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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Nov 22, 2022

Deborah Eggleston of United Planners’ Financial Services of America A Limited Partner

DID DEBORAH LYNN EGGLESTON CAUSE YOU INVESTMENT LOSSES? Deborah Eggleston Of United Planners’ Financial Services of America A Limited Partner And Formerly With MML Investors Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Deborah Eggleston of United Planners’ Financial Services of America A Limited Partner? Deborah Eggleston (CRD #2369973) who is currently registered with United Planners’ Financial Services of America A Limited Partner and located in Littleton, Colorado is a subject of one of our many securities industry sales practice abuse investigations.  Prior to United Planners’ Financial Services of America A Limited Partner, Deborah Eggleston was associated with MML Investors Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Deborah Eggleston Customer Complaint Deborah Eggleston 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 recommendations related to variable annuities, common and preferred stock, and mutual funds. Deborah Eggleston’s customer complaint was settled in favor of the investor. Deborah Eggleston Red Flags & Your Rights As An Investor Of course, Deborah Eggleston 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 Deborah Eggleston at United Planners’ Financial Services of America A Limited Partner and MML Investors Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Deborah Eggleston has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at United Planners’ Financial Services of America A Limited Partner and MML Investors 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 United Planners’ Financial Services of America A Limited Partner Due To Deborah Eggleston If you have questions about United Planners’ Financial Services of America A Limited Partner, MML Investors Services, LLC, and/or Deborah Eggleston 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

Deanna Savarese of Fidelity Brokerage Services LLC

DID DEANNA MICHELE SAVARESE CAUSE YOU INVESTMENT LOSSES? Deanna Savarese Of Fidelity Brokerage Services LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Deanna Savarese of Fidelity Brokerage Services LLC? Deanna Savarese (CRD #5508848) who is currently registered with Fidelity Brokerage Services LLC and located in Paramus, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.   Deanna Savarese Customer Complaint Deanna Savarese 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 misrepresentation related to universal life Ins. policy. Deanna Savarese’s customer complaint was denied and, to date, the customer has not taken any further action. Deanna Savarese Red Flags & Your Rights As An Investor Of course, Deanna Savarese 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 Deanna Savarese at Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether Deanna Savarese has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage 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 Fidelity Brokerage Services LLC Due To Deanna Savarese If you have questions about Fidelity Brokerage Services LLC and/or Deanna Savarese 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

Dean Donohue of Ameriprise Financial Services, LLC

DID DEAN MICHAEL DONOHUE CAUSE YOU INVESTMENT LOSSES? Dean Donohue Of Ameriprise Financial Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Dean Donohue of Ameriprise Financial Services, LLC? Dean Donohue (CRD #1971782) who is currently registered with Ameriprise Financial Services, LLC and located in Louisville, Kentucky is a subject of one of our many securities industry sales practice abuse investigations.   Dean Donohue Customer Complaints Dean Donohue 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 Dean Donohue’s 2 customer complaints was settled in favor of investors. There is currently 1 pending customer complaint filed against Dean Donohue’s current employer Ameriprise Financial Services, LLC for investment losses caused by the alleged misconduct. Allegations Against Dean Donohue A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Improper annuities transaction the delayed payment of death settlement Unsuitable recommendation of a high commission in the illiquid business development company investment Dean Donohue Red Flags & Your Rights As An Investor Of course, Dean Donohue 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 Dean Donohue at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Dean Donohue 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 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 Ameriprise Financial Services, LLC Due To Dean Donohue If you have questions about Ameriprise Financial Services, LLC and/or Dean Donohue 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

Dean Jackson of First Republic Securities Company, LLC

DID DEAN JACKSON CAUSE YOU INVESTMENT LOSSES? Dean Jackson Of First Republic Securities Company, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Dean Jackson of First Republic Securities Company, LLC? Dean Jackson (CRD #2556318) who is currently registered with First Republic Securities Company, LLC and located in Palo Alto, California is a subject of one of our many securities industry sales practice abuse investigations. Dean Jackson Customer Complaints Dean Jackson 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 Dean Jackson’s 2 customer complaints was settled in favor of the investor. There is currently 1 pending customer complaint filed against Dean Jackson’s current employer First Republic Securities Company, LLC for investment losses caused by the alleged misconduct. Allegations Against Dean Jackson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Misrepresentation of a FPA Medical Management investment Unsuitable recommendation of mutual fund investment Dean Jackson Red Flags & Your Rights As An Investor Of course, Dean Jackson 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 Dean Jackson at First Republic Securities Company, LLC on alert to review carefully the activity and performance of their accounts and question whether Dean Jackson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Republic Securities Company, 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 First Republic Securities Company, LLC Due To Dean Jackson If you have questions about First Republic Securities Company, LLC and/or Dean Jackson 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 21, 2022

Dean Purdy formerly with NYLIFE Securities LLC

DID DEAN DEVERY PURDY CAUSE YOU INVESTMENT LOSSES? Dean Purdy Formerly With NYLIFE Securities LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Dean Purdy formerly with NYLIFE Securities LLC? Dean Purdy (CRD #5630164) who was formerly registered with NYLIFE Securities LLC and located in New Windsor, New York is a subject of one of our many securities industry sales practice abuse investigations.   Dean Purdy Customer Complaints Dean Purdy 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 Dean Purdy’s customer complaints were settled in favor of investors. Allegations Against Dean Purdy 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 disclose fees associated with the purchase of variable annuities Unauthorized withdrawals from variable annuity accounts Dean Purdy Red Flags & Your Rights As An Investor Of course, Dean Purdy 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 Dean Purdy at NYLIFE Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Dean Purdy has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLIFE 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 NYLIFE Securities LLC Due To Dean Purdy If you have questions about NYLIFE Securities LLC and/or Dean Purdy 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 21, 2022

Dawn West of LPL Financial LLC

DID DAWN SHERI WEST CAUSE YOU INVESTMENT LOSSES? Dawn West Of LPL Financial LLC And Formerly With Capital One Investing, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Dawn West of LPL Financial LLC? Dawn West (CRD #4797506) who is currently registered with LPL Financial LLC and located in Jackson Heights, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, Dawn West was associated with Capital One Investing, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Dawn West Customer Complaint Dawn West 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 recommendation to invest in a structured note. Dawn West’s customer complaint was settled in favor of the investor. Dawn West Red Flags & Your Rights As An Investor Of course, Dawn West 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 Dawn West at LPL Financial LLC and Capital One Investing, LLC on alert to review carefully the activity and performance of their accounts and question whether Dawn West has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Capital One Investing, 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 Dawn West If you have questions about LPL Financial LLC, Capital One Investing, LLC and/or Dawn West 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 21, 2022

David Omura of Commonwealth Financial Network

DID DAVID YUKIO OMURA CAUSE YOU INVESTMENT LOSSES? David Omura Of Commonwealth Financial Network Has A Customer Complaint For Alleged Broker Misconduct Who is David Omura of Commonwealth Financial Network? David Omura (CRD #1462902) who is currently registered with Commonwealth Financial Network and located in Hilo, Hawaii is a subject of one of our many securities industry sales practice abuse investigations. David Omura Customer Complaint David Omura 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 unidentified era in connection with a transaction in violation of the Hawaii securities laws. David Omura’s customer complaint was settled in favor of the investors. David Omura Red Flags & Your Rights As An Investor Of course, David Omura 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 Omura at Commonwealth Financial Network on alert to review carefully the activity and performance of their accounts and question whether David Omura has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Commonwealth Financial Network 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 Commonwealth Financial Network Due To David Omura If you have questions about Commonwealth Financial Network and/or David Omura 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 21, 2022

David Snyder formerly with Sagepoint Financial, Inc.

DID DAVID WENGER SNYDER CAUSE YOU INVESTMENT LOSSES? David Snyder Formerly With Sagepoint Financial, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is David Snyder formerly with Sagepoint Financial, Inc.? David Snyder (CRD #1262023) who was formerly registered with Sagepoint Financial, Inc. and located in Reading, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.   David Snyder Customer Complaint David Snyder 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 misrepresentation of a mutual fund investment. David Snyder’s customer complaint was denied, and, to date, the customer has not taken any further action. David Snyder Red Flags & Your Rights As An Investor Of course, David Snyder 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 Snyder at Sagepoint Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Snyder has 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 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 Sagepoint Financial, Inc. Due To David Snyder If you have questions about Sagepoint Financial, Inc. and/or David Snyder 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 18, 2022

David Kraft formerly with Morgan Stanley

DID DAVID WAYNE KRAFT CAUSE YOU INVESTMENT LOSSES? David Kraft Formerly With Morgan Stanley Has 5 Customer Complaints For Alleged Broker Misconduct Who is David Kraft formerly with Morgan Stanley? David Kraft (CRD #2356400) who was formerly registered with Morgan Stanley and located in Palm Beach Gardens, Florida was the subject of a FINRA investigation and permanently barred from any further association with a FINRA member firm. He is also the subject of one of our many securities industry sales practice abuse investigations. David Kraft Customer Complaints David Kraft has been the subject of 5 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. One of David Kraft’s 5 customer complaints was settled in favor of investors. Four of David Kraft’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against David Kraft A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Misrepresentation with respect to mutual fund investments in account Removal of funds from accounts without authorization Unsuitable investment recommendations and unauthorized trading related to closed-end funds Unsuitable investment recommendation of mutual funds David Kraft Red Flags & Your Rights As An Investor Of course, David Kraft 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 Kraft at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether David Kraft has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley 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 Morgan Stanley Due To David Kraft If you have questions about Morgan Stanley and/or David Kraft 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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