Nov 18, 2022

David Treffry of J.P. Morgan Securities LLC

DID DAVID TREFFRY CAUSE YOU INVESTMENT LOSSES? David Treffry Of J.P. Morgan Securities LLC Has A Customer Complaint For Alleged Broker Misconduct Who is David Treffry of J.P. Morgan Securities LLC? David Treffry (CRD #4913438) who is currently registered with J.P. Morgan Securities LLC and located in Laguna Niguel, California is a subject of one of our many securities industry sales practice abuse investigations.   David Treffry Customer Complaint David Treffry 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 misrepresentations related to a mutual fund investment. David Treffry’s customer complaint was denied and, to date, the customer has not taken any further action. David Treffry Red Flags & Your Rights As An Investor Of course, David Treffry 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 David Treffry at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether David Treffry has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 J.P. Morgan Securities LLC Due To David Treffry If you have questions about J.P. Morgan Securities LLC and/or David Treffry 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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Nov 18, 2022

David Phillips formerly with Moloney Securities Co., Inc.

DID DAVID TODD PHILLIPS CAUSE YOU INVESTMENT LOSSES? David Phillips Formerly With Moloney Securities Co., Inc. And Proequities, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is David Phillips formerly with Moloney Securities Co., Inc.? David Phillips (CRD #3094195) who was formerly registered with Moloney Securities Co., Inc. and located in Gilbert, Arizona was suspended by FINRA participating in private securities transactions without prior disclosure to and the approval from his member firm. He is also a subject of one of our many securities industry sales practice abuse investigations.  Prior to Moloney Securities Co., Inc., David Phillips was associated with Proequities, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Phillips Customer Complaints David Phillips has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Both of David Phillips’ customer complaints were settled in favor of investors. Allegations Against David Phillips A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable recommendations related to structured cash flow products Misrepresentation of investment in The Future Income Payments, Inc. David Phillips Red Flags & Your Rights As An Investor Of course, David Phillips 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 David Phillips at Moloney Securities Co., Inc. and Proequities, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Phillips  has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Moloney Securities Co., Inc. and Proequities, 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 Moloney Securities Co., Inc. Due To David Phillips If you have questions about Moloney Securities Co., Inc. and Proequities, Inc. and/or David Phillips 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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Nov 17, 2022

David Hixon formerly with Morgan Stanley

DID DAVID THOMAS HIXON CAUSE YOU INVESTMENT LOSSES? David Hixon Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is David Hixon formerly with Morgan Stanley? David Hixon (CRD #4707468) who was formerly registered with Morgan Stanley and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations.  David Hixon Customer Complaint David Hixon 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 and alleging misrepresentation with respect to an annuity exchange. David Hixon’s customer complaint was settled in favor of the investor. David Hixon Red Flags & Your Rights As An Investor Of course, David Hixon 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 David Hixon at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether David Hixon 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 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 Morgan Stanley Due To David Hixon If you have questions about Morgan Stanley and/or David Hixon 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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Nov 17, 2022

David Peterson of Edward Jones

DID DAVID STEVEN PETERSON CAUSE YOU INVESTMENT LOSSES? David Peterson Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is David Peterson of Edward Jones? David Peterson (CRD #5854571) who is currently registered with Edward Jones and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations.   David Peterson Customer Complaint David Peterson 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 that the financial advisor failed to follow her verbal instructions and failure to disclose it to time adjustment maximum within a 529 plan within one year. David Peterson’s customer complaint was denied and, to date, the customer has not taken any further action. David Peterson Red Flags & Your Rights As An Investor Of course, David Peterson 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 David Peterson at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether David Peterson 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 David Peterson If you have questions about Edward Jones and/or David Peterson 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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Nov 17, 2022

David Shober of Woodbury Financial Services, Inc.

DID DAVID RYAN SHOBER CAUSE YOU INVESTMENT LOSSES? David Shober Of Woodbury Financial Services, Inc. And Formerly With Securities Service Network, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is David Shober of Woodbury Financial Services, Inc.? David Shober (CRD #4501238) who is currently registered with Woodbury Financial Services, Inc. and located in Germantown, Maryland is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Woodbury Financial Services, Inc., David Shober was associated with Securities Service Network, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Shober Customer Complaint David Shober 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 related to a delayed IRA distribution. David Shober’s customer complaint was denied and, to date, the customer has not taken any further action. David Shober Red Flags & Your Rights As An Investor Of course, David Shober 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 David Shober at Woodbury Financial Services, Inc. and Securities Service Network, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Shober has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Woodbury Financial Services, Inc. and Securities Service Network, 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 Woodbury Financial Services, Inc. Due To David Shober If you have questions about Woodbury Financial Services, Inc., Securities Service Network, Inc., and/or David Shober 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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Nov 17, 2022

David Topper of Ameriprise Financial Services, LLC

DID DAVID ROBERT TOPPER CAUSE YOU INVESTMENT LOSSES? David Topper Of Ameriprise Financial Services, LLC And Formerly With Madison Avenue Securities, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is David Topper of Ameriprise Financial Services, LLC? David Topper (CRD #5581608) who is currently registered with Ameriprise Financial Services, LLC and located in Vancouver, Washington is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Ameriprise Financial Services, LLC, David Topper was associated with Madison Avenue Securities, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Topper Customer Complaint David Topper 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 all related to fixed indexed annuities and a delay in the transfer of funds. David Topper’s customer complaint was settled in favor of the investors. David Topper Red Flags & Your Rights As An Investor Of course, David Topper 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 David Topper at Ameriprise Financial Services, LLC and Madison Avenue Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether David Topper has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC and Madison Avenue 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 Ameriprise Financial Services, LLC Due To David Topper If you have questions about Ameriprise Financial Services, LLC, Madison Avenue Securities, LLC and/or David Topper 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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Nov 17, 2022

David Geake of American Trust Investment Services, Inc.

DID DAVID RICHARD GEAKE CAUSE YOU INVESTMENT LOSSES? David Geake Of American Trust Investment Services, Inc. And Formerly With Ausdal Financial Partners, Inc. Has 13 Customer Complaints For Alleged Broker Misconduct Who is David Geake of American Trust Investment Services, Inc.? David Geake (CRD #3088891) who is currently registered with American Trust Investment Services, Inc. and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations.  Prior to American Trust Investment Services, Inc., David Geake was associated with Ausdal Financial Partners, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Geake Customer Complaints David Geake has been the subject of 13 customer complaints that we know about, 7 of those complaints were filed in the last year to recover investment losses. Seven of David Geake’s 13 customer complaints were settled in favor of investors. Four of David Geake’s customer complaints were denied, and, to date, the customers have not taken any further action. There are currently 2 pending customer complaints filed against David Geake’s former employer Madison Avenue Securities, LLC for investment losses caused by the alleged misconduct. Allegations Against David Geake A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable recommendations of multiple alternative investments by 13 different claimants involving real estate investment trusts Unsuitable investments in Unit Investment Trusts and private placement Misconduct related to a private loan and collateralized assets Failure to conduct due diligence, unsuitable investment recommendations, overconcentration of investments, misrepresentations and omissions related to the sale of alternative investments Misrepresentations, breach of fiduciary duty, securities fraud, unsuitable investment recommendations related to annuities, REITs, and business development companies Misrepresentation and suitability issues related to the purchase of REITs David Geake Red Flags & Your Rights As An Investor Of course, David Geake 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 David Geake at American Trust Investment Services, Inc. and Ausdal Financial Partners, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Geake has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Trust Investment Services, Inc. and Ausdal Financial Partners, 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 American Trust Investment Services, Inc. Due To David Geake If you have questions about American Trust Investment Services, Inc., Ausdal Financial Partners, Inc., and/or David Geake 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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Nov 17, 2022

David Provolt of Fidelity Brokerage Services

DID DAVID RAY PROVOLT CAUSE YOU INVESTMENT LOSSES? David Provolt Of Fidelity Brokerage Services LLC Has A Customer Complaint For Alleged Broker Misconduct Who is David Provolt of Fidelity Brokerage Services LLC? David Provolt (CRD #4370566) who is currently registered with Fidelity Brokerage Services LLC and located in Greenwood Village, Colorado is a subject of one of our many securities industry sales practice abuse investigations. David Provolt Customer Complaint David Provolt 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 misrepresentations related to tax liabilities incurred regarding the sales of certain securities. David Provolt’s customer complaint was settled in favor of the investor. David Provolt Red Flags & Your Rights As An Investor Of course, David Provolt 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 David Provolt at Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether David Provolt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage 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 Fidelity Brokerage Services LLC Due To David Provolt If you have questions about Fidelity Brokerage Services LLC and/or David Provolt 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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Nov 16, 2022

David Brandt of Oppenheimer & Co., Inc.

DID DAVID PHILLIP BRANDT CAUSE YOU INVESTMENT LOSSES? David Brandt Of Oppenheimer & Co., Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Who is David Brandt of Oppenheimer & Co., Inc.? David Brandt (CRD #28908) who is currently registered with Oppenheimer & Co., Inc. and located in St. Louis, Missouri is a subject of one of our many securities industry sales practice abuse investigations. David Brandt Customer Complaints David Brandt has been the subject of 4 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. All 4 of David Brandt’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against David Brandt 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 risks related to variable annuity investment Improper solicitation of a high risk investment involving a Master Limited partnership Unauthorized sale of securities from an account Unsuitable recommendation David Brandt Red Flags & Your Rights As An Investor Of course, David Brandt 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 David Brandt at Oppenheimer & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether David Brandt 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 David Brandt If you have questions about Oppenheimer & Co., Inc. and/or David Brandt 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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Nov 16, 2022

David Nadeau of Edward Jones

DID DAVID PATRICK NADEAU CAUSE YOU INVESTMENT LOSSES? David Nadeau Of Edward Jones And Formerly With MML Investors Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is David Nadeau of Edward Jones? David Nadeau (CRD #6060806) who is currently registered with Edward Jones and located in Shreveport, Louisiana is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Edward Jones, David Nadeau was associated with MML Investors Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Nadeau Customer Complaint David Nadeau 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 various and all related to an Apple stock investment. The customer complaint filed against David Nadeau’s current employer Edward Jones for investment losses caused by the alleged misconduct is pending as of the date of this report. David Nadeau Red Flags & Your Rights As An Investor Of course, David Nadeau 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 David Nadeau at Edward Jones and MML Investors Services, LLC on alert to review carefully the activity and performance of their accounts and question whether David Nadeau has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones and MML Investors 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 Edward Jones Due To David Nadeau If you have questions about Edward Jones, MML Investors Services, LLC, and/or David Nadeau 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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