Dec 5, 2022

Donald Wells of Titan Securities

DID DONALD LEE WELLS CAUSE YOU INVESTMENT LOSSES? Donald Wells Of Titan Securities Has 3 Customer Complaints For Alleged Broker Misconduct Who is Donald Wells of Titan Securities? Donald Wells (CRD #1217316) who is currently registered with Titan Securities and located in Addison, Texas is a subject of one of our many securities industry sales practice abuse investigations.   Donald Wells Customer Complaints Donald Wells has been the subject of 3 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Donald Wells’ 3 customer complaints was settled in favor of investor. One of Donald Wells’ customer complaints was denied and, to date, the customer has not taken any further action. There is currently 1 pending customer complaint filed against Donald Wells’ current employer Titan Securities for investment losses caused by the alleged misconduct. Allegations Against Donald Lee Wells A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Sale of unsuitable securities involving REITs in violation of the Federal securities laws and Washington State Uniform Securities Act. Misrepresentation of cost associated with a variable universal life insurance policy. Recommendation of unsuitable alternative investments. Donald Wells Red Flags & Your Rights As An Investor Of course, Donald Wells 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 Donald Wells at Titan Securities on alert to review carefully the activity and performance of their accounts and question whether Donald Wells has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Titan 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 Titan Securities Due To Donald Wells If you have questions about Titan Securities and/or Donald Wells 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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Dec 5, 2022

Donald Smith formerly with Provident Private Capital Partners, Inc.

DID DONALD LEE SMITH CAUSE YOU INVESTMENT LOSSES? Donald Smith Formerly With Provident Private Capital Partners, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Donald Smith formerly with Provident Private Capital Partners, Inc.? Donald Smith (CRD # 1134141) who was formerly registered with Provident Private Capital Partners, Inc. and located in Erie, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.   Donald Smith Customer Complaint Donald Smith has been the subject of at least one customer complaint that we know about, which was filed to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Apple law, negligence, fraud, violation of FINRA rules and the Pennsylvania Securities Act. The customer complaint filed against Donald Smith’s former employer Provident Private Capital Partners, Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Donald Smith Red Flags & Your Rights As An Investor Of course, Donald Smith 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 Donald Smith at Provident Private Capital Partners, Inc. on alert to review carefully the activity and performance of their accounts and question whether Donald Smith has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Provident Private Capital Partners, 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 Provident Private Capital Partners, Inc. Due To Donald Smith If you have questions about Provident Private Capital Partners, Inc. and/or Donald Smith 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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Dec 5, 2022

Donald Fowler formerly with Worden Capital Management LLC

DID DONALD JOSEPH FOWLER CAUSE YOU INVESTMENT LOSSES? Donald Fowler Formerly With Worden Capital Management LLC Has 15 Customer Complaints For Alleged Broker Misconduct Who is Donald Fowler formerly with Worden Capital Management LLC? Donald Fowler (CRD #4989632) who was formerly registered with Worden Capital Management LLC and located in Rockville Centre, New York has been the subject of a FINRA investigation and a subject of one of our many securities industry sales practice abuse investigations.  Donald Fowler has been permanently barred by FINRA from any further association with any member firm in any capacity. Further, he was found liable for violations of the federal securities laws an action brought by the SEC for churning client’s accounts. In addition, there is another pending SEC investigation for alleged churning of multiple client’s accounts. Donald Fowler Customer Complaints Donald Fowler has been the subject of 15 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Twelve of Donald Fowler’s 15 customer complaints were settled in favor of investors.  One of Donald Fowler’s customer complaints was denied and, to date, the customer has not taken any further action. There are currently 2 pending customer complaints filed against Donald Fowler’s former employer Worden Capital Management LLC for investment losses caused by the alleged misconduct. Allegations Against Donald Fowler 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 duty, negligence, fraud, breach of contract, violation of the Georgia uniform securities act related to equipment leasing investments. Fraud, negligent misrepresentation, breach of fiduciary duty related to the trading of over-the-counter stocks. Violation of the federal securities laws for churning. Churning, unsuitability, and breach of fiduciary duty. Breach of fiduciary duty, negligence, violations of the Ohio Securities Act connection with the trading of common and preferred stocks. Unsuitable recommendations of highly speculative and risky investments. Churning, negligence, unsuitable investment recommendations, and overconcentration of investments. Violation of the Ohio Securities Act related to the trading the stocks and options. Purchasing and selling securities on margin which were not consistent with the client’s risk tolerance. Breach of fiduciary duty, negligence, misrepresentation and churning of a client’s account. Unsuitability and improper use of margin customer’s account. Unauthorized trading of short-term Apple call options. Donald Fowler Red Flags & Your Rights As An Investor Of course, Donald Fowler 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 Donald Fowler at Worden Capital Management LLC on alert to review carefully the activity and performance of their accounts and question whether Donald Fowler has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Worden Capital Management LLC 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 Worden Capital Management LLC Due To Donald Fowler If you have questions about Worden Capital Management LLC and/or Donald Fowler 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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Dec 5, 2022

Donald Ostrick of Merrill Lynch, Pierce, Fenner & Smith Incorporated

DID DONALD JAY OSTRICK CAUSE YOU INVESTMENT LOSSES? Donald Ostrick Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has A Customer Complaint For Alleged Broker Misconduct Who is Donald Ostrick of Merrill Lynch, Pierce, Fenner & Smith Incorporated? Donald Ostrick (CRD # 1078166) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Jericho, New York is a subject of one of FINRA’s investigations and our many securities industry sales practice abuse investigations. Donald Ostrick Customer Complaint Donald Ostrick has been the subject of at least one customer complaint that we know about, which was filed to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unsuitable investment recommendations of closed-end funds. Donald Ostrick’s customer complaint was settled in favor of the investor.   Donald Ostrick Red Flags & Your Rights As An Investor Of course, Donald Ostrick 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 Donald Ostrick at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Donald Ostrick 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 Incorporated 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 Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Donald Ostrick If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Donald Ostrick 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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Dec 2, 2022

Donald Grant of Kestra Investment Services, LLC

DID DONALD GRANT CAUSE YOU INVESTMENT LOSSES? Donald Grant Of Kestra Investment Services, LLC And Formerly With Carey, Thomas, Hoover & Breault Has A Customer Complaint For Alleged Broker Misconduct Who is Donald Grant of Kestra Investment Services, LLC? Donald Grant (CRD #4505447) who is currently registered with Kestra Investment Services, LLC and located in Wichita, Kansas is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Kestra Investment Services, LLC, Donald Grant was associated with Carey, Thomas, Hoover & Breault and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Donald Grant Customer Complaint Donald Grant has been the subject of at least one customer complaint that we know about, which was filed to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were misrepresentation of risks associated with a non-traded REIT investment. Donald Grant’s customer complaint was settled in favor of the investor. Donald Grant Red Flags & Your Rights As An Investor Of course, Donald Grant 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 Donald Grant at Kestra Investment Services, LLC and Carey, Thomas, Hoover & Breault on alert to review carefully the activity and performance of their accounts and question whether Donald Grant has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kestra Investment Services, LLC and Carey, Thomas, Hoover & Breault also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Kestra Investment Services, LLC Due To Donald Grant If you have questions about Kestra Investment Services, LLC, Carey, Thomas, Hoover & Breault, and/or Donald Grant 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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Dec 2, 2022

Donald Nestler formerly with Infinex Investments, Inc.

DID DONALD CLIFFORD NESTLER CAUSE YOU INVESTMENT LOSSES? Donald Nestler Formerly With Infinex Investments, Inc., Santander Securities LLC, And J.P. Morgan Securities LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Donald Nestler formerly with Infinex Investments, Inc.? Donald Nestler (CRD #5122742) who was formerly registered with Infinex Investments, Inc. and located in Brooklyn, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Infinex Investments, Inc., Donald Nestler was associated with Santander Securities LLC, J.P. Morgan Securities LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Donald Nestler Customer Complaint Donald Nestler has been the subject of at least one customer complaint that we know about, which was filed to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were misrepresentations and unsuitable investment recommendations. The customer complaint filed against Donald Nestler’s former employer Spartan Capital Securities, LLC for investment losses caused by the alleged misconduct is pending as of the date of this report. Donald Nestler Red Flags & Your Rights As An Investor Of course, Donald Nestler 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 Donald Nestler at Infinex Investments, Inc., Santander Securities LLC, and J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Donald Nestler has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Infinex Investments, Inc., Santander Securities LLC, and J.P. Morgan 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 Infinex Investments, Inc. Due To Donald Nestler If you have questions about Infinex Investments, Inc., Santander Securities LLC, J.P. Morgan Securities LLC, and/or Donald Nestler 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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Dec 2, 2022

Donald Quante formerly with Center Street Securities, Inc.

DID DONALD ANTON QUANTE CAUSE YOU INVESTMENT LOSSES? Donald Quante Formerly With Center Street Securities, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Donald Quante formerly with Center Street Securities, Inc.? Donald Quante (CRD #1258804) who was formerly registered with Center Street Securities, Inc. and located in St. Peters, Missouri is a subject of one of our many securities industry sales practice abuse investigations.   Donald Quante Customer Complaint Donald Quante 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 financial advisor failed to properly structure and effect assignment of the variable annuity. The customer complaint filed against Donald Quante’s former employer GWN Securities Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Donald Quante Red Flags & Your Rights As An Investor Of course, Donald Quante 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 Donald Quante at Center Street Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Donald Quante has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Center Street 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 Center Street Securities, Inc. Due To Donald Quante If you have questions about Center Street Securities, Inc. and/or Donald Quante 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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Dec 2, 2022

Donald Joyal of Royal Alliance Associates, Inc.

DID DONALD ALDE JOYAL CAUSE YOU INVESTMENT LOSSES? Donald Joyal Of Royal Alliance Associates, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Donald Joyal of Royal Alliance Associates, Inc.? Donald Joyal (CRD #2397903) who is currently registered with Royal Alliance Associates, Inc. and located in Plymouth, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations.   Donald Joyal Customer Complaints Donald Joyal has been the subject of 3 customer complaints that we know about, which were filed to recover investment losses. One of Donald Joyal’s 3 customer complaints was settled in favor of investor. Two of Donald Joyal’s customer complaints were denied and, to date, the customers have not taken any further action.  Allegations Against Donald Joyal A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Failure to disclose mutual fund share expenses. Customer alleged he did not request changes to subaccount at allocation and variable annuities and that the reallocation was unsuitable for him. Unsuitable recommendation of variable annuity. Donald Joyal Red Flags & Your Rights As An Investor Of course, Donald Joyal 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 Donald Joyal at Royal Alliance Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Donald Joyal has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates, 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 Royal Alliance Associates, Inc. Due To Donald Joyal If you have questions about Royal Alliance Associates, Inc. and/or Donald Joyal 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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Dec 2, 2022

Don Rudolph formerly with LPL Financial LLC

DID DOMINICK M. GRECO CAUSE YOU INVESTMENT LOSSES? Dominick Greco Formerly With LPL Financial LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Don Rudolph formerly with LPL Financial LLC? Don Rudolph (CRD #1743602) who was formerly registered with LPL Financial LLC and located in Chapel Hill, North Carolina, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, Don Rudolph was associated with INVEST Financial Corporation and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Don Rudolph Customer Complaints Don Rudolph has been the subject of 2 customer complaints that we know about, which were filed to recover investment losses.  One of Don Rudolph’s 2 customer complaints was settled in favor of investors. There is currently 1 pending customer complaint filed against Don Rudolph’s former employer Founders Financial Alliance for investment losses caused by the alleged misconduct. Allegations Against Don Rudolph A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendations of business development companies and REIT. Misrepresentation of advisory fees. Don Rudolph Red Flags & Your Rights As An Investor Of course, Don Rudolph 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 Don Rudolph at LPL Financial LLC and INVEST Financial Corporationon alert to review carefully the activity and performance of their accounts and question whether Don Rudolph has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and INVEST Financial Corporation 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 Don Rudolph If you have questions about LPL Financial LLC, INVEST Financial Corporation and/or Don Rudolph 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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Dec 2, 2022

Don Henry formerly with TIAA-CREF Individual & Institutional Services, LLC

DID DON HOUSTON HENRY II CAUSE YOU INVESTMENT LOSSES? Don Henry Formerly With TIAA-CREF Individual & Institutional Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Don Henry formerly with TIAA-CREF Individual & Institutional Services, LLC? Don Henry (CRD #3009989) who was formerly registered with TIAA-CREF Individual & Institutional Services, LLC and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations.   Don Henry Customer Complaint Don Henry has been the subject of at least one customer complaint that we know about, which was filed to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were misrepresentations in connection with an annuity application and substitution of terms into the annuity documentation which materially varied from the representations made to a client. Don Henry’s customer complaint was settled in favor of the investor. Don Henry Red Flags & Your Rights As An Investor Of course, Don Henry 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 Don Henry at TIAA-CREF Individual & Institutional Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Don Henry has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TIAA-CREF Individual & Institutional 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 TIAA-CREF Individual & Institutional Services, LLC Due To Don Henry If you have questions about TIAA-CREF Individual & Institutional Services, LLC and/or Don Henry 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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