Nov 28, 2022

Dennis Fearing formerly with Berthel, Fisher & Company Financial Services, Inc.

DID DENNIS MICHAEL FEARING CAUSE YOU INVESTMENT LOSSES? Dennis Fearing Formerly With Berthel, Fisher & Company Financial Services, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Dennis Fearing formerly with Berthel, Fisher & Company Financial Services, Inc.? Dennis Fearing (CRD #1288339) who was formerly registered with Berthel, Fisher & Company Financial Services, Inc. and located in Coleraine, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Dennis Fearing Customer Complaints Dennis Fearing has 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. One of Dennis Fearing’s 4 customer complaints was settled in favor of investor. One of Dennis Fearing’s customer complaints was denied and, to date, the customer has not taken any further action. There are currently 2 pending customer complaints filed against Dennis Fearing’s former employer Berthel, Fisher & Company Financial Services, Inc. for investment losses caused by the alleged misconduct. Allegations Against Dennis Fearing 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 misrepresentation of the risk of investments and failure to disclose excessive fees related to REITs and business development companies. Misrepresentation of insurance policy at point-of-sale. Overconcentration of investments and privately traded products. Misrepresentations and unsuitable investment recommendations of REITs and business development company investments. Unsuitable investment recommendations of REITs and business development company investments along with failure to conduct adequate due diligence of said investments prior to recommendation. Dennis Fearing Red Flags & Your Rights As An Investor Of course, Dennis Fearing 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 Dennis Fearing at Berthel, Fisher & Company Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Dennis Fearing has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Berthel, Fisher & Company Financial Services, 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 Berthel, Fisher & Company Financial Services, Inc. Due To Dennis Fearing If you have questions about Berthel, Fisher & Company Financial Services, Inc. and/or Dennis Fearing 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 28, 2022

Dennis Goldy formerly with Wells Fargo Clearing Services LLC

DID DENNIS MARK GOLDY CAUSE YOU INVESTMENT LOSSES? Dennis Goldy Formerly With Wells Fargo Clearing Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Dennis Goldy formerly with Wells Fargo Clearing Services, LLC? Dennis Goldy (CRD #224712) who was formerly registered with Wells Fargo Clearing Services, LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Dennis Goldy Customer Complaint Dennis Goldy has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were related to an unsuitable investment strategy. Dennis Goldy’s customer complaint was denied and, to date, the customer has not taken any further action. Dennis Goldy Red Flags & Your Rights As An Investor Of course, Dennis Goldy 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 Dennis Goldy at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Dennis Goldy has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing 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 Wells Fargo Clearing Services, LLC Due To Dennis Goldy If you have questions about Wells Fargo Clearing Services, LLC and/or Dennis Goldy 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 28, 2022

Dennis Karjanis of Aegis Capital Corp.

DID DENNIS JOSEPH KARJANIS CAUSE YOU INVESTMENT LOSSES? Dennis Karjanis Of Aegis Capital Corp. And Formerly With National Securities Corporation Has 2 Customer Complaints For Alleged Broker Misconduct Who is Dennis Karjanis of Aegis Capital Corp.? Dennis Karjanis (CRD #5280862) who is currently registered with Aegis Capital Corp. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Aegis Capital Corp., Dennis Karjanis was associated with National Securities Corporation and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Dennis Karjanis Customer Complaints Dennis Karjanis 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 Dennis Karjanis’ customer complaints were settled in favor of investors. Allegations Against Dennis Karjanis A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendation of private placement. Misrepresentation and unsuitable investment recommendation a over-the-counter securities. Dennis Karjanis Red Flags & Your Rights As An Investor Of course, Dennis Karjanis 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 Dennis Karjanis at Aegis Capital Corp. and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Dennis Karjanis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp. and National Securities Corporation also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Aegis Capital Corp. Due To Dennis Karjanis If you have questions about Aegis Capital Corp., National Securities Corporation, and/or Dennis Karjanis 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 23, 2022

Dennis Zaderaka formerly with Securities America, Inc

DID DENNIS EUGENE ZADERAKA CAUSE YOU INVESTMENT LOSSES? Dennis Zaderaka Formerly With Securities America, Inc. And Crown Capital Securities, L.P. Has A Customer Complaint For Alleged Broker Misconduct Who is Dennis Zaderaka formerly with Securities America, Inc.? Dennis Zaderaka (CRD #706589) who was formerly registered with Securities America, Inc. and located in Phoenix, Arizona is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Securities America, Inc., Dennis Zaderaka was associated with Crown Capital Securities, L.P. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Dennis Zaderaka Customer Complaint Dennis Zaderaka 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 the customer was sold numerous high-commission, complex, illiquid, and risky alternative investments, including REITs and business development Corporation investments. Dennis Zaderaka’s customer complaint was settled in favor of the investor. Dennis Zaderaka Red Flags & Your Rights As An Investor Of course, Dennis Zaderaka 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 Dennis Zaderaka at Securities America, Inc. and Crown Capital Securities, L.P. on alert to review carefully the activity and performance of their accounts and question whether Dennis Zaderaka has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America, Inc. and Crown Capital Securities, L.P. 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 Securities America, Inc. Due To Dennis Zaderaka If you have questions about Securities America, Inc., Crown Capital Securities, L.P. and/or Dennis Zaderaka 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 23, 2022

Dennis Charleton of Ameriprise Financial Services, LLC

DID DENNIS EDWARD CHARLETON CAUSE YOU INVESTMENT LOSSES? Dennis Charleton Of Ameriprise Financial Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Dennis Charleton of Ameriprise Financial Services, LLC? Dennis Charleton (CRD #2674374) who is currently registered with Ameriprise Financial Services, LLC and located in Webster, Texas is a subject of one of our many securities industry sales practice abuse investigations. Dennis Charleton Customer Complaint Dennis Charleton 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 an unsuitable investment recommendation of a business development company. Dennis Charleton’s customer complaint was settled in favor of the investors. Dennis Charleton Red Flags & Your Rights As An Investor Of course, Dennis Charleton 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 Dennis Charleton at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Dennis Charleton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial 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 Ameriprise Financial Services, LLC Due To Dennis Charleton If you have questions about Ameriprise Financial Services, LLC and/or Dennis Charleton 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 23, 2022

Dennis Hanrahan of Spartan Capital Securities, LLC

DID DENNIS CHRISTOPHER HANRAHAN CAUSE YOU INVESTMENT LOSSES? Dennis Hanrahan Of Spartan Capital Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Dennis Hanrahan of Spartan Capital Securities, LLC? Dennis Hanrahan (CRD #3004868) who is currently registered with Spartan Capital Securities, LLC and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations.   Dennis Hanrahan Customer Complaints Dennis Hanrahan 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. One of Dennis Hanrahan’s 2 customer complaints was settled in favor of the investor. One of Dennis Hanrahan’s customer complaints was denied, and, to date, the customer has not taken any further action. Allegations Against Dennis Hanrahan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Misrepresentation and unsuitable investment recommendations. Unauthorized transactions in client’s account. Dennis Hanrahan’s Red Flags & Your Rights As An Investor Of course, Dennis Hanrahan 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 Dennis Hanrahan at Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Dennis Hanrahan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities, 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 Spartan Capital Securities, LLC Due To Dennis Hanrahan If you have questions about Spartan Capital Securities, LLC and/or Dennis Hanrahan 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 23, 2022

Dennis Mehringer formerly with Western International Securities, Inc.

DID DENNIS ALBERT MEHRINGER JR CAUSE YOU INVESTMENT LOSSES? Dennis Mehringer Formerly With Western International Securities, Inc. Has 12 Customer Complaints For Alleged Broker Misconduct Who is Dennis Mehringer formerly with Western International Securities, Inc.? Dennis Mehringer (CRD #722569) who was formerly registered with Western International Securities, Inc. and located in Pasadena, California was the subject of a FINRA investigation and enforcement action for unsuitable recommendations in excess of trading of mutual funds and permanently barred from any further association with any FINRA member firm. Dennis Mehringer is also subject of one of our many securities industry sales practice abuse investigations.   Dennis Mehringer Customer Complaints Dennis Mehringer has been the subject of 12 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Dennis Mehringer’s 12 customer complaints resulted in an Award in favor of the investor. Eight of Dennis Mehringer’s customer complaints were settled in favor of investors. Three of Dennis Mehringer’s customer complaints were denied, and, to date, the customers have not taken any further action.   Allegations Against Dennis Mehringer A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: A monetary judgment to the customer in the amount of $75,000 was entered in connection with erroneous advice concerning loans made from a defined benefit plan to purchase real estate. Unsuitable investment recommendations in breach of fiduciary duty related to common stock, preferred stock, mutual funds, and exchange traded funds. Misrepresentation and fraud, unauthorized trading, breach of fiduciary duty and unsuitable investment recommendations related to common stock transactions. Unsuitable investment recommendations related to common stock and mutual fund transactions. Complaint concerning the performance of the fixed income investment. Unsuitable investment recommendations related to a promissory note investment. Breach of fiduciary duty, fraud and misrepresentation, negligence, violation of state and federal laws and FINRA rules related to common stock and mutual fund transactions. Unauthorized trading, excessive commission charges connection with common stock and mutual fund transactions. Overconcentration of an investment without adequate put option coverage. Misrepresentation related to status of a rider guarantee on an annuity contract. Purchase of reverse convertible notes without execution of an option agreement was improper. Failure to disclose risk of structured products in a defined benefit plan. Dennis Mehringer Red Flags & Your Rights As An Investor Of course, Dennis Mehringer 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 Dennis Mehringer at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Dennis Mehringer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, 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 Western International Securities, Inc. Due To Dennis Mehringer If you have questions about Western International Securities, Inc. and/or Dennis Mehringer 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 23, 2022

Dennis Cirbo of Madison Avenue Securities, LLC

DID DENNIS ALAN CIRBO CAUSE YOU INVESTMENT LOSSES? Dennis Cirbo Of Madison Avenue Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Dennis Cirbo of Madison Avenue Securities, LLC? Dennis Cirbo (CRD #733633) who is currently registered with Madison Avenue Securities, LLC and located in Lakewood, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Dennis Cirbo Customer Complaints Dennis Cirbo 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 Dennis Cirbo’s customer complaints were settled in favor of investors. Allegations Against Dennis Cirbo A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendation of GPB Capital Automotive private placement Sale of speculative mutual funds which were not in the best interests of the client along with material omissions regarding the risks of the fund sold. Dennis Cirbo Red Flags & Your Rights As An Investor Of course, Dennis Cirbo 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 Dennis Cirbo at Madison Avenue Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Dennis Cirbo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Madison Avenue Securities, 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 Madison Avenue Securities, LLC Due To Dennis Cirbo If you have questions about Madison Avenue Securities, LLC and/or Dennis Cirbo 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 23, 2022

Denise Stuart of TIAA-CREF Individual & Institutional Services, LLC

DID DENISE ELAINE STUART CAUSE YOU INVESTMENT LOSSES? Denise Stuart Of TIAA-CREF Individual & Institutional Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Denise Stuart of TIAA-CREF Individual & Institutional Services, LLC? Denise Stuart (CRD #5246423) who is currently registered with TIAA-CREF Individual & Institutional Services, LLC and located in Lewisville, Texas is a subject of one of our many securities industry sales practice abuse investigations.   Denise Stuart Customer Complaint Denise Stuart 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 the financial advisor provided bad advice in determining an investment strategy to purchase a home and further the client allegedly suffered $20,000 and tax consequences due to that bad advice. Denise Stuart’s customer complaint was denied and, to date, the customer has not taken any further action.   Denise Stuart Red Flags & Your Rights As An Investor Of course, Denise Stuart 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 Denise Stuart at TIAA-CREF Individual & Institutional Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Denise Stuart 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 Denise Stuart If you have questions about TIAA-CREF Individual & Institutional Services, LLC and/or Denise Stuart 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 22, 2022

Denis Roy of UBS Financial Services Inc.

DID DENIS GEORGES ROY CAUSE YOU INVESTMENT LOSSES? Denis Roy Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Denis Roy of UBS Financial Services Inc.? Denis Roy (CRD #1070743) who is currently registered with UBS Financial Services Inc. and located in San Francisco, California is a subject of one of our many securities industry sales practice abuse investigations. Denis Roy Customer Complaint Denis Roy 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 the financial advisor did not make her aware of the wash sale rule. Denis Roy’s customer complaint was denied, and, to date, the customer has not taken any further action.   Denis Roy Red Flags & Your Rights As An Investor Of course, Denis Roy 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 Denis Roy at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Denis Roy has 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 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 UBS Financial Services Inc. Due To Denis Roy If you have questions about UBS Financial Services Inc. and/or Denis Roy 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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