Nov 4, 2022

David Adamson of Vanguard Marketing Corporation

DID DAVID BRADLEY ADAMSON CAUSE YOU INVESTMENT LOSSES? David Adamson Of Vanguard Marketing Corporation Has A Customer Complaint For Alleged Broker Misconduct Who is David Adamson of Vanguard Marketing Corporation? David Adamson(CRD #6199278) who is currently registered with Vanguard Marketing Corporation and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations.   David Adamson Customer Complaint David Adamson 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 David Adamson failed to act in customer’s best interest related to recommendation the client open an account with Vanguard Advisory Services. David Adamson’s customer complaint was settled in favor of the investors. David Adamson Red Flags & Your Rights As An Investor Of course, David Adamson 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 Adamson at Vanguard Marketing Corporation on alert to review carefully the activity and performance of their accounts and question whether David Adamson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vanguard Marketing Corporation 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 Vanguard Marketing Corporation Due To David Adamson If you have questions about Vanguard Marketing Corporation and/or David Adamson 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 4, 2022

David Hollenberg of RBC Capital Markets LLC

DID DAVID BENJAMIN HOLLENBERG CAUSE YOU INVESTMENT LOSSES? David Hollenberg Of RBC Capital Markets LLC And Formerly With Merrill Lynch Pierce Fenner & Smith Incorporated Has A Customer Complaint For Alleged Broker Misconduct Who is David Hollenberg of RBC Capital Markets LLC? David Hollenberg (CRD #2580081) who is currently registered with RBC Capital Markets LLC and located in Florham Park, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.  Prior to RBC Capital Markets LLC, David Hollenberg was associated with Merrill Lynch Pierce Fenner & Smith Incorporated and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Hollenberg Customer Complaint David Hollenberg 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 client realized taxable gains when he was assured there would be none. The claim was settled for $699,000. David Hollenberg’s customer complaint was settled in favor of the investors. David Hollenberg Red Flags & Your Rights As An Investor Of course, David Hollenberg 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 Hollenberg at RBC Capital Markets LLC and Merrill Lynch Pierce Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether David Hollenberg has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets LLC and 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 RBC Capital Markets LLC Due To David Hollenberg If you have questions about RBC Capital Markets LLC, Merrill Lynch Pierce Fenner & Smith Incorporated and/or David Hollenberg 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 4, 2022

David Neuwirth of David Lerner Associates, Inc.

DID DAVID ALLEN NEUWIRTH CAUSE YOU INVESTMENT LOSSES? David Neuwirth Of David Lerner Associates, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is David Neuwirth of David Lerner Associates, Inc.? David Neuwirth (CRD #5864663) who is currently registered with David Lerner Associates, Inc. and located in Syosset, New York s a subject of one of our many securities industry sales practice abuse investigations. David Neuwirth Customer Complaint David Neuwirth 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/omissions and unsuitable hold recommendation related to Puerto Rico bonds. The customer complaint filed against David Neuwirth’s current employer David Lerner Associates, Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. David Neuwirth Red Flags & Your Rights As An Investor Of course, David Neuwirth 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 Neuwirth at David Lerner Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Neuwirth has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at David Lerner 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 David Lerner Associates, Inc. Due To David Neuwirth If you have questions about David Lerner Associates, Inc. and/or David Neuwirth 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 4, 2022

David Cohen formerly with AXA Advisors, LLC

DID DAVID ALLAN COHEN CAUSE YOU INVESTMENT LOSSES? David Cohen Formerly With AXA Advisors, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is David Cohen formerly with AXA Advisors, LLC? David Cohen (CRD 4531744) who was formerly registered with AXA Advisors, LLC and located in Rockville, Maryland is a subject of one of our many securities industry sales practice abuse investigations.   David Cohen Customer Complaints David Cohen has been the subject of 3 customer complaints that we know about, 1of those complaints was filed in the last year to recover investment losses. Two of David Cohen’s 3 customer complaints were settled in favor of investors. One of David Cohen’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against David Cohen 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 annuity and life insurance Unsuitable recommendations related to incentive life insurance policy David Cohen took out loans against client’s life insurance policy without authorization David Cohen Red Flags & Your Rights As An Investor Of course, David Cohen 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 Cohen at AXA Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether David Cohen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at AXA Advisors, 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 AXA Advisors, LLC Due To David Cohen If you have questions about AXA Advisors, LLC and/or David Cohen 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 3, 2022

David Nicholas of World Equity Group, Inc.

DID DAVID ALEXIS NICHOLAS CAUSE YOU INVESTMENT LOSSES? David Nicholas Of World Equity Group, Inc. And Formerly With Taylor Capital Management Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is David Nicholas of World Equity Group, Inc.? David Nicholas (CRD #5211508) who is currently registered with World Equity Group, Inc. and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations.  Prior to World Equity Group, Inc., David Nicholas was associated with Taylor Capital Management Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Nicholas Customer Complaints David Nicholas 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 Nicholas’ customer complaints were settled in favor of investors. Allegations Against David Nicholas 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 and negligence regarding real estate securities investment Breach of fiduciary duty for unsuitable recommendation related to annuity and mutual fund investments David Nicholas Red Flags & Your Rights As An Investor Of course, David Nicholas 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 Nicholas at World Equity Group, Inc. and Taylor Capital Management Inc. on alert to review carefully the activity and performance of their accounts and question whether David Nicholas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at World Equity Group, Inc. and Taylor Capital Management 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 World Equity Group, Inc. Due To David Nicholas If you have questions about World Equity Group, Inc., Taylor Capital Management Inc., and/or David Nicholas 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 3, 2022

David Ratzker of TIAA-CREF Individual & Institutional Services, LLC

DID DAVID ALAN RATZKER CAUSE YOU INVESTMENT LOSSES? David Ratzker Of TIAA-CREF Individual & Institutional Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is David Ratzker of TIAA-CREF Individual & Institutional Services, LLC? David Ratzker (CRD #6680532) who is currently registered with TIAA-CREF Individual & Institutional Services, LLC and located in Hackensack, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.   David Ratzker Customer Complaint David Ratzker 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 follow clients’ instructions related to mutual fund investment.  David Ratzker’s customer complaint was denied and, to date, the customer has not taken any further action. David Ratzker Red Flags & Your Rights As An Investor Of course, David Ratzker 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 Ratzker at TIAA-CREF Individual & Institutional Services, LLC on alert to review carefully the activity and performance of their accounts and question whether David Ratzker 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 David Ratzker If you have questions about TIAA-CREF Individual & Institutional Services, LLC and/or David Ratzker 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 3, 2022

David Harris formerly with David Harris & Co., Inc.

DID DAVID ALAN HARRIS CAUSE YOU INVESTMENT LOSSES? David Harris Formerly With David Harris & Co., Inc. And Chester Harris & Company, Incorporated Has 4 Customer Complaints For Alleged Broker Misconduct Who is David Harris formerly with David Harris & Co., Inc.? David Harris (CRD #500413) who was formerly registered with David Harris & Co., Inc. and located in White Plains, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to David Harris & Co., Inc., David Harris was associated with Chester Harris & Company, Incorporated and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Harris Customer Complaints David Harris has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Three of David Harris’ 4 customer complaints were settled in favor of investors. There is currently 1 pending customer complaint filed against David Harris’ former employer Chester Harris & Company, Incorporated for investment losses caused by the alleged misconduct. Allegations Against David Harris A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable recommendation of Puerto Rico bonds Negligence and breach of fiduciary duty related recommendation of Puerto Rico bonds Failure to conduct due diligence and suitability analysis related to direct and/or limited partnership investments Breach of contract and fraud related to loan David Harris Red Flags & Your Rights As An Investor Of course, David Harris 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 Harris at David Harris & Co., Inc. and Chester Harris & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether David Harris has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at David Harris & Co., Inc. and Chester Harris & Company, Incorporated 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 David Harris & Co., Inc. Due To David Harris If you have questions about David Harris & Co., Inc., Chester Harris & Company, Incorporated, and/or David Harris 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 3, 2022

Darrin Cohen of Triad Advisors LLC

DID DARRIN STUART COHEN CAUSE YOU INVESTMENT LOSSES? Darrin Cohen Of Triad Advisors LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Darrin Cohen of Triad Advisors LLC? Darrin Cohen (CRD #2488435)who is currently registered with Triad Advisors LLC and located in Alpharetta, Georgia is a subject of one of our many securities industry sales practice abuse investigations.   Darrin Cohen Customer Complaints Darrin Cohen has been the subject of 3 customer complaints that we know about, all 3 of those complaints were filed in the last year to recover investment losses. One of Darrin Cohen’s 3 customer complaints was settled in favor of investor. There are currently 2 pending customer complaints filed against Darrin Cohen’s current employer Triad Advisors LLC for investment losses caused by the alleged misconduct. Allegations Against Darrin Cohen 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 Unsuitable investment recommendation, misrepresentation, and failure to disclose material information related to alternative investment Unsuitable recommendation of real estate investment Darrin Cohen Red Flags & Your Rights As An Investor Of course, Darrin Cohen 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 Cohen at Triad Advisors LLC on alert to review carefully the activity and performance of their accounts and question whether Darrin Cohen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Triad Advisors 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 Triad Advisors LLC Due To Darrin Cohen If you have questions about Triad Advisors LLC and/or Darrin Cohen 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 3, 2022

Darrin Guay of Edward Jones

DID DARRIN FREDRICK GUAY CAUSE YOU INVESTMENT LOSSES? Darrin Guay Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Darrin Guay of Edward Jones? Darrin Guay (CRD #6244048) who is currently registered with Edward Jones and located in Cary, North Carolina is a subject of one of our many securities industry sales practice abuse investigations.    Darrin Guay Customer Complaint Darrin Guay 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 failure to disclose surrender charges and explain features of death benefit in connection with a life insurance policy. Darrin Guay’s customer complaint was denied and, to date, the customer has not taken any further action. Darrin Guay Red Flags & Your Rights As An Investor Of course, Darrin Guay 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 Guay at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Darrin Guay 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 Darrin Guay If you have questions about Edward Jones and/or Darrin Guay 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 1, 2022

Darren Armetta of J.P. Morgan Securities LLC

DID DARREN ARMETTA CAUSE YOU INVESTMENT LOSSES? Darren Armetta Of J.P. Morgan Securities LLC And Formerly With Merrill Lynch, Pierce, Fenner & Smith Incorporated Has A Customer Complaint For Alleged Broker Misconduct Who is Darren Armetta of J.P. Morgan Securities LLC? Darren Armetta (CRD #5710662) who is currently registered with J.P. Morgan Securities LLC and located in Brick, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.  Prior to J.P. Morgan Securities LLC, Darren Armetta was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Darren Armetta Customer Complaint Darren Armetta 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 unsuitable investment recommendation related to mutual fund. Darren Armetta’s customer complaint was denied and, to date, the customer has not taken any further action. Darren Armetta Red Flags & Your Rights As An Investor Of course, Darren Armetta 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 Darren Armetta at J.P. Morgan Securities LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Darren Armetta 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 and Merrill Lynch, Pierce, Fenner & Smith Incorporated 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 J.P. Morgan Securities LLC Due To Darren Armetta If you have questions about J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and/or Darren Armetta 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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