Mar 4, 2022

David Melilli of Cambridge Investment Research, Inc

DID DAVID JOHN MELILLI CAUSE YOU INVESTMENT LOSSES? David John Melilli formerly with Cambridge Investment Research, Inc. and SagePoint Financial, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is David J. Melilli formerly with Cambridge Investment Research, Inc.? David Melilli (CRD #5254172) who was formerly registered with Cambridge Investment Research, Inc. and located in Moorestown, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cambridge Investment Research, Inc., David Melilli was associated with SagePoint Financial, Inc. and LPL Financial LLC and four other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. In January 2020, David Melilli was terminated by Cambridge Investment Research, Inc. for allegedly placing discretionary trades without the written authority. Such conduct, if it occurred, is a violation of FINRA Rule 2510.  David Melilli claims he completed the incorrect paperwork for a non-discretionary commission account instead of a discretionary managed account but it appears as employee did not believe as he was discharged from employment at that firm. SagePoint Financial, Inc. Broker Misconduct In his career, David Melilli has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. One of those complaints was recently denied by his former employer, and to date customer has not taken any further action. There are currently two pending customer complaints filed against David Melilli’s former employer, SagePoint Financial, Inc., for investment losses caused by his alleged misconduct. Allegations Against David Melilli A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client’s alleged unauthorized trading involving options. Claimants alleged unauthorized trading, breach of fiduciary duty, unsuitability, churning, negligence, common law fraud, and violation of the federal securities laws. David Melilli Red Flags & Your Rights As An Investor Of course, David Melilli 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 Melilli at Cambridge Investment Research, Inc., SagePoint Financial, Inc. and LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether David Melilli has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SagePoint Financial, Inc. about David Melilli also raises questions about its 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 Cambridge Investment Research, Inc. and SagePoint Financial, Inc. If you have questions about Cambridge Investment Research, Inc., Sagepoint Financial, Inc., LPL Financial LLC and/or David Melilli 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 4, 2022

Matthew Perry of Stifel, Nicolaus & Company, Inc

DID MATTHEW ALEXANDER PERRY CAUSE YOU INVESTMENT LOSSES? Matthew Alexander Perry formerly with Stifel, Nicolaus & Company, Incorporated Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Matthew A. Perry formerly with Stifel, Nicolaus & Company, Incorporated? Matthew Perry (CRD #5985300) who was formerly registered with Stifel, Nicolaus & Company, Incorporated and located in Columbia, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel, Nicolaus & Company, Incorporated, Matthew Perry was associated with Wells Fargo Advisors, LLC both are investment brokerage firms with a history of customer complaints and securities industry regulatory problems. Stifel, Nicolaus & Company, Incorporated Broker Misconduct In his career, Matthew Perry has been the subject of 3customer complaints that we know about, all of those complaints were filed in the last two years to recover investment losses. All of Matthew Perry’s 3 customer complaints were settled in favor of investors. Allegations Against Matthew Perry A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged that the registered representative made unauthorized and unsuitable transactions in common and preferred stocks and options. Client alleged the transactions in July and August 2018 were not authorized. Customer alleged that the registered representative did not follow his stated goals and did not disclose the risk associated with options trading. Matthew Perry Red Flags & Your Rights As An Investor Of course, Matthew Perry 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 Perry at Stifel, Nicolaus & Company, Incorporated and Wells Fargo Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Matthew Perry has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company, Incorporated in such a short period also raises questions about 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 Stifel, Nicolaus & Company, Incorporated If you have questions about Stifel, Nicolaus & Company, Incorporated, Wells Fargo Advisors, LLC and/or Matthew Perry 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 4, 2022

Eric Weschke of Kalos Capital, Inc

DID ERIC PETER WESCHKE CAUSE YOU INVESTMENT LOSSES? Eric Peter Weschke with Kalos Capital, Inc. Has 16 of Customer Complaints For Alleged Broker Misconduct Who is Eric P. Weschke with Kalos Capital, Inc.? Eric Weschke (CRD #2486324) who is currently registered with Kalos Capital, Inc. and located in Setauket, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kalos Capital, Inc., Eric Weschke was associated with 6other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Not only did Eric Weschke’s former employers have problems with the regulators, but so did he in Ohio and Virginia. The Ohio division of securities found him to be “not of good business repute” and denied him a securities salesperson license in that state. Likewise, the State of Virginia, based upon Eric Weschke’s disciplinary history, required his employer and he too agreed to a heightened supervision program where his activities were specially monitored for a 12 month period. Kalos Capital, Inc. Broker Misconduct In his career, Eric Weschke has been the subject of 16 customer complaints that we know about, 3 of those complaints were filed in the last two years to recover investment losses. Twelve of Eric Weschke’s 16 customer complaints were settled in favor of investors. Two of the customer complaints were denied by his former employer and the customers took no further action. There are currently the 2 pending customer complaints filed against Eric Weschke’s current employer Kalos Capital, Inc. for investment losses caused by his alleged misconduct. Allegations Against Eric Weschke A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: In February 2019, the financial advisor allegedly recommended investments in GPB Capital Holding sponsored private placements which client alleged was in breach of the financial advisors fiduciary duty and a breach of contract. Client alleged unsuitable investment recommendations and breach of fiduciary duty related to investments in real estate, private debt in business development companies. Claimant alleged, fraud, deceit, negligence, breach of fiduciary duty, breach of contract, misrepresentation, unsuitability, and churning related to various securities transactions. Client alleged the unauthorized use of margin in his account. Claimants alleged anti-fraud violation and unsuitable recommendations relating to use of margin purchase securities in their accounts. Eric Weschke Red Flags & Your Rights As An Investor Of course, Eric Weschke did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Eric Weschke at Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether Eric Weschke has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kalos Capital, Inc. about Eric Weschke also raises questions about its 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 Kalos Capital, Inc. If you have questions about Kalos Capital, Inc. and/or Eric Weschke 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 4, 2022

John Wyshak of Raymond James & Associates, Inc

DID JOHN CHARLES WYSHAK CAUSE YOU INVESTMENT LOSSES? John Charles Wyshak formerly with Raymond James & Associates, Inc. Has 4  Customer Complaints For Alleged Broker Misconduct Who is John C. Wyshak formerly with Raymond James & Associates, Inc.? John Wyshak (CRD #1272260) who was formerly registered with Raymond James & Associates, Inc. and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James & Associates, Inc., John Wyshak was associated with Wedbush Securities Inc. and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Wyshak has had his share problems with FINRA as well. In January 2020, he was suspended by FINRA for failing to comply with an arbitration settlement and/or failing to satisfactorily respond to FINRAs request for information concerning payment of that settlement. That sanction was later increased to a permanent bar in April 2020. John Wyshak is now prohibited from working with any FINRA member firm in any capacity. Raymond James & Associates, Inc. Broker Misconduct In his career, John Wyshak has been the subject of 4 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. Two of John Wyshak’s 4 customer complaints were settled in favor of investors. One of those 4 complaints was denied by his former employer and a customer is not taken any action since that time There is currently one pending customer complaint remaining against John Wyshak’s former employer Wedbush Securities, Inc. for investment losses caused by his alleged misconduct. Allegations Against John Wyshak A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: A Raymond James & Associates, Inc. customer alleged that John Wyshak over-concentrated investments in its account in breach of his fiduciary duties and that further he committed fraud, conversion, churning, violated industry rules and fraudulently concealed his misconduct.  Raymond James took that complaint seriously and settled it for $700,000. At Gruntal and Co., LLC.  the client alleged that John Wyshak engaged in excessive trading in his account. Another Raymond James and Associates, Inc. client alleged John Wyshak engaged in unauthorized trading, suitability, excessive commissions, violation of industry standards and rules of conduct. The firm recently denied that complaint and the customers yet to take action. John Wyshak Red Flags & Your Rights As An Investor Of course, John Wyshak did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of John Wyshak at Raymond James & Associates, Inc. and Wedbush Securities Inc. on alert to review carefully the activity and performance of their accounts and question whether John Wyshak has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates, Inc. and Wedbush Securities Inc. about John Wyshak also raises questions about their 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. If you have questions about Raymond James & Associates, Inc., Wedbush Securities Inc. and/or John Wyshak 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 4, 2022

John Bankhead of Morgan Stanley

DID JOHN MATTHEW BANKHEAD CAUSE YOU INVESTMENT LOSSES? John Matthew Bankhead with Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is John M. Bankhead with Morgan Stanley? John Bankhead (CRD #2129638) who is currently registered with Morgan Stanley and located in Boston, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, John Bankhead was associated with UBS Financial Services Inc. and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his career, John Bankhead has been the subject of 5 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Three of John Bankhead’s 5 customer complaints were settled in favor of investors. Two customer complaints were denied by his former employer and the customers took no further action. Allegations Against John Bankhead A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Three clients alleged that the financial advisor omitted disclosures on their 10b5-1 plans. UBS Financial Services, Inc., settled those cases for $127,346; $204,081; and $65,571. Financial advisor contends he did nothing wrong and that the trading desk was responsible for the errors.  The client alleged a financial advisor placement and unsuitable annuity investment. Client alleged financial consultant failed to follow instructions with regard to investment allocation. John Bankhead Red Flags & Your Rights As An Investor Of course, John Bankhead did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of John Bankhead at Morgan Stanley and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether John Bankhead has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about John Bankhead at UBS Financial Services Inc. also raises questions about their 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 If you have questions about Morgan Stanley, UBS Financial Services Inc. and/or John Bankhead 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 4, 2022

Darrin Farrow of Triad Advisors, Inc

DID DARRIN BARTON FARROW CAUSE YOU INVESTMENT LOSSES? Darrin Barton Farrow formerly with Royal Alliance Associates Has 3 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Darrin B. Farrow formerly with Triad Advisors, Inc.? Darrin Farrow (CRD #1995240) who was formerly registered with Triad Advisors, Inc. and located in Rocky River, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Triad Advisors, Inc., Darrin Farrow was associated with Royal Alliance Associates, Inc. and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Darrin Farrow is no longer employed in the securities industry. In June 2016, he consented, without admitting or denying, the findings of FINRA that he founded an entity providing consulting services to the cannabis industry, that he also formed a company that grows and supplies cannabis to dispensaries. FINRA’s dispute with Darrin Farrow arose out of his failure to disclose and get approval of private securities transactions with firm customers who invested over $1 million in the companies he formed. The undisclosed participation in private securities transactions violated the FINRA Rules 3270 and 2010. As a result of these rule violations, Darrin Farrow is permanently barred from association with any FINRA member firm in any capacity. He is also subject to a cease and State of Ohio Royal Alliance Associates Broker Misconduct In his career, Darrin Farrow has been the subject of 6 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. All those complaints arose in connection with his employment at Royal Alliance Associates. Two of Darrin Farrow’s 6 customer complaints were settled in favor of investors. There are currently 3 pending customer complaints filed against Darrin Farrow’s former employer, Royal Alliance Associates for investment losses caused by his alleged misconduct. Allegations Against Darrin Farrow A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Sale of the product that was not approved by Royal Alliance Associates. Claimant alleged that an annuity recommendation made by financial advisor was not suitable. The customer alleged misrepresentation regard to non-traded REIT investments. Darrin Farrow Red Flags & Your Rights As An Investor Of course, Darrin Farrow 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 Darrin Farrow at Triad Advisors, Inc. and Royal Alliance Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Darrin Farrow has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about Darrin Farrow at Royal Alliance Associates, Inc. also raises questions about 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. If you have questions about Triad Advisors, Inc. and Royal Alliance Associates, Inc. and/or Darrin Farrow 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 4, 2022

Steven Jennings of National Securities Corporation

DID STEVEN ANDREW JENNINGS CAUSE YOU INVESTMENT LOSSES? Steven Andrew Jennings with National Securities Corporation Has 3 Customer Complaints for Alleged Broker Misconduct In the Past Year Who is Steven A. Jennings with National Securities Corporation? Steven Jennings (CRD #2472408) who is currently registered with National Securities Corporation and located in Jersey City, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to National Securities Corporation, Steven Jennings has associated with4other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. National Securities Corporation Broker Misconduct In his career, Steven Jennings has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. All 3 customer complaints filed against Steven Jennings’ current employer National Securities Corporation for investment losses caused by his alleged misconduct are currently pending. Allegations Against Steven Jennings The allegations made in the FINRA report about the pending complaints about investment losses are simply suitability related to real estate and private placement investments. Suitability claims can be based upon the stockbroker or investment advisors fiduciary duty, duty to use reasonable care, or FINRA Rule 2111 which states: (a) A member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer’s investment profile.  A customer’s investment profile includes, but is not limited to, the customer’s age, other investments, financial situation and needs, tax status, investment objectives, investment experience, investment time horizon, liquidity needs, risk tolerance, and any other information the customer may disclose to the member or associated person in connection with such recommendation. Steven Jennings Red Flags & Your Rights as An Investor Of course, Steven Jennings 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 Steven Jennings at National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Steven Jennings has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at National Securities Corporation about Steven Jennings also raises questions about its 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 National Securities Corporation If you have questions about National Securities Corporation and/or Steven Jennings 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 4, 2022

Robert Kasten of Securities America, Inc

DID ROBERT WILLIAM KASTEN CAUSE YOU INVESTMENT LOSSES? Robert William Kasten with Securities America, Inc., Formerly First Allied Securities, Inc. Has 3 Customer Complaints for Alleged Broker Misconduct In the Past Year Who is Robert W. Kasten with Securities America, Inc.? Robert Kasten (CRD #1009160) who is currently registered with Securities America, Inc. and located in League City, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securities America, Inc., Robert Kasten was associated with First Allied Securities, Inc. and 12 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. First Allied Securities, Inc. Broker Misconduct In his career, Robert Kasten has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. All of the complaints filed against Robert Kasten’s former employer First Allied Securities, Inc. for investment losses caused by his alleged misconduct are currently pending. Allegations Against Robert Kasten A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege the financial advisor improperly solicited an investment in an unapproved outside securities transaction.  The product type is identified as a direct investment DPP & LP interests. The claimant alleges her financial advisors improperly solicited an investment in an unapproved outside securities transaction that was unsuitable, fraudulent, and in breach of the financial advisor’s fiduciary duty. Robert Kasten Red Flags & Your Rights as An Investor Of course, Robert Kasten did not admit to any of the allegations.  In fact, he claims were not even an advisor with respect to one of the complaints.  Notwithstanding, his former employer reported the complaint as against him. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Robert Kasten at Securities America, Inc. and First Allied Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Robert Kasten has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Allied Securities, Inc. also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses At Securities America, Inc. And First Allied Securities, Inc. If you have questions about Securities America, Inc., First Allied Securities, Inc., and/or Robert Kasten 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 4, 2022

Ken Balser of Cetera Advisors, LLC

DID KEN ALAN BALSER CAUSE YOU INVESTMENT LOSSES? Ken Alan Balser formerly with Cetera Advisors, LLC Has 4 Customer Complaints for Alleged Broker Misconduct in the Past 3 Years Who is Ken A. Balser formerly with Cetera Advisors, LLC? Ken Balser (CRD #704053) who was formerly registered with Cetera Advisors, LLC and located in Colorado Springs, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors, LLC, Ken Balser was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ken Balser has had his share of regulatory problems as well.  In fact, his license has been revoked by the Colorado Division of Securities and he consented to a FINRA permanent bar from association with any member firm in any capacity.  Both regulatory actions arose out of an alleged undisclosed and unapproved investment solicitation by Ken Balzer that no less than 17 of his clients invest in Tesoro Del Alma, an alleged gold mine investment. When FINRA requested his testimony in connection with its investigation, he refused to appear and testify, another FINRA Rule 8210 violation which warranted, the permanent bar by itself. Undoubtedly, the regulatory investigations triggered the termination of his employment at Cetera Advisors, LLC.  The alleged recommendations that his clients invest in the gold mine would not only be a violation of FINRA Rules but firm policies and procedures as well. Cetera Advisors, LLC Broker Misconduct In his career, Ken Balser has been the subject of 4 customer complaints that we know about, 1 of those complaints were filed in the last year to recover investment losses. All of Ken Balser’s customer complaints were settled in favor of investors. Allegations Against Ken Balser A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer’s alleged violations of federal and Pennsylvania securities laws, Pennsylvania Unfair Trade Practices Act, violation of Colorado Securities and Consumer Protection Acts, breach of contract, common law fraud, breach of fiduciary duty, and gross negligence related to an investment in a gold mine. The customer alleged violation of federal and Colorado securities laws, breach of contract, common law fraud, breach of fiduciary duty, negligence, and gross negligence related to a private placement, investment. Claimants alleged violations of federal, Colorado, and South Carolina securities laws, breach of contract, common law fraud, breach of fiduciary duty, negligence, and gross negligence related to a gold mine investment. The client alleged unsuitable investment recommendations in violation of the Wyoming and Colorado securities laws, breach of contract, breach of fiduciary duty, common law fraud, and negligence related to a private placement investment. Ken Balser Red Flags & Your Rights as An Investor Of course, Ken Balser 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 Ken Balser at Cetera Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Ken Balser has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Cetera Advisors, LLC also raises questions about 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 Cetera Advisors, LLC If you have questions about Cetera Advisors, LLC and/or Ken Balser 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 4, 2022

Jason Dworak of UBS Financial Services, Inc

DID JASON MATTHEW DWORAK CAUSE YOU INVESTMENT LOSSES? Jason Matthew Dworak with UBS Financial Services, Inc. Has 3 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Jason M. Dworak with UBS Financial Services, Inc.? Jason Dworak (CRD #2434370) who is currently registered with UBS Financial Services, Inc. and located in Lincoln, Nebraska is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Inc., Jason Dworak was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services, Inc. Broker Misconduct In his career, Jason Dworakhas been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. It appears that all 3 of the most recent complaints relate to the UBS Financial Services, Inc. Yield Enhancement Strategy otherwise known as the UBS-YES strategy.  The 4th complaint was denied by his former employer and the customer did not pursue any legal action. The 3 customer complaints filed against Jason Dworak’s current employer UBS Financial Services, Inc. for investment losses caused by his alleged misconduct are currently pending. Allegations Against Jason Dworak A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleges the financial advisor churned his account. Three claimants in separate arbitrations have alleged unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy in a wrap fee account. Jason Dworak Red Flags & Your Rights as An Investor Of course, Jason Dworak 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 that should put all current and former customers of Jason Dworakat UBS Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jason Dworakhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services, Inc. also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses At UBS Financial Services, Inc. If you have questions about UBS Financial, Services, Inc. and/or Jason Dworakand 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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