Oct 27, 2022

Daniel Kistler of Dempsey Lord Smith, LLC

DID DANIEL BENJAMIN KISTLER CAUSE YOU INVESTMENT LOSSES? Daniel Kistler Of Dempsey Lord Smith, LLC And Formerly With Coastal Equities, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Daniel Kistler of Dempsey Lord Smith, LLC? Daniel Kistler (CRD #6203300) who is currently registered with Dempsey Lord Smith, LLC and located in Rome, Georgia is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Dempsey Lord Smith, LLC, Daniel Kistler was associated with Coastal Equities, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Daniel Kistler Customer Complaint Daniel Kistler 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 customers were solicited and sold a private placement which was only suitable for accredited investors; customers were not accredited investors and sued for breach of fiduciary duty and negligence. Daniel Kistler’s customer complaint wassettled in favor of the investor. Daniel Kistler Red Flags & Your Rights As An Investor Of course, Daniel Kistler 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 Daniel Kistler at Dempsey Lord Smith, LLC and Coastal Equities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Daniel Kistler has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Dempsey Lord Smith, LLC and Coastal Equities, 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 Dempsey Lord Smith, LLC Due To Daniel Kistler If you have questions about Dempsey Lord Smith, LLC, Coastal Equities, Inc., and/or Daniel Kistler 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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Oct 26, 2022

Daniel Dubin of SVB Securities LLC

DID DANIEL BARRY DUBIN CAUSE YOU INVESTMENT LOSSES? Daniel Dubin Of SVB Securities LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Daniel Dubin of SVB Securities LLC? Daniel Dubin (CRD #3231063) who is currently registered with SVB Securities LLC and located in Boston, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Daniel Dubin Customer Complaint Daniel Dubin 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 conflict of interest in connection with a SPAC transaction. Daniel Dubin’s customer complaint was denied and, to date, the customer has not taken any further action. Daniel Dubin Red Flags & Your Rights As An Investor Of course, Daniel Dubin 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 Daniel Dubin at SVB Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Daniel Dubin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SVB Securities LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At SVB Securities LLC Due To Daniel Dubin If you have questions about SVB Securities LLC and/or Daniel Dubin 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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Oct 26, 2022

Daniel B. Boyer III of Boenning & Scattergood, Inc.

DID DANIEL B. BOYER III CAUSE YOU INVESTMENT LOSSES? Daniel Boyer Of Boenning & Scattergood, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Daniel Boyer of Boenning & Scattergood, Inc.? Daniel Boyer (CRD #858610) who is currently registered with Boenning & Scattergood, Inc. and located in Pottstown, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.   Daniel Boyer Customer Complaints Daniel Boyer 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 Daniel Boyer’s customer complaints were settled in favor of investors. Allegations Against Daniel Boyer A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unauthorized transfer of funds. Churning, mismanagement, and unsuitable securities recommendations. Daniel Boyer Red Flags & Your Rights As An Investor Of course, Daniel Boyer 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 Daniel Boyer at Boenning & Scattergood, Inc. on alert to review carefully the activity and performance of their accounts and question whether Daniel Boyer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Boenning & Scattergood, 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 Boenning & Scattergood, Inc. Due To Daniel Boyer If you have questions about Boenning & Scattergood, Inc. and/or Daniel Boyer 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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Oct 26, 2022

Dan Sanders of Independent Financial Group, LLC

DID DAN EUGENE SANDERS CAUSE YOU INVESTMENT LOSSES? Dan Sanders Of Independent Financial Group, LLC Has 4 Customer Complaints For Alleged Broker Misconduct Who is Dan Sanders of Independent Financial Group, LLC? Dan Sanders (CRD #1785159) who is currently registered with for a free initial consultation via and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Dan Sanders Customer Complaints Dan Sanders has been the subject of 4 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. All 4 of Dan Sanders’ customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Dan Sanders A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Mismanagement of account. Unsuitable investment recommendation of variable annuity and failure to disclose all of the features of the product at the time of sale. Unsuitable investment recommendations in connection with equity listed common and preferred stocks. Provisions of a variable annuity were not fully disclosed to customer. Dan Sanders Red Flags & Your Rights As An Investor Of course, Dan Sanders 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 Dan Sanders at Independent Financial Group, LLC on alert to review carefully the activity and performance of their accounts and question whether Dan Sanders has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Independent Financial Group, 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 Independent Financial Group, LLC Due To Dan Sanders If you have questions about Independent Financial Group, LLC and/or Dan Sanders 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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Sep 27, 2022

Dan Csuma of J.P. Morgan Securities LLC

As a client, you are putting your faith (and money) in a broker. Therefore, it is pivotal that you research and know as much about the individual investing your funds as possible. This way, you can make an informed decision on whether or not to use their services. If you believe Dan Csuma has harmed you financially, we may be able to help you address any concerns or difficulties you have. DID DAN CSUMA CAUSE YOU INVESTMENT LOSSES? Dan Csuma Of J.P. Morgan Securities LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Dan Csuma of J.P. Morgan Securities LLC? Dan Csuma (CRD #1986466) who is currently registered with J.P. Morgan Securities LLC and located in Summit, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.  Dan Csuma Customer Complaint Dan Csuma 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 unauthorized trading. Dan Csuma’s customer complaint was settled in favor of the investor. Dan Csuma Red Flags & Your Rights As An Investor Of course, Dan Csuma 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 Dan Csuma at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Dan Csuma has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At J.P. Morgan Securities LLC Due To Dan Csuma If you have questions about J.P. Morgan Securities LLCand/or Dan Csuma 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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Sep 27, 2022

Damian Bell of International Assets Advisory, LLC

As a client, you place your money in the hands of a broker that you can trust. This is why it’s critical to understand everything there is to know about the person handling your money. This data may assist you in deciding whether or not to deal with a specific broker. We may be able to assist you in addressing any concerns or issues you have if you believe Damian Bell has caused you financial harm. DID DAMIAN MARLON BELL CAUSE YOU INVESTMENT LOSSES? Damian Bell Of International Assets Advisory, LLC And Formerly With WFG Investments, Inc. Has 11 Customer Complaints For Alleged Broker Misconduct Who is Damian Bell of International Assets Advisory, LLC? Damian Bell (CRD #2348521) who is currently registered with International Assets Advisory, LLC and located in Daphne, Alabama is a subject of one of our many securities industry sales practice abuse investigations.  Prior to International Assets Advisory, LLC, Damian Bell was associated with WFG Investments, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Damian Bell Customer Complaints Damian Bell has been the subject of 11 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Three of Damian Bell’s 11 customer complaints were settled in favor of investors. Six of Damian Bell’s customer complaints were denied and, to date, the customers have not taken any further action. There are currently 2 pending customer complaints filed against Damian Bell’s former employer WFG Investments, Inc. for investment losses caused by the alleged misconduct. Allegations Against Damian Bell 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 recommendations related to corporate debt and mutual funds. Failure to conduct a reasonable investigation, misrepresentation, unsuitable investment recommendations, and breach of fiduciary duty related to a private placement investment. Unsuitable investment recommendations and failure to disclose fees related to mutual funds. Unsuitable investment recommendation to purchase a Morgan Stanley exchange traded note. Failure to conduct due diligence on alternative investment in breach of fiduciary duty related to a private placement investment. Negligence, unsuitable recommendations and breach of fiduciary duty related to a direct investment in a private placement. Breach of contract and violation of state securities statutes in connection with alternative investments. Damian Bell Red Flags & Your Rights As An Investor Of course, Damian Bell 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 Damian Bell at International Assets Advisory, LLC and WFG Investments, Inc. on alert to review carefully the activity and performance of their accounts and question whether Damian Bell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at International Assets Advisory, LLC and WFG Investments, 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 International Assets Advisory, LLC Due To Damian Bell If you have questions about International Assets Advisory, LLC, WFG Investments, Inc., and/or Damian Bell 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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Sep 27, 2022

Dale Emerick of UBS Financial Services Inc.

As a client, you trust your money to a broker who you can believe in. This is why it’s critical to understand everything there is to know about the person investing your cash. This data may assist you in determining whether or not to work with a particular broker. If you believe Dale Emerick has caused you financial damage, we may be able to assist you in resolving any issues or concerns you have. DID DALE LOUIS EMERICK CAUSE YOU INVESTMENT LOSSES? Dale Emerick Of UBS Financial Services Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Dale Emerick of UBS Financial Services Inc.? Dale Emerick (CRD #707890) who is currently registered with UBS Financial Services Inc. and located in Clearwater, Florida is a subject of one of our many securities industry sales practice abuse investigations. Dale Emerick Customer Complaints Dale Emerick has been the subject of 3 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Two of Dale Emerick’s 3 customer complaints were settled in favor of investors. There is currently 1 pending customer complaint filed against Dale Emerick’s current employer UBS Financial Services Inc. for investment losses caused by the alleged misconduct. Allegations Against Dale Emerick A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Failure to follow client’s instructions related to mutual fund. Unsuitable investment recommendation related to Limited partnership. Unsuitable investment recommendations, misrepresentation and negligence related to the diversification of a customer’s account and use of leverage in connection with a line of credit. Dale Emerick Red Flags & Your Rights As An Investor Of course, Dale Emerick 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 Dale Emerick at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Dale Emerick 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 Dale Emerick If you have questions about UBS Financial Services Inc. and/or Dale Emerick 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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Sep 23, 2022

Dale Walts of GWN Securities Inc.

It’s critical for everyone to understand as much as possible about the people with whom they entrust their money. There are several places where you may locate information on a person’s background, including past employment history, regulatory legal consequences, and consumer complaints. This important information may lead to queries regarding Dale Walts and financial losses you incurred. We’ll do our best to answer any questions you might have. DID DALE EDWARD WALTS CAUSE YOU INVESTMENT LOSSES? Dale Walts Of GWN Securities Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Dale Walts of GWN Securities Inc.? Dale Walts (CRD #1042772) who is currently registered with GWN Securities Inc. and located in Albany, New York is a subject of one of our many securities industry sales practice abuse investigations. Dale Walts Customer Complaint Dale Walts 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 erroneous recommendation with regard to repayment of the loan from the clients 403B accounts. Dale Walts’ customer complaint was settled in favor of the investor. Dale Walts Red Flags & Your Rights As An Investor Of course, Dale Walts 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 Dale Walts at GWN Securities Inc. on alert to review carefully the activity and performance of their accounts and question whether Dale Walts has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at GWN Securities 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 GWN Securities Inc. Due To Dale Walts If you have questions about GWN Securities Inc. and/or Dale Walts 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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Sep 23, 2022

Dain Stokes formerly with LPL Financial LLC

You entrust your money to a broker when you become a client. As a result, it’s critical to know all there is to know about the individual who will be investing your money. This knowledge might assist in determining whether that specific broker is trustworthy or not. If you believe that Dain Stokes has caused you any financial damage, we might be able to help you resolve your concerns or problems. DID DAIN FARRELL STOKES CAUSE YOU INVESTMENT LOSSES? Dain Stokes Formerly With LPL Financial LLC Has 6 Customer Complaints For Alleged Broker Misconduct Who is Dain Stokes formerly with LPL Financial LLC? Dain Stokes (CRD #2960801) who was formerly registered with LPL Financial LLC and located in Bedford, New Hampshire is a subject of one of our many securities industry sales practice abuse investigations.  Dain Stokes was also the subject of an SEC investigation, a FINRA investigation, and a New Hampshire Department of state Bureau of Securities Regulation.   Dain Stokes Customer Complaints Dain Stokes has been the subject of 6 customer complaints that we know about, two of those complaints were filed in the last year to recover investment losses. Two of Dain Stokes’ 6 customer complaints were settled in favor of investors. Four of Dain Stokes’ customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Dain Stokes 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 to purchase variable annuities and fraud related to a promissory note investment. Misappropriation of funds. Unsuitable investment recommendations related to variable annuity. Dain Stokes Red Flags & Your Rights As An Investor Of course, Dain Stokes 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 Dain Stokes at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Dain Stokes has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial 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 LPL Financial LLC Due To Dain Stokes If you have questions about LPL Financial LLC and/or Dain Stokes 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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Sep 23, 2022

Cyrus Dhatigara of Cambridge Investment Research, Inc.

It’s critical for everyone to understand as much as they can about the people with whom they entrust their money. Background checks, which include past employment history, regulatory disciplinary actions, and customer complaints, are available in a variety of places. You may have concerns about Cyrus Dhatigara and investment losses you incurred. We’ll do everything we can to respond to your questions. DID CYRUS F. DHATIGARA CAUSE YOU INVESTMENT LOSSES? Cyrus Dhatigara Of Cambridge Investment Research, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Cyrus Dhatigara of Cambridge Investment Research, Inc.? Cyrus Dhatigara (CRD #2241720) who is currently registered with Cambridge Investment Research, Inc. and located in Cincinnati, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Cyrus Dhatigara Customer Complaint Cyrus Dhatigara 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 about an unreasonable delay in the transfer of funds to pay customers outstanding tax bills. Cyrus Dhatigara’s customer complaint was settled in favor of the investor. Cyrus Dhatigara Red Flags & Your Rights As An Investor Of course, Cyrus Dhatigara 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 Cyrus Dhatigara at Cambridge Investment Research, Inc. on alert to review carefully the activity and performance of their accounts and question whether Cyrus Dhatigara has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research, 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 Cambridge Investment Research, Inc. Due To Cyrus Dhatigara If you have questions about Cambridge Investment Research, Inc. and/or Cyrus Dhatigara 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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