Feb 25, 2022

Bradford Hardy of Fidelity Brokerage Services LLC

DID BRADFORD TAYLOR HARDY CAUSE YOU INVESTMENT LOSSES? Bradford Hardy Of Fidelity Brokerage Services LLC And Formerly With TIAA-CREF Individual & Institutional Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Bradford Hardy of Fidelity Brokerage Services LLC? Bradford Hardy (CRD #5988282) who is currently registered with Fidelity Brokerage Services LLC and located in San Antonio, Texas is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Fidelity Brokerage Services LLC, Bradford Hardy was associated with TIAA-CREF Individual & Institutional Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Bradford Hardy Customer Complaint Bradford Hardy 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 Bradford Hardy provided poor advice related to an investment strategy involving the purchase of a home and tax consequences related thereto.  Bradford Hardy’s customer complaint was denied and, to date, the customer has not taken any further action. Bradford Hardy Red Flags & Your Rights As An Investor Of course, Bradford Hardy 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 Bradford Hardy at Fidelity Brokerage Services LLC and TIAA-CREF Individual & Institutional Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Bradford Hardy has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage Services LLC and 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 Fidelity Brokerage Services LLC Due To Bradford Hardy If you have questions about Fidelity Brokerage Services LLC, TIAA-CREF Individual & Institutional Services, LLC and/or Bradford Hardy 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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Feb 25, 2022

Brad Biggs of Raymond James Financial Services, Inc.

DID BRAD DUNAGAN BIGGS CAUSE YOU INVESTMENT LOSSES? Brad Biggs Of Raymond James Financial Services, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Brad Biggs of Raymond James Financial Services, Inc.? Brad Biggs (CRD #2770237) who is currently registered with Raymond James Financial Services, Inc. and located in Jackson, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Brad Biggs Customer Complaint Brad Biggs 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 for an unsuitable investment strategy recommendation. Brad Biggs’ customer complaint was settled in favor of the investors. Brad Biggs Red Flags & Your Rights As An Investor Of course, Brad Biggs 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 Brad Biggs at Raymond James Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Brad Biggs has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James 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 Raymond James Financial Services, Inc. Due To Brad Biggs If you have questions about Raymond James Financial Services, Inc. and/or Brad Biggs 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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Feb 24, 2022

Biaggio Caroleo of SW Financial

DID BIAGGIO ANTHONY CAROLEO CAUSE YOU INVESTMENT LOSSES? Biaggio Caroleo Of SW Financial And Formerly With Worden Capital Management LLC And Legend Securities, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Biaggio Caroleo of SW Financial? Biaggio Caroleo (CRD #5256393) who is currently registered with SW Financial and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to SW Financial, Biaggio Caroleo was associated with Worden Capital Management LLC, Legend Securities, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Biaggio Caroleo Customer Complaint Biaggio Caroleo 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 churning, unsuitable investment recommendations, breach of fiduciary duty, breach of contract, negligent misrepresentation and omissions involving common and preferred stock. The customer complaint filed against Biaggio Caroleo’s former employer Worden Capital Management LLC for investment losses caused by the alleged misconduct is pending as of the date of this report. Biaggio Caroleo Red Flags & Your Rights As An Investor Of course, Biaggio Caroleo 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 Biaggio Caroleo at SW Financial, Worden Capital Management LLC and Legend Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Biaggio Caroleo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SW Financial, Worden Capital Management LLC and Legend 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 SW Financial Due To Biaggio Caroleo If you have questions about SW Financial, Worden Capital Management LLC, Legend Securities, Inc. and/or Biaggio Caroleo 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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Feb 24, 2022

Betty Fenton of U.S. Bancorp Investments, Inc.

DID BETTY LEANNE FENTON CAUSE YOU INVESTMENT LOSSES? Betty Fenton Of U.S. Bancorp Investments, Inc. And Formerly With Ameriprise Financial Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Betty Fenton of U.S. Bancorp Investments, Inc.? Betty Fenton (CRD #4360567) who is currently registered with U.S. Bancorp Investments, Inc. and located in Incline Village, Nevada is a subject of one of our many securities industry sales practice abuse investigations.  Prior to U.S. Bancorp Investments, Inc., Betty Fenton was associated with Ameriprise Financial Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.  Betty Fenton Customer Complaint Betty Fenton 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 alternative investments involving FSKR and Watermark Lodging Trust. The customer complaint filed against Betty Fenton’s former employer Ameriprise Financial Services, LLC for investment losses caused by the alleged misconduct is pending as of the date of this report. Betty Fenton Red Flags & Your Rights As An Investor Of course, Betty Fenton 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 Betty Fenton at U.S. Bancorp Investments, Inc. and Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Betty Fenton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at U.S. Bancorp Investments, Inc. and 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 U.S. Bancorp Investments, Inc. Due To Betty Fenton If you have questions about U.S. Bancorp Investments, Inc., Ameriprise Financial Services, LLC and/or Betty Fenton 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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Feb 23, 2022

Benjamin Duckett of Morgan Stanley

DID BENJAMIN FRANKLIN DUCKETT CAUSE YOU INVESTMENT LOSSES? Benjamin Duckett Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Benjamin Duckett of Morgan Stanley? Benjamin Duckett (CRD #6143741) who is currently registered with Morgan Stanley and located in Beverly Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Benjamin Duckett Customer Complaint Benjamin Duckett 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 risks of an option call strategy in clients account was not fully explained.  Benjamin Duckett’s customer complaint was denied and, to date, the customer has not taken any further action. Benjamin Duckett Red Flags & Your Rights As An Investor Of course, Benjamin Duckett 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 Benjamin Duckett at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Benjamin Duckett 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 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 Morgan Stanley Due To Benjamin Duckett If you have questions about Morgan Stanley and/or Benjamin Duckett 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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Feb 23, 2022

Bartholomew McDonald formerly with Wedbush Securities Inc.

DID BARTHOLOMEW FORD MCDONALD CAUSE YOU INVESTMENT LOSSES? Bartholomew McDonald Formerly With Wedbush Securities Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Bartholomew McDonald formerly with Wedbush Securities Inc.? Bartholomew McDonald (CRD #5196342) who was formerly registered with Wedbush Securities Inc. and located in La Jolla, California is a subject of one of our many securities industry sales practice abuse investigations. Bartholomew McDonald Customer Complaint Bartholomew McDonald 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, misrepresentations and unauthorized use of discretion in connection with mutual fund investments.  Bartholomew McDonald’s customer complaint was denied and, to date, the customer has not taken any further action. Bartholomew McDonald Red Flags & Your Rights As An Investor Of course, Bartholomew McDonald 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 Bartholomew McDonald at Wedbush Securities Inc. on alert to review carefully the activity and performance of their accounts and question whether Bartholomew McDonald has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wedbush 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 Wedbush Securities Inc. Due To Bartholomew McDonald If you have questions about Wedbush Securities Inc. and/or Bartholomew McDonald 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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Feb 23, 2022

Barry Debany of Cetera Advisor Networks LLC

DID BARRY PAUL DEBANY CAUSE YOU INVESTMENT LOSSES? Barry Debany Of Cetera Advisor Networks LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Barry Debany of Cetera Advisor Networks LLC? Barry Debany (CRD #2208573) who is currently registered with Cetera Advisor Networks LLC and located in Tarrytown, New York is a subject of one of our many securities industry sales practice abuse investigations.   Barry Debany Customer Complaints Barry Debany has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses.  One of Barry Debany’s 2 customer complaints was settled in favor of investors. One of Barry Debany’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Barry Debany A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Financial advisor placed trades without her authorization and did not take tax implications into consideration when making those investments. Misrepresentation related to purchase of an AXA Equitable variable annuity. Barry Debany Red Flags & Your Rights As An Investor Of course, Barry Debany 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 Barry Debany at Cetera Advisor Networks LLC on alert to review carefully the activity and performance of their accounts and question whether Barry Debany has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks 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 AtCetera Advisor Networks LLC Due To Barry Debany If you have questions about Cetera Advisor Networks LLC and/or Barry Debany 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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Feb 23, 2022

Barry Sobel of Raymond James & Associates, Inc.

DID BARRY MARC SOBEL CAUSE YOU INVESTMENT LOSSES? Barry Sobel Of Raymond James & Associates, Inc. And Formerly With Deutsche Bank Securities Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Barry Sobel of Raymond James & Associates, Inc.? Barry Sobel (CRD #2014407) who is currently registered with Raymond James & Associates, Inc. and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James & Associates, Inc., Barry Sobel was associated with Deutsche Bank Securities Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Barry Sobel Customer Complaint Barry Sobel 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 investments in a discretionary account, and breach of contract and financial advisors fiduciary duty. The customer complaint filed against Barry Sobel’s former employer Deutsche Bank Securities Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Barry Sobel Red Flags & Your Rights As An Investor Of course, Barry Sobel 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 Barry Sobel at Raymond James & Associates, Inc. and Deutsche Bank Securities Inc. on alert to review carefully the activity and performance of their accounts and question whether Barry Sobel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates, Inc. and Deutsche Bank 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 Raymond James & Associates, Inc. Due To Barry Sobel If you have questions about Raymond James & Associates, Inc., Deutsche Bank Securities Inc. and/or Barry Sobel 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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Feb 23, 2022

Barry Hartman formerly with FSC Securities Corporation

DID BARRY GEORGE HARTMAN CAUSE YOU INVESTMENT LOSSES? Barry Hartman Formerly With FSC Securities Corporation Has 23 Customer Complaints For Alleged Broker Misconduct Who is Barry Hartman formerly with FSC Securities Corporation? Barry Hartman (CRD #1361232) who was formerly registered with FSC Securities Corporation and located in Missoula, Montana is a subject of one of our many securities industry sales practice abuse investigations. Barry Hartman Customer Complaints Barry Hartman has been the subject of 23 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Seventeen of Barry Hartman’s 23 customer complaints were settled in favor of investors. Three of Barry Hartman’s customer complaints were denied and, to date, the customers have not taken any further action. There are currently 3 pending customer complaints filed against Barry Hartman’s former employer FSC Securities Corporation for investment losses caused by the alleged misconduct. Allegations Against Barry Hartman A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Sale of investment that was not approved by an employer. Violation of Montana securities act, consumer protection act, breach of contract, misrepresentation, breach of fiduciary duty, negligence, and gross negligence. Violation of duties owed to client with respect to a REIT investments. Violations of the Montana securities act, breach of fiduciary duty, common law fraud, in violation of FINRA rules 2010, 2020, 2111, 2310, 3010. Unsuitable and unauthorized transactions involving equipment leasing products. Negligence involving the sale of Invizeon. Breach of fiduciary duty, negligence, and fraud related to variable annuity, common and preferred stock, mutual fund, and real estate securities investments. Unsuitable investment recommendations involving equipment leasing, mutual fund, and real estate securities. Breach of fiduciary duty, negligence, and fraud related to oil and gas investments. Barry Hartman Red Flags & Your Rights As An Investor Of course, Barry Hartman 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 Barry Hartman at FSC Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Barry Hartman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at FSC 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 FSC Securities Corporation Due To Barry Hartman If you have questions about FSC Securities Corporation and/or Barry Hartman 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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Feb 23, 2022

Barry Rubin of Merrill Lynch, Pierce, Fenner & Smith Incorporated

DID BARRY EVAN RUBIN CAUSE YOU INVESTMENT LOSSES? Barry Rubin Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 3 Customer Complaints For Alleged Broker Misconduct Who is Barry Rubin of Merrill Lynch, Pierce, Fenner & Smith Incorporated? Barry Rubin (CRD #2176696) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Delray Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Barry Rubin Customer Complaints Barry Rubin 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. One of Barry Rubin’s 3 customer complaints resulted in an Award in favor of investor. One of Barry Rubin’s customer complaints was settled in favor of investors. One of Barry Rubin’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Barry Rubin A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unauthorized transactions resulting in an arbitration award to customer. Trustee failed to pay insurance premiums resulting in policy lapse. Unsuitable investment recommendations involving mutual funds. Barry Rubin Red Flags & Your Rights As An Investor Of course, Barry Rubin 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 Barry Rubin at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Barry Rubin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated 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 Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Barry Rubin If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Barry Rubin 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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