Jun 27, 2022

Alexander Ladage of UBS Financial Services Inc.

DID ALEXANDER CHARLES LADAGE CAUSE YOU INVESTMENT LOSSES? Alexander Ladage Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Alexander Ladage of UBS Financial Services Inc.? Alexander Ladage (CRD #4452169) who is currently registered with UBS Financial Services Inc. and located in Austin, Texas is a subject of one of our many securities industry sales practice abuse investigations. Alexander Ladage Customer Complaint Alexander Ladage 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 that Alexander Ladage made misrepresentations and recommended unsuitable investments in leveraged exchange-traded notes.The customer complaint filed against Alexander Ladage’s current employer UBS Financial Services Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Alexander Ladage Red Flags & Your Rights As An Investor Of course, Alexander Ladage 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 Alexander Ladage at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Alexander Ladage 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 Alexander Ladage If you have questions about UBS Financial Services Inc. and/or Alexander Ladage 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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Jun 27, 2022

Cedric Powell of Ameriprise Financial Services LLC

It’s critical for everyone to learn all they can about the individuals with whom they entrust their money. There are several places where you may discover information on a person’s background, including prior employment history, regulatory enforcement actions, and consumer complaints. If you suffered investment losses due to Cedric Powell, we will do our best to answer any questions you may have. DID CEDRIC PERCELL POWELL CAUSE YOU INVESTMENT LOSSES? Cedric Powell Of Ameriprise Financial Services LLC And Formerly With Northwestern Mutual Investment Services, LLC Has 4 Customer Complaints For Alleged Broker Misconduct Who is Cedric Powell of Ameriprise Financial Services LLC? Cedric Powell (CRD #3249130) who is currently registered with Ameriprise Financial Services LLC and located in Tampa, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Ameriprise Financial Services LLC, Cedric Powell was associated with Northwestern Mutual Investment Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cedric Powell Customer Complaints Cedric Powell has been the subject of 4 customer complaints that we know about, 4 of those complaints were filed in the last year to recover investment losses. Two of Cedric Powell’s 4 customer complaints were settled in favor of investors. Two of Cedric Powell’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Cedric Powell A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Unauthorized withdrawals of funds from mutual fund account to pay premiums on insurance policies the customers were not aware existed. Financial Advisor purchase new life insurance policies as part of an investment portfolio and completed applications without their permission. Failure to explain risks of withdrawals from a 403B retirement account leading to unintended tax consequences. Cedric Powell Red Flags & Your Rights As An Investor Of course, Cedric Powell 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 Cedric Powell at Ameriprise Financial Services LLC and Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Cedric Powell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services LLC and Northwestern Mutual 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 Ameriprise Financial Services LLC Due To Cedric Powell If you have questions about Ameriprise Financial Services LLC, Northwestern Mutual Investment Services, LLC, and/or Cedric Powell 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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Jun 27, 2022

Adam Tafoya Formerly With First Heartland Capital, Inc.

DID ADAM L. TAFOYA CAUSE YOU INVESTMENT LOSSES? Adam Tafoya Formerly With First Heartland Capital, Inc. And NYLife Securities LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Adam Tafoya formerly with First Heartland Capital, Inc.? Adam Tafoya (CRD #6226541) who was formerly registered with First Heartland Capital, Inc. and located in Albuquerque, New Mexico is a subject of one of our many securities industry sales practice abuse investigations.  Prior to First Heartland Capital, Inc., Adam Tafoya was associated with NYLife Securities LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Adam Tafoya Customer Complaint Adam Tafoya 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 the suitability of a variable annuity policy recommended by Adam Tafoya which was settled.  Adam Tafoya’s customer complaint was settled in favor of the investors. Adam Tafoya Red Flags & Your Rights As An Investor Of course, Adam Tafoya 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 Adam Tafoya at First Heartland Capital, Inc. and NYLife Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Adam Tafoya has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Heartland Capital, Inc. and NYLife 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 First Heartland Capital, Inc. Due To Adam Tafoya If you have questions about First Heartland Capital, Inc., NYLife Securities LLC, and/or Adam Tafoya 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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Jun 27, 2022

Charles Correal of Harvest Financial Corporation

As a client, you are putting your money in the hands of someone you can trust. This is why it’s critical to learn everything there is to know about the individual managing your funds. This information may assist you in determining whether or not to work with a certain broker. If you believe Charles Correal has caused you investment losses, we may be able to assist you in addressing any concerns or issues that you have. DID CHARLES ALAN CORREAL CAUSE YOU INVESTMENT LOSSES? Charles Correal Of Harvest Financial Corporation And Formerly With Morgan Stanley Has 6 Customer Complaints For Alleged Broker Misconduct Who is Charles Correal of Harvest Financial Corporation? Charles Correal (CRD #1366202) who is currently registered with Harvest Financial Corporation and located in Pittsburgh, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Harvest Financial Corporation, Charles Correal was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Charles Correal Customer Complaints Charles Correal 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. Four of Charles Correal’s 6 customer complaints were settled in favor of investors. Two of Charles Correal’s customer complaints resulted in Awards in favor of investors. Allegations Against Charles Correal A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Breach of fiduciary duty, violations of Pennsylvania unfair trade practices and consumer protection laws, unsuitable investment recommendations, professional negligence, and breach of contract resulting in a arbitration award in favor of customer. Breach of fiduciary duty, violations of Pennsylvania unfair trade practices and consumer protection laws, unsuitable investment recommendations and professional negligence related to energy stocks and REIT resulting in an arbitration award in favor of customer. Unsuitable investment recommendations related to common and preferred stocks. Misrepresentation and unsuitable investment recommendations to purchase structured products. Unsuitable investment recommendation of oil and gas securities. Charles Correal Red Flags & Your Rights As An Investor Of course, Charles Correal 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 Charles Correal at Harvest Financial Corporation and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Charles Correal has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Harvest Financial Corporation and 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 Harvest Financial Corporation Due To Charles Correal If you have questions about Harvest Financial Corporation, Morgan Stanley, and/or Charles Correal 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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Jun 27, 2022

Michael Koehn of Park Avenue Securities LLC

DID MICHAEL CHARLES KOEHN CAUSE YOU INVESTMENT LOSSES? Michael Charles Koehn with Park Avenue Securities LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Michael C. Koehn with Park Avenue Securities LLC? Michael Koehn (CRD #1412960) who is currently registered with Park Avenue Securities LLC and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Park Avenue Securities LLC, Michael Koehn was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Park Avenue Securities LLC Broker Misconduct In his career, Michael Koehn has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. Both customer complaints were recently denied by Michael Koehn’s current employer Park Avenue Securities LLC for investment losses caused by his alleged misconduct and to date, the customers have not filed their arbitration claims. Allegations Against Michael Koehn A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleges that Michael Koehn misrepresented the spousal right or benefit in a variable annuity contract. Klein alleged that Michael Koehn misrepresented several variable annuity contracts. Michael Koehn Red Flags & Your Rights As An Investor Of course, Michael Koehn 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 Michael Koehn at Park Avenue Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Michael Koehn has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Park Avenue Securities LLC about Michael Koehn in such a short period also raises questions about its 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 Park Avenue Securities LLC If you have questions about Park Avenue Securities LLC and/or Michael Koehn 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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Jun 27, 2022

Bradd Cuppels of UBS Financial Services Inc.

DID BRADD LAWRENCE CUPPELS CAUSE YOU INVESTMENT LOSSES? Bradd Cuppels Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Bradd Cuppels of UBS Financial Services Inc.? Bradd Cuppels (CRD #1815527) who is currently registered with UBS Financial Services Inc. and located in Hyannis, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Bradd Cuppels Customer Complaint Bradd Cuppels 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 Bradd Cuppels made an unsuitable securities recommendation based on financial goals and investment objectives related to variable annuities.  The customer complaint filed against Bradd Cuppels’ current employer UBS Financial Services Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Bradd Cuppels Red Flags & Your Rights As An Investor Of course, Bradd Cuppels 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 Bradd Cuppels at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Bradd Cuppels 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 Bradd Cuppels If you have questions about UBS Financial Services Inc. and/or Bradd Cuppels 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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Jun 27, 2022

Carolina Medina of Morgan Stanley

DID CAROLINA MEDINA CAUSE YOU INVESTMENT LOSSES? Carolina Medina Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Carolina Medina of Morgan Stanley? Carolina Medina (CRD #6591189) who is currently registered with Morgan Stanley and located in Aventura, Florida is a subject of one of our many securities industry sales practice abuse investigations. Carolina Medina Customer Complaint Carolina Medina 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 Carolina Medina made unsuitable investment recommendations and overconcentrated client’s portfolio in Hertz bonds. Carolina Medina’s customer complaint was settled in favor of the investor. Carolina Medina Red Flags & Your Rights As An Investor Of course, Carolina Medina 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 Carolina Medina at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Carolina Medina 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 Carolina Medina If you have questions about Morgan Stanley and/or Carolina Medina 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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Jun 27, 2022

Christopher Barletta Formerly With National Securities

DID CHRISTOPHER JOHN BARLETTA CAUSE YOU INVESTMENT LOSSES? Christopher Barletta Formerly With National Securities And Aegis Capital Has 2 Customer Complaints For Alleged Broker Misconduct Who is Christopher Barletta formerly with National Securities? Christopher Barletta (CRD #2690600) who was formerly registered with National Securities and located in Jupiter, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to National Securities, Christopher Barletta was associated with Aegis Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Christopher Barletta Customer Complaints Christopher Barletta has been the subject of 2 customer complaints that we know about.  Both of Christopher Barletta’s 2 customer complaints was settled in favor of investors. Allegations Against Christopher Barletta A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleges misrepresentation, unsuitability, and excessive trading by Christopher Barletta. Customer alleged churning, misrepresentation and fraud by Christopher Barletta. Christopher Barletta Red Flags & Your Rights As An Investor Of course, Christopher Barletta 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 Christopher Barletta at National Securities and Aegis Capital on alert to review carefully the activity and performance of their accounts and question whether Christopher Barletta has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Securities and Aegis Capital 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 National Securities Due To Christopher Barletta If you have questions about National Securities, Aegis Capital, and/or Christopher Barletta 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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Jun 27, 2022

Benjamin Lowder of MSI Financial Services, Inc.

DID BENJAMIN BENOIT LOWDER JR CAUSE YOU INVESTMENT LOSSES? Benjamin Benoit Lowder Jr formerly with MSI Financial Services, Inc. Has 7 Customer Complaints For Alleged Broker Misconduct In the Past 3 Years Who is Benjamin B. Lowder Jr formerly with MSI Financial Services, Inc.? Benjamin Lowder (CRD #3014106) who was formerly registered with MSI Financial Services, Inc. and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to MSI Financial Services, Inc., Benjamin Lowder was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Not only has Benjamin Lowder’s employers had problems with the regulators, but he was recently barred by FINRA from any further association with any member firm in any capacity. This disciplinary action arose out of one of FINRA’s 8210 investigations into the number of customer complaints filed against him. Apparently, Benjamin Lowder refused to cooperate with the investigation and instead consented to the sanction of permanent bar. MSI Financial Services, Inc. Broker Misconduct In his career, Benjamin Lowder has been the subject of 7 customer complaints that we know about, all of those complaints were filed in the last 3 years to recover investment losses. All 7 customer complaints filed against Benjamin Lowder’s former employer MSI Financial Services, Inc. for investment losses caused by his alleged misconduct are currently pending. Allegations Against Benjamin Lowder A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Plaintiffs alleged Unfair and Deceptive Trade Practices and North Carolina securities act violations regarding investor’s recommendation that he invest in a private securities transaction.  The plaintiff alleged Unfair and Deceptive Trade Practice and North Carolina securities law violations connection with a fraud induced an investment in a fictitious entity. Benjamin Lowder Red Flags & Your Rights As An Investor Of course, Benjamin Lowder 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 Lowder at MSI Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Benjamin Lowder has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MSI Financial Services, Inc. also raises questions about 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 MSI Financial Services, Inc. If you have questions about MSI Financial Services, Inc. and/or Benjamin Lowder 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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Jun 27, 2022

Alan Fryman of Peak Brokerage Services, LLC

DID ALAN HOWARD FRYMAN CAUSE YOU INVESTMENT LOSSES? Alan Fryman Of Peak Brokerage Services, LLC And Formerly With LPL Financial LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Alan Fryman of Peak Brokerage Services, LLC? Alan Fryman (CRD #2173922) who is currently registered with Peak Brokerage Services, LLC and located in Jupiter, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Peak Brokerage Services, LLC, Alan Fryman was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Alan Fryman Customer Complaint Alan Fryman 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 that Alan Fryman made misrepresentations and misleading statements in connection with variable annuity transaction. Alan Fryman’s customer complaint was denied and, to date, the customer has not taken any further action. Alan Fryman Red Flags & Your Rights As An Investor Of course, Alan Fryman 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 Alan Fryman at Peak Brokerage Services, LLC and LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Alan Fryman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Peak Brokerage Services, LLC and 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 Peak Brokerage Services, LLC Due To Alan Fryman If you have questions about Peak Brokerage Services, LLC, LPL Financial LLC, and/or Alan Fryman 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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