Nov 15, 2022

David Estrella of Vanguard Marketing Corporation

DID DAVID MANUEL ESTRELLA CAUSE YOU INVESTMENT LOSSES? David Estrella Of Vanguard Marketing Corporation Has A Customer Complaint For Alleged Broker Misconduct Who is David Estrella of Vanguard Marketing Corporation? David Estrella (CRD #5421634) who is currently registered with Vanguard Marketing Corporation and located in Malvern, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.   David Estrella Customer Complaint David Estrella has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were David Estrella ignored the client’s instructions to minimize his stock holding exposure. David Estrella’s customer complaint was denied, and, to date, the customer has not taken any further action. David Estrella Red Flags & Your Rights As An Investor Of course, David Estrella 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 Estrella at Vanguard Marketing Corporation on alert to review carefully the activity and performance of their accounts and question whether has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vanguard Marketing Corporation also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Vanguard Marketing Corporation Due To David Estrella If you have questions about Vanguard Marketing Corporation and/or David Estrella 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 15, 2022

David Martinez formerly with Ameriprise Financial Services, LLC

DID DAVID LEWIS MARTINEZ CAUSE YOU INVESTMENT LOSSES? David Martinez Formerly With Ameriprise Financial Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is David Martinez formerly with Ameriprise Financial Services, LLC? David Martinez (CRD #2380628) who was formerly registered with Ameriprise Financial Services, LLC and located in Austin, Texas is a subject of one of our many securities industry sales practice abuse investigations.   David Martinez Customer Complaint David Martinez has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were failure to follow client instructions. David Martinez’s customer complaint was denied, and, to date, the customer has not taken any further action. David Martinez Red Flags & Your Rights As An Investor Of course, David Martinez 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 Martinez at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether David Martinez 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 David Martinez If you have questions about Ameriprise Financial Services, LLC and/or David Martinez 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 15, 2022

David Arlein of Cabot Lodge Securities LLC

DID DAVID LESLIE ARLEIN CAUSE YOU INVESTMENT LOSSES? David Arlein Of Cabot Lodge Securities LLC Has 20 Customer Complaints For Alleged Broker Misconduct Who is David Arlein of Cabot Lodge Securities LLC? David Arlein (CRD #7145) who is currently registered with Cabot Lodge Securities LLC and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations.     David Arlein Customer Complaints David Arlein has been the subject of 20 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Four of David Arlein’s 20 customer complaints resulted in Awards in favor of investors. Fifteen of David Arlein’s customer complaints were settled in favor of investors.  One of David Arlein’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against David Arlein 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 resulting in multiple arbitration awards Breach of contract, violation of state securities statutes, breach of fiduciary duty, misrepresentation, and negligence related to various alternative investments Unsuitable recommendations and negligence related to various alternative investments Unsuitable recommendations of various illiquid alternative investments Unsuitable recommendations and misrepresentations of investments Unsuitable recommendations to purchase low grade corporate bonds Unsuitable investment strategy Unsuitable recommendations to purchase high yield mutual funds David Arlein Red Flags & Your Rights As An Investor Of course, David Arlein 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 Arlein at Cabot Lodge Securities LLC on alert to review carefully the activity and performance of their accounts and question whether David Arlein has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cabot Lodge 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 Cabot Lodge Securities LLC Due To David Arlein If you have questions about Cabot Lodge Securities LLC and/or David Arlein 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 11, 2022

David Poulnot of Lincoln Financial Securities Corporation

DID DAVID LAWRENCE POULNOT CAUSE YOU INVESTMENT LOSSES? David Poulnot Of Lincoln Financial Securities Corporation Has 2 Customer Complaints For Alleged Broker Misconduct Who is David Poulnot of Lincoln Financial Securities Corporation? David Poulnot (CRD #2217598) who is currently registered with Lincoln Financial Securities Corporation and located in North Charleston, South Carolina is a subject of one of our many securities industry sales practice abuse investigations.   David Poulnot Customer Complaints David Poulnot has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Both of David Poulnot’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against David Poulnot 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 illiquidity of REIT investment Unsuitable recommendation of annuity investment and failure to disclose tax penalties David Poulnot Red Flags & Your Rights As An Investor Of course, David Poulnot 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 Poulnot at Lincoln Financial Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether David Poulnot has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lincoln Financial 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 Lincoln Financial Securities Corporation Due To David Poulnot If you have questions about Lincoln Financial Securities Corporation and/or David Poulnot 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 11, 2022

David Givnish of LPL Financial LLC?

DID DAVID LAWRENCE GIVNISH CAUSE YOU INVESTMENT LOSSES? David Givnish Of LPL Financial LLC And Formerly With National Planning Corporation Has A Customer Complaint For Alleged Broker Misconduct Who is David Givnish of LPL Financial LLC? David Givnish (CRD #2435299) who is currently registered with LPL Financial LLC and located in Carefree, Arizona is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, David Givnish was associated with National Planning Corporation and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Givnish Customer Complaint David Givnish 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 insurance policy. David Givnish’s customer complaint was denied and, to date, the customer has not taken any further action. David Givnish Red Flags & Your Rights As An Investor Of course, David Givnish 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 Givnish at LPL Financial LLC and National Planning Corporation on alert to review carefully the activity and performance of their accounts and question whether David Givnish has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and National Planning Corporation also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To David Givnish If you have questions about LPL Financial LLC, National Planning Corporation and/or David Givnish 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 11, 2022

David Sager of Wells Fargo Clearing Services, LLC

DID DAVID KEVIN SAGER CAUSE YOU INVESTMENT LOSSES? David Sager Of Wells Fargo Clearing Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is David Sager of Wells Fargo Clearing Services, LLC? David Sager (CRD #4416389) who is currently registered with Wells Fargo Clearing Services, LLC and located in Fayetteville, Arizona is a subject of one of our many securities industry sales practice abuse investigations.   David Sager Customer Complaint David Sager 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 investment in an aggressive mutual fund. David Sager’s customer complaint was settled in favor of the investor. David Sager Red Flags & Your Rights As An Investor Of course, David Sager 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 Sager at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether David Sager 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 David Sager If you have questions about Wells Fargo Clearing Services, LLC and/or David Sager 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 11, 2022

David Fowler formerly with Proequities, Inc.

DID DAVID KEITH FOWLER CAUSE YOU INVESTMENT LOSSES? David Fowler Formerly With Proequities, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is David Fowler formerly with Proequities, Inc.? David Fowler (CRD #6090758) who was formerly registered with Proequities, Inc. and located in Portland, Oregon is a subject of one of our many securities industry sales practice abuse investigations.   David Fowler Customer Complaint David Fowler 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 recommendation of alternative investments in business development company and REIT. David Fowler’s customer complaint was settled in favor of the investor. David Fowler Red Flags & Your Rights As An Investor Of course, David Fowler 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 Fowler at Proequities, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Fowler has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Proequities, 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 Proequities, Inc. Due To David Fowler If you have questions about Proequities, Inc. and/or David Fowler 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 11, 2022

David White of Cambridge Investment Research, Inc.

DID DAVID JONATHAN WHITE CAUSE YOU INVESTMENT LOSSES? David White Of Cambridge Investment Research, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is David White of Cambridge Investment Research, Inc.? David White (CRD #2606002) who is currently registered with Cambridge Investment Research, Inc. and located in Salt Lake City, Utah is a subject of one of our many securities industry sales practice abuse investigations.   David White Customer Complaints David White 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 David White’s 2 customer complaints was settled in favor of investor. One of David White’s customer complaints was denied, and, to date, the customer has not taken any further action. Allegations Against David White 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 instructions to liquidate account Unsuitable recommendation of preferred stock David White Red Flags & Your Rights As An Investor Of course, David White 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 White at Cambridge Investment Research, Inc. on alert to review carefully the activity and performance of their accounts and question whether David White 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 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 Cambridge Investment Research, Inc. Due To David White If you have questions about Cambridge Investment Research, Inc. and/or David White 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 11, 2022

David Zupek of Concorde Investment Services, LLC

DID DAVID JON ZUPEK CAUSE YOU INVESTMENT LOSSES? David Zupek Of Concorde Investment Services, LLC Has 6 Customer Complaints For Alleged Broker Misconduct Who is David Zupek of Concorde Investment Services, LLC? David Zupek (CRD #2250376) who is currently registered with Concorde Investment Services, LLC and located in Racine, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. David Zupek has been the subject of 6 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses.  All 6 of David Zupek’s customer complaints were settled in favor of investors. Allegations Against David Zupek 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, misrepresentation, and violations of FINRA rules related to direct and/or limited partnership investments Breach of fiduciary duty and negligence related to direct and/or limited partnership investments Excessive and unauthorized trading Unsuitable investment strategy recommendation Unauthorized switches within investments with variable annuity Misrepresentation and unsuitable recommendations of mutual funds and life insurance David Zupek Red Flags & Your Rights As An Investor Of course, David Zupek 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 Zupek at Concorde Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether David Zupek has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Concorde Investment 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 Concorde Investment Services, LLC Due To David Zupek If you have questions about Concorde Investment Services, LLC and/or David Zupek 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 10, 2022

David Nastri of LPL Financial LLC

DID DAVID JON NASTRI CAUSE YOU INVESTMENT LOSSES? David Nastri Of LPL Financial LLC Has A Customer Complaint For Alleged Broker Misconduct Who is David Nastri of LPL Financial LLC? David Nastri (CRD #5178144) who is currently registered with LPL Financial LLC and located in Cheshire, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. David Nastri Customer Complaint David Nastri 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 recommendation and failure to disclose risk of structured product investment. David Nastri’s customer complaint was denied and, to date, the customer has not taken any further action. David Nastri Red Flags & Your Rights As An Investor Of course, David Nastri 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 Nastri at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether David Nastri 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 David Nastri If you have questions about LPL Financial LLC and/or David Nastri 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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