduct Who is Andrew Oster formerly with SagePoint Financial? Andrew Oster (CRD #4635272) who was formerly registered with SagePoint Financial and located in Edmond, Oklahoma is a subject of one of our many securities industry sales practice abuse investigations. Andrew Oster Customer Complaints Andrew Oster has been the subject of 2 customer complaints that we know about. One of Andrew Oster’s 2 customer complaints was settled in favor of investors. One of Andrew Oster’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Andrew Oster A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Breach of fiduciary obligation, negligence allegedly by Andrew Oster. Client alleged that Andrew Oster’s sale of variable annuity was not suitable. Andrew Oster Red Flags & Your Rights As An Investor Of course, Andrew Oster 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 Oster at SagePoint Financial on alert to review carefully the activity and performance of their accounts and question whether Andrew Oster has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SagePoint 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 SagePoint Financial Due To Andrew Oster If you have questions about SagePoint Financial and/or Andrew Oster 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 7, 2022

Shu Ouk of LPL Financial

DID SHU CHI LIU OUK CAUSE YOU INVESTMENT LOSSES? Shu Ouk Of LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Shu Ouk of LPL Financial? Shu Ouk (CRD #5533941) who is currently registered with LPL Financial and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations. Shu Ouk Customer Complaint Shu Ouk 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 misappropriation of funds – theft. Shu Ouk’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Shu Ouk Red Flags & Your Rights As An Investor Of course, Shu Ouk 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 Shu Ouk at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Shu Ouk has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial 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 LPL Financial Due To Shu Ouk If you have questions about LPL Financial and/or Shu Ouk 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 7, 2022

Justin Paine of Equity Services

DID JUSTIN PAINE CAUSE YOU INVESTMENT LOSSES? Justin Paine Of Equity Services And Formerly With MML Investors Services And MSI Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Justin Paine of Equity Services? Justin Paine (CRD #4544671) who is currently registered with Equity Services and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Equity Services, Justin Paine was associated with MML Investors Services, MSI Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Justin Paine Customer Complaints Justin Paine has been the subject of 3 customer complaints that we know about. All three of Justin Paine’s customers’ complaints were denied and, to date, the customers have not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Allegations Against Justin Paine 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 he was not informed by Justin Paine of the applicable surrender periods and penalty charges related to the sale of a variable annuity. Customer alleged Justin Paine misrepresented the variable annuity purchased. Customer alleged that when she purchased a variable annuity Justin Paine assured her there would be no penalty fee whenever she withdrew funds. Justin Paine Red Flags & Your Rights As An Investor Of course, Justin Paine 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 Justin Paine at Equity Services, MML Investors Services, and MSI Financial Services on alert to review carefully the activity and performance of their accounts and question whether Justin Paine has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equity Services, MML Investors Services, and MSI 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 Equity Services Due To Justin Paine If you have questions about Equity Services, MML Investors Services, MSI Financial Services, and/or Justin Paine 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 7, 2022

Sumitro Pal formerly with Morgan Stanley

DID SUMITRO PAL CAUSE YOU INVESTMENT LOSSES? Sumitro Pal Formerly With Morgan Stanley Has 10 Customer Complaints For Alleged Broker Misconduct Who is Sumitro Pal formerly with Morgan Stanley? Sumitro Pal (CRD #4763364) who was formerly registered with Morgan Stanley and located in Bethesda, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Sumitro Pal Customer Complaints Sumitro Pal has been the subject of 10 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of Sumitro Pal’s 10 customer complaints were settled in favor of investors. Three of Sumitro Pal’s customers’ complaints were denied and, to date, the customers have not taken any further action. There are currently three pending customer complaints filed against Morgan Stanley for investment losses caused by Sumitro Pal’s alleged misconduct. Allegations Against Sumitro Pal 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 that Sumitro Pal invested his retirement money in high risk corporate bonds including an over-concentration of bonds in the energy sector and also that Mr. Pal misrepresented the losses of his investments. Claimant alleged, inter alia, Sumitro Pal’s misappropriation of funds for an outside investment. Claimant alleged, inter alia, misappropriation of funds for an outside investment by Sumitro Pal. Client alleged, inter alia, that their instructions to only invest in safe bonds were not followed by Sumitro Pal. Client alleged the branch manager failed to supervise his financial advisors, including Sumitro Pal. Client believed that annuity purchased allegedly by Sumitro Pal had a guaranteed minimum income benefit rider, which it did not. Clients’ attorney alleged, inter alia, Sumitro Pal’s misappropriation of funds for an outside investment. Plaintiff alleged, inter alia, unauthorized trading by Sumitro Pal with respect to investments. Sumitro Pal Red Flags & Your Rights As An Investor Of course, Sumitro Pal 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 Sumitro Pal at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Sumitro Pal 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 Sumitro Pal If you have questions about Morgan Stanley and/or Sumitro Pal 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 7, 2022

Michael Parisi of J.P. Morgan Securities

DID MICHAEL PARISI CAUSE YOU INVESTMENT LOSSES? Michael Parisi Of J.P. Morgan Securities And Formerly With TIAA-CREF Individual & Institutional Services Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Parisi of J.P. Morgan Securities? Michael Parisi (CRD #5277136) who is currently registered with J.P. Morgan Securities and located in Ridgewood, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to J.P. Morgan Securities, Michael Parisi was associated with TIAA-CREF Individual & Institutional Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Parisi Customer Complaint Michael Parisi 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 alleged misrepresentation, and suitability regarding managed account investment. Michael Parisi’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Michael Parisi Red Flags & Your Rights As An Investor Of course, Michael Parisi 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 Parisi at J.P. Morgan Securities and TIAA-CREF Individual & Institutional Services on alert to review carefully the activity and performance of their accounts and question whether Michael Parisi has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities and TIAA-CREF Individual & Institutional 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 J.P. Morgan Securities Due To Michael Parisi If you have questions about J.P. Morgan Securities, TIAA-CREF Individual & Institutional Services, and/or Michael Parisi 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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