Jan 28, 2023

James Henneman of Northwestern Mutual Investment Services, LLC

DID JAMES LEROY HENNEMAN CAUSE YOU INVESTMENT LOSSES? James Henneman Of Northwestern Mutual Investment Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is James Henneman of Northwestern Mutual Investment Services, LLC? James Henneman (CRD #2408674) who is currently registered with Northwestern Mutual Investment Services, LLC and located in Naperville, Illinois, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Northwestern Mutual Investment Services, LLC, James Henneman was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Henneman Customer Complaint James Henneman has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were allegations that the rollover of IRA funds to a fixed annuity was not suitable at the time of the sale and failure to disclose restrictions regarding withdrawals and surrender fees. The customer complaint was denied by the brokerage firm and, to date, it appears that the customer has not taken any further action. James Henneman Red Flags & Your Rights As An Investor Of course, James Henneman did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Henneman at Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether James Henneman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment Services, 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 Northwestern Mutual Investment Services, LLC Due To James Henneman If you have questions about Northwestern Mutual Investment Services, LLC and/or James Henneman 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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Jan 28, 2023

James Greene formerly with B. Riley Wealth Management

DID JAMES LEE GREENE CAUSE YOU INVESTMENT LOSSES? James Greene Formerly With B. Riley Wealth Management, National Securities Corporation and First Command Financial Planning, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is James Greene formerly with B. Riley Wealth Management? James Greene (CRD #2974053) who was formerly registered with B. Riley Wealth Management and located in Boca Raton, Florida, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to B. Riley Wealth Management, James Greene was associated with National Securities Corporation and First Command Financial Planning and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Greene Customer Complaints James Greene has been the subject of 3 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled by James Greene’s former employers in favor of the investors. The other customer complaint remains pending against National Securities Corp. Allegations Against James Greene A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Greene Red Flags & Your Rights As An Investor Of course, James Greene did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Greene at B. Riley Wealth Management, National Securities Corporation and First Command Financial Planning on alert to review carefully the activity and performance of their accounts and question whether James Greene has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Wealth Management, National Securities Corporation and First Command Financial 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 B. Riley Wealth Management Due To James Greene If you have questions about B. Riley Wealth Management, National Securities Corporation and First Command Financial Planning and/or James Greene 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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Jan 28, 2023

James Louderbaugh of Oppenheimer & Co. Inc.

DID JAMES KENNETH LOUDERBAUGH CAUSE YOU INVESTMENT LOSSES? James Louderbaugh Of Oppenheimer & Co. Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Louderbaugh of Oppenheimer & Co. Inc.? James Louderbaugh (CRD #1282165) who is currently registered with Oppenheimer & Co. Inc. and located in Springfield, Missouri, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co. Inc., James Louderbaugh was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Louderbaugh Customer Complaints James Louderbaugh has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by Oppenheimer & Co. in favor of the investor. The other customer complaint was denied by the financial advisor’s former employer and the customer took no further action. Allegations Against James Louderbaugh A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Louderbaugh Red Flags & Your Rights As An Investor Of course, James Louderbaugh did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Louderbaugh at Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether James Louderbaugh 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 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 Oppenheimer & Co. Inc. Due To James Louderbaugh If you have questions about Oppenheimer & Co. Inc. and/or James Louderbaugh 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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Jan 28, 2023

James Couture LPL Financial LLC

DID JAMES KENNETH COUTURE CAUSE YOU INVESTMENT LOSSES? James Couture Formerly With LPL Financial LLC Has 5 Customer Complaints For Alleged Broker Misconduct Who is James Couture LPL Financial LLC? James Couture (CRD #4406284) who was formerly registered with LPL Financial LLC and located in Worcester, Massachusetts, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, James Couture was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Couture has had his own share of regulatory problems. In November 2022, the United States SEC initiated and settled a administrative proceeding against him for allegedly misappropriating approximately $2.9 million from approximately 6 investors. In a related matter, FINRA permanently barred James Couture from any further association with any FINRA member firm for failing to cooperate in its investigation of the matter. James Couture Customer Complaints James Couture has been the subject of 5 customer complaints that we know about to recover investment losses. Four of the customer complaints were by LPL Financial settled in favor of the investors for $270,000, $50,000, $2,375,000, and $480,000. The brokerage firm denied the other customer complaint, and, it appears to date no further action has been taken. Allegations Against James Couture A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Couture Red Flags & Your Rights As An Investor Of course, James Couture did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Couture at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether James Couture has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial 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 LPL Financial LLC Due To James Couture If you have questions about LPL Financial LLC and/or James Couture 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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Jan 27, 2023

James Treby of GMS Group

DID JAMES IAN TREBY CAUSE YOU INVESTMENT LOSSES? James Treby Of GMS Group Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Treby of GMS Group? James Treby (CRD #5007419) who is currently registered with GMS Group and located in East Hanover, New Jersey, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to GMS Group, James Treby was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Treby Customer Complaints James Treby has been the subject of 2 customer complaints that we know about to recover investment losses. Both customer complaints were denied by James Treby’s employer, and to date, it appears that the customers have not taken any further action. Allegations Against James Treby A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Treby Red Flags & Your Rights As An Investor Of course, James Treby did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Treby at GMS Group on alert to review carefully the activity and performance of their accounts and question whether James Treby 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 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 GMS Group Due To James Treby If you have questions about GMS Group and/or James Treby 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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Jan 27, 2023

James Lewis of Equitable Advisors, LLC

DID JAMES GERALD LEWIS CAUSE YOU INVESTMENT LOSSES? James Lewis Of Equitable Advisors, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is James Lewis of Equitable Advisors, LLC? James Lewis (CRD #6179013) who is currently registered with Equitable Advisors, LLC and located in Mishawaka, Indiana is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Equitable Advisors, LLC, James Lewis was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Lewis Customer Complaint James Lewis has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for allegedly misrepresenting the sale of fixed annuities that were funded with previously owned variable annuities. The customer complaint was denied by AXA Advisors and it appears no the further action was taken by the customer. James Lewis Red Flags & Your Rights As An Investor Of course, James Lewis did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Lewis at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether James Lewis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, 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 Equitable Advisors, LLC Due To James Lewis If you have questions about Equitable Advisors, LLC and/or James Lewis 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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Jan 27, 2023

James Garner of Raymond James & Associates, Inc.

DID JAMES HYDRICK GARNER CAUSE YOU INVESTMENT LOSSES? James Garner Of Raymond James & Associates, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is James Garner of Raymond James & Associates, Inc.? James Garner (CRD #1497791) who is currently registered with Raymond James & Associates, Inc. and located in Little Rock, Arkansas, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James & Associates, Inc., James Garner was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Garner Customer Complaint James Garner has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that a Lehman Brothers principal protected note was misrepresented. The customer complaint was settled by UBS Financial Services in favor of the investor. James Garner Red Flags & Your Rights As An Investor Of course, James Garner did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Garner at Raymond James & Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether James Garner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates, 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 Raymond James & Associates, Inc. Due To James Garner If you have questions about Raymond James & Associates, Inc. and/or James Garner 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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Jan 27, 2023

James Bowdish of Edward Jones

DID JAMES FREDRIC BOWDISH CAUSE YOU INVESTMENT LOSSES? James Bowdish Of Edward Jones Has 3 Customer Complaints For Alleged Broker Misconduct Who is James Bowdish of Edward Jones? James Bowdish (CRD #3123554) who is currently registered with Edward Jones and located in Raleigh, North Carolina is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Edward Jones, James Bowdish was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Bowdish Customer Complaints James Bowdish has been the subject of 3 customer complaints that we know about to recover investment losses. All 3 customer complaints were denied by James Bowdish’s employer, and it appears to date, at the customers have not taken any further action. Allegations Against James Bowdish A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Bowdish Red Flags & Your Rights As An Investor Of course, James Bowdish did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Bowdish at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether James Bowdish 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 James Bowdish If you have questions about Edward Jones and/or James Bowdish 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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Jan 27, 2023

James Joly of Cantella & Co., Inc.

DID JAMES ERNEST JOLY CAUSE YOU INVESTMENT LOSSES? James Joly Of Cantella & Co., Inc. And Formerly With Cambridge Investment Research, Inc. and Voya Financial Advisors, Inc. Has 5 Customer Complaints For Alleged Broker Misconduct Who is James Joly of Cantella & Co., Inc.? James Joly (CRD #2193463) who is currently registered with Cantella & Co., Inc. and located in Malden, Massachusetts, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cantella & Co., Inc., James Joly was associated with Cambridge Investment Research, Inc., Voya Financial Advisors, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Joly Customer Complaints James Joly has been the subject of 5 customer complaints that we know about to recover investment losses. One customer complaint was settled by LPL financial in favor of the investors. The other for customer complaints were denied by James Joly’s employer, and it appears, to date, that the customers have not taken any further action. Allegations Against James Joly A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Joly Red Flags & Your Rights As An Investor Of course, James Joly did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Joly at Cantella & Co., Inc., Cambridge Investment Research, Inc. and Voya Financial Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether James Joly has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cantella & Co., Inc., Cambridge Investment Research, Inc. and Voya Financial Advisors, 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 Cantella & Co., Inc. Due To James Joly If you have questions about Cantella & Co., Inc., Cambridge Investment Research, Inc., Voya Financial Advisors, Inc. and/or James Joly 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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Jan 26, 2023

James Kelly formerly with Pruco Securities, LLC

DID JAMES E. KELLY CAUSE YOU INVESTMENT LOSSES? James Kelly Formerly With Pruco Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Kelly formerly with Pruco Securities, LLC? James Kelly (CRD #2959343) who was formerly registered with Pruco Securities, LLC and located in Owings Mills, Maryland, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Pruco Securities, LLC, James Kelly was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Kelly has had his own share of regulatory problems. In November 2021 he was suspended by FINRA for allegedly engaging in a commission-sharing agreement with a registered representative of another firm without reflecting it on his member firm’s books and records. James Kelly Customer Complaints James Kelly has been the subject of 2 customer complaints that we know about to recover investment losses. Both customer complaints were denied by James Kelly’s former employer, and, to date, it appears that the customers have not taken any further action. Allegations Against James Kelly A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Kelly Red Flags & Your Rights As An Investor Of course, James Kelly did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Kelly at Pruco Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether James Kelly has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities, 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 Pruco Securities, LLC Due To James Kelly If you have questions about Pruco Securities, LLC and/or James Kelly 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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