Mar 4, 2022

Kirk Gill of Taylor Capital Management, Inc

DID KIRK J. GILL CAUSE YOU INVESTMENT LOSSES? Kirk J. Gill formerly with Taylor Capital Management, Inc., 1st Financial Equity Corporation, And Morgan Stanley Has 17 Customer Complaints for Alleged Broker Misconduct Who is Kirk J. Gill formerly with Taylor Capital Management, Inc., First Financial Equity Corporation, and Morgan Stanley? Kirk Gill (CRD #2291503) who was formerly registered with Taylor Capital Management Inc. and located in Tucson, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to Taylor Capital Management, Inc., Kirk Gill was associated with First Financial Equity Corporation and Morgan Stanley, and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. After numerous complaints were filed, one of his former employers, 1st Financial Equity Corporation had concerns regarding his alleged in sales practice misconduct and decided he needed an enhanced heightened supervision plan. Instead of agreeing to the plan, Kirk Gill resigned and his employment was terminated at that firm. Kirk Gill’s employment at Taylor Capital Management, Inc. did not last very long as well. He is no longer employed in the securities industry. Taylor Capital Management, Inc. Broker Misconduct In his career, Kirk Gill has been the subject of 17 customer complaints that we know about, 4 of those complaints were filed in the last two years to recover investment losses. All of those complaints were filed against Kirk Gill in connection with his past employment at Morgan Stanley. Thirteen of Kirk Gill’s 17 customer complaints were settled in favor of investors. Three of those complaints were denied by Morgan Stanley and the customers to no further action.  There is currently one pending customer complaint filed against Kirk Gill’s former employer Morgan Stanley for investment losses caused by his alleged misconduct. Allegations Against Kirk Gill A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants alleged unsuitable investment recommendations in connection with common and preferred stock transactions. Claimants alleged unsuitable energy stock investment recommendations. The client complained about and over-concentration in oil stocks. Claimant alleged unsuitable recommendations of direct investments in private placements and limited partnership interests. Claimant alleged unsuitable investment recommendations in exchange-traded funds. The claimant alleges that the financial advisor made unsuitable recommendations that resulted in the over-concentration of her investments and high-risk equities. Kirk Gill Red Flags & Your Rights as An Investor Of course, Kirk Gilldid does 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 Kirk Gill at Taylor Capital Management, Inc., First Financial Equity Corporation and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Kirk Gill has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Morgan Stanley about Kirk Gill 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 Taylor Capital Management Inc. If you have questions about Taylor Capital Management Inc., First Financial Equity Corporation, Morgan Stanley and/or Kirk Gill 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

Jeffrey Goodstein of Morgan Stanley

DID JEFFREY ALAN GOODSTEIN CAUSE YOU INVESTMENT LOSSES? Jeffrey Alan Goodstein with Morgan Stanley Has [#] Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Jeffrey A. Goodstein with Morgan Stanley? Jeffrey Goodstein (CRD # 4536646) 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, Jeffrey Goodstein was associated with UBS Financial Services Inc. and another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his career, Jeffrey Goodstein has been the subject of the 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. All of Jeffrey Goodstein’s customer complaints arose in connection with his employment at UBS Financial Services, Inc. in that brokerage firm settled all of those complaints in favor of investors. Allegations Against Jeffrey Goodstein The allegations made in the FINRA reported arbitration claim settlements for investment losses for the same in all 3 customer complaints and that is Jeffrey Goodstein omitted certain disclosures connection with a 10 b5-1 plan. A 10 b5-1 plan is a method by which certain insiders may sell securities not be subject to certain violations of the law related to insider-trading or 10 b-16 violations. Jeffrey Goodstein blamed the trading desk for the 3 complaints, but apparently UBS Financial Services, Inc. decided that was not the case to report the violations on his record. Jeffrey Goodstein Red Flags & Your Rights as An Investor Of course, Jeffrey Goodstein did does 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 Jeffrey Goodsteinat Morgan Stanley and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Goodsteinhas 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 Morgan Stanley And UBS Financial Services, Inc. If you have questions about Morgan Stanley and UBS Financial Services, Inc. and/or Jeffrey Goodsteinand 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

Gary Hammond of Hornor, Townsend & Kent, Inc

DID GARY WAYNE HAMMOND CAUSE YOU INVESTMENT LOSSES? Gary Wayne Hammond formerly with Hornor, Townsend & Kent, Inc. Has 10 Customer Complaints for Alleged Broker Misconduct Who is Gary W. Hammond formerly with Hornor, Townsend & Kent, Inc.? Gary Hammond (CRD #2660432) who was formerly registered with Hornor, Townsend & Kent, Inc. and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Hornor, Townsend & Kent, Inc., Gary Hammond was associated with MML Investors Services, LLC and MSI Financial Services, Inc. and two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Hornor, Townsend & Kent, Inc. Broker Misconduct In his career, Gary Hammond has been the subject of 10 customer complaints that we know about, 2 of those complaints were filed in the last two years to recover investment losses. Four of those customer complaints were denied by his former employer and the customer took no further action.  There are currently 6 pending customer complaints filed against Gary Hammond’s former employer MSI Financial Services, Inc., formerly known as MetLife Securities for investment losses caused by his alleged misconduct. Allegations Against Gary Hammond All of the investors alleged Unfair and Deceptive Trade Practices and state securities fraud violations for the financial advisors’ recommendation to invest in the private securities transactions in a fictitious entity. Gary Hammond Red Flags & Your Rights as An Investor Of course, Gary Hammond 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 Gary Hammond at Hornor, Townsend & Kent, MML Investors Services, LLC and MSI Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Gary Hammond has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at MSI Financial Services, Inc., formerly MetLife Securities 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 Hornor, Townsend & Kent, Inc., MML Investors, Services, LLC, and MSI Financial Services, Inc. If you have questions about Hornor, Townsend & Kent, Inc., MML Investors Services, LLC, MSI Financial Services, Inc., and/or Gary Hammond 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

Jonathan Hendrickson of Thrivent Investment Management, Inc

DID JONATHAN NORMAN HENDRICKSON CAUSE YOU INVESTMENT LOSSES? Jonathan Norman Hendrickson with Thrivent Investment Management, Inc. Has 3 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Jonathan N. Hendrickson with Thrivent Investment Management, Inc.? Jonathan Hendrickson (CRD #4683563) is currently registered with Thrivent Investment Management, Inc. and located in Northborough, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations.   Thrivent Investment Management, Inc. Broker Misconduct In his career, Jonathan Hendrickson has been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last two years to recover investment losses. Two of Jonathan Hendrickson’s 4 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Jonathan Hendrickson’s current employer Thrivent Investment Management, Inc. for investment losses caused by his alleged misconduct. Allegations Against Jonathan Hendrickson A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged a registered representative failed to follow instructions in February 2020 to redeem sub-accounts in variable annuities in a timely fashion which resulted in market losses. The customer alleged a registered representative misrepresented features of a variable universal life insurance policy contract. Customers alleged a registered representative misrepresented the features and benefits of the guaranteed minimum withdrawal benefit rider included within their variable annuity contracts. The customer alleged a registered representative misrepresented tax considerations in connection with the purchase of a variable universal life insurance policy contract. Jonathan Hendrickson Red Flags & Your Rights as An Investor Of course, Jonathan Hendrickson 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 Jonathan Hendricksonat Thrivent Investment Management Inc. on alert to review carefully the activity and performance of their accounts and question whether Jonathan Hendricksonhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Thrivent Investment Management 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 Thrivent Investment Management Inc. If you have questions about Thrivent Investment Management Inc. and/or Jonathan Hendrickson 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

James Kelly of UBS Financial Services, Inc

DID JAMES C. KELLY CAUSE YOU INVESTMENT LOSSES? James C. Kelly with UBS Financial Services, Inc. Has [#] Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is James C. Kelly with UBS Financial Services, Inc.? James Kelly (CRD #4362408) who is currently registered with UBS Financial Services, Inc. and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Inc., James Kelly was associated with Credit Suisse Securities (USA) LLC and another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. UBS Financial Services, Inc. Broker Misconduct In his career, James Kelly 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 those complaints appear to be related to a UBS Financial Services, Inc. Yield Enhancement Strategy known as the UBS-YES strategy. All 3 customer complaints filed against James Kelly’s current employer UBS Financial Services, Inc. for investment losses caused by his alleged misconduct are pending. Allegations Against James Kelly The allegations made in the 3 FINRA reported arbitrations that are pending complaints for investment losses are the same: Claimants allege unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy in a house wrap fee account. James Kelly Red Flags & Your Rights as An Investor Of course, James Kelly did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Kellyat UBS Financial Services, Inc. and Credit Suisse Securities (USA) LLC on alert to review carefully the activity and performance of their accounts and question whether James Kelly has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at UBS Financial Services Inc. about James Kelly 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 UBS Financial Services, Inc. If you have questions about UBS Financial Services, Inc., Credit Suisse Securities (USA) LLC and/or James Kelly and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 4, 2022

John Orlando of SW Financial

DID JOHN ANTHONY ORLANDO CAUSE YOU INVESTMENT LOSSES? John Anthony Orlando With SW Financial Has 5 Customer Complaints for Alleged Broker Misconduct Who is John A. Orlando with SW Financial? John Orlando (CRD #2002197) who is currently registered with SW Financial and located in Lighthouse Point, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to SW Financial, John Orlando was associated with Joseph Gunnar & Co. LLC, Westpark Capital, Inc. and Newport Coast Securities, Inc., and 9 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.    Westpark Capital & Newport Coast Securities Broker Misconduct In his career, John Orlando has been the subject of 5 customer complaints that we know about. One of John Orlando’s 5 customer complaints went through an arbitration hearing and an arbitration award was entered in favor of investors.   One complaint was denied by his former employer, and to date, no action has been taken. There are currently 3 pending customer complaints filed against John Orlando’s former employers, Westpark Capital, Inc. and Newport Coast Securities, Inc., for investment losses caused by his alleged misconduct. Allegations Against John Orlando A sample of the allegations made in the FINRA reported arbitration claim, settlements, and pending complaints for investment losses are as follows: Claimants alleged that registered representatives made unsuitable investment recommendations and over-concentrated their assets into one sector, oil and gas, resulting in an $85,000 arbitration award in the investor’s favor. The client alleged breach of fiduciary duty and negligence relating to an investment in the Horizon Fund. Clients alleged that the registered representative churned their accounts and made unsuitable investment recommendations in common and preferred stock and private placement transactions. The client alleges excessive trading, unsuitable investments, excessive concentration, and unsuitable use of margin in his account. John Orlando Red Flags & Your Rights as An Investor Of course, John Orlando 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 Orlandoat SW Financial, Joseph Gunnar & Co. LLC, Westpark Capital, Inc., and Newport Coast Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether John Orlando has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Westpark Capital, Inc. and Newport Coast Securities, 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 SW Financial, Westpark Capital, Inc., and Newport Coast Securities, Inc. If you have questions about SW Financial, Westpark Capital, Inc., Newport Coast Securities, Inc. and/or John Orlando 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

Mark Barrand of Ameriprise Financial Services, LLC

DID MARK ALLEN BARRAND CAUSE YOU INVESTMENT LOSSES? Mark Allen Barrand Of Ameriprise Financial Services, LLC And Formerly with Cetera Advisors, LLC Has 7 Customer Complaints for Alleged Broker Misconduct Who is Mark A. Barrand with Ameriprise Financial Services, LLC? Mark Barrand (CRD #4586528) who is currently registered with Ameriprise Financial Services, LLC and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, LLC, Mark Barrand was associated with Cetera Advisors LLC and another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Ameriprise Financial Services, LLC Broker Misconduct In his career, Mark Barrand has been the subject of 7 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Six of the 7 customer complaints arose in connection with his employment at Cetera Advisors, LLC. Two of Mark Barrand’s 7 customer complaints were settled in favor of investors. Three of the customer complaints were denied by his former employer Cetera Advisors and to date, customers have not taken any further action. There are currently 2 pending customer complaints filed against Mark Barrand’s former employer Cetera Advisors, LLC for investment losses caused by his alleged misconduct. Allegations Against Mark Barrand A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Failure to perform due diligence, unsuitable investment recommendations, fraud, breach of fiduciary duty, and negligence in connection with the recommendation and purchase of direct investments and limited partnership interests. Complainants or customers of the former registered representative and assert claims for misrepresentation, breach of fiduciary duty, professional negligence, and violation of securities regulations connection with the purchase of a variable annuity. The clients alleged that the terms of their variable annuity contracts and unit investment trusts were misrepresented by the financial advisor. Misrepresentation, and failure to follow instructions in the placement of orders related to mutual funds. The customer alleges unsuitable investment recommendations of real estate securities in business development companies. The customer alleges that respondents recommended unsuitable investments, namely, Oppenheimer SteelPath MLP Alpha Plus Fund and Northstar Health Care REIT investments. Mark Barrand Red Flags & Your Rights as An Investor Of course, Mark Barrand 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 Mark Barrand at Ameriprise Financial Services, LLC and Cetera Advisors LLC on alert to review carefully the activity and performance of their accounts and question whether Mark Barrand has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors LLC about Mark Barrandalso 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 Ameriprise Financial Services, LLC And Cetera Advisors, LLC If you have questions about Ameriprise Financial Services, LLC, Cetera Advisors LLC, and/or Mark Barrandand 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

Christopher Bice of Sagepoint Financial, Inc

DID CHRISTOPHER R. BICE CAUSE YOU INVESTMENT LOSSES? Christopher R. Bice with Sagepoint Financial, Inc. Has 3 Customer Complaints for Alleged Broker Misconduct in the Past 3 Years Who is Christopher R. Bice with Sagepoint Financial, Inc.? Christopher Bice (CRD #3222439) who is currently registered with Sagepoint Financial, Inc. and located in Greensboro, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Sagepoint Financial, Inc., Christopher Bice was associated with 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sagepoint Financial, Inc. Broker Misconduct In his career, Christopher Bice has been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last 3 years to recover investment losses. One of Christopher Bice’s customer complaints was denied by his current employer, and to date, no action has been taken by the customer.  There are currently 3 pending customer complaints filed against Christopher Bice’s current employer Sagepoint Financial, Inc. for investment losses caused by his alleged misconduct. Allegations Against Christopher Bice A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege that the financial advisor recommended the purchase of real estate private placements that were unsuitable investment recommendations. The customer alleged that Christopher Bice made unsuitable investment recommendations are variable annuities, over-concentrated his accounts, and made misrepresentations. The claimant alleged unsuitable investment recommendations of annuities and real estate investments. Christopher Bice Red Flags & Your Rights as An Investor Of course, Christopher Bice 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 Christopher Biceat Sagepoint Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Bicehas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sagepoint Financial, 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 Sagepoint Financial, Inc. If you have questions about Sagepoint Financial, Inc. and/or Christopher Biceand 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 Ginsberg of Woodbury Financial Services, Inc

DID ROBERT SCOTT GINSBERG CAUSE YOU INVESTMENT LOSSES? Robert Scott Ginsberg with Woodbury Financial Services, Inc. Has [#] Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Robert S. Ginsberg with Woodbury Financial Services, Inc.? Robert Ginsberg (CRD #5177531) who is currently registered with Woodbury Financial Services, Inc. and located in Wallingford, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Woodbury Financial Services, Inc., Robert Ginsberg was associated with Investors Capital Corp. and two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Woodbury Financial Services, Inc. And Investors Capital Corp. Broker Misconduct In his career, Robert Ginsberg 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. All of the customer complaints filed against Robert Ginsberg’s current employer Woodbury Financial Services, Inc. and former employer Investors Capital Corp. for investment losses caused by his alleged misconduct are still pending. Allegations Against Robert Ginsberg   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customers alleged that the representative made unsuitable recommendations to invest in variable annuities, direct investments involving real estate securities. The client alleges that the recommendation of REIT and business development company investments were unsuitable recommendations. The client alleges that the broker made unsuitable recommendations of non-traded REITs. Robert Ginsberg Red Flags & Your Rights as An Investor Of course, Robert Ginsberg 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 Robert Ginsberg at Woodbury Financial Services, Inc. and Investors Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Robert Ginsberghas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Woodbury Financial Services, Inc. and Investors Capital Corp. 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 Woodbury Financial Services, Inc. If you have questions about Woodbury Financial Services, Inc., Investors Capital Corp., and/or Robert Ginsberg 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

Charles Kulch of Next Financial Group, Inc

DID CHARLES CHESTER KULCH CAUSE YOU INVESTMENT LOSSES? Charles Chester Kulch formerly with Next Financial Group, Inc. Has 10 Customer Complaints for Alleged Broker Misconduct Who is Charles C. Kulch formerly with Next Financial Group, Inc.? Charles Kulch (CRD #2371584) who was formerly registered with Next Financial Group, Inc. and located in Nashua, New Hampshire is a subject of one of our many securities industry sales practice abuse investigations. Prior to Next Financial Group, Inc., Charles Kulch has associated with two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. But Charles Kulch’s former employers were not the only ones with regulatory problems.  He has been the subject of 3 different regulatory actions, three in the state of New Hampshire and one in New York. Charles Kulch was suspended, ordered to cease-and-desist, and/or fined for allegedly operating an unqualified branch office; making a false statement on an insurance license application; and failing to supervise the distribution of marketing materials that contained inaccurate information.  The latest regulatory complaint was filed by the Massachusetts Securities Division for allegedly over concentrating customers in illiquid, risky, and high commission products, including non-traded real estate investment trust and variable annuities. Next Financial Group, Inc. Broker Misconduct In his career, Charles Kulch has been the subject of 10 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Five of Charles Kulch’s 10 customer complaints were settled in favor of investors. Two of those complaints were denied by his former employer, and to date, the customers have not taken any further action.  There are currently 3 pending customer complaints filed against Charles Kulch’s former employer Next Financial Group, Inc. for investment losses caused by his alleged misconduct. Allegations Against Charles Kulch   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleged unsuitable sale of non-traded REITs. The customer alleges unsuitable investment recommendations related to private placements in violation of the financial advisor’s fiduciary duty, and violation of the New Hampshire Securities Act. The claimant alleges that the financial advisor misrepresented the risk associated with the investments in certain Tenant-In-Common (TIC) investments and that the investments were unsuitable since the fees and risks far outweigh the potential for tax deferment. The customer alleged that the financial advisor made misrepresentations and unsuitable investment recommendations related to direct investments in the oil and gas in real estate sectors. The customer alleges that the registered representative recommended he invest most of his net worth in numerous high risk, speculative, and illiquid private placements and Tenant-In-Common investments that were unsuitable investment recommendations. Charles Kulch Red Flags & Your Rights as An Investor Of course, Charles Kulch 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 Charles Kulch at Next Financial Group, Inc. on alert to review carefully the activity and performance of their accounts and question whether Charles Kulchhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Next Financial Group, 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 Next Financial Group, Inc. If you have questions about Next Financial Group, Inc. and/or Charles Kulchand 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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