Feb 22, 2022

Barry Abrams formerly with Ameriprise Financial Services, Inc.

DID BARRY DAVID ABRAMS CAUSE YOU INVESTMENT LOSSES? Barry Abrams Formerly With Ameriprise Financial Services, Inc. Has 5 Customer Complaints For Alleged Broker Misconduct Who is Barry Abrams formerly with Ameriprise Financial Services, Inc.? Barry Abrams (CRD #488) who was formerly registered with Ameriprise Financial Services, Inc. and located in Marlton, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.   Barry Abrams Customer Complaints Barry Abrams 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. Three of Barry Abrams’ 5 customer complaints were settled in favor of investors. Two of Barry Abrams’ customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Barry Abrams 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 to invest in FS Energy and Power and Corporate Capital Trust which was negligent and in breach of financial advisors fiduciary duty. Churning, misrepresentation, gross mismanagement of accounts, and unauthorized use of discretion in the management of customer’s account. Failure to disclose markup. Barry Abrams Red Flags & Your Rights As An Investor Of course, Barry Abrams 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 Abrams at Ameriprise Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Barry Abrams has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, 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 Ameriprise Financial Services, Inc. Due To Barry Abrams If you have questions about Ameriprise Financial Services, Inc. and/or Barry Abrams 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 22, 2022

Barry Richter of Raymond James & Associates, Inc.

DID BARRY D. RICHTER CAUSE YOU INVESTMENT LOSSES? Barry Richter Of Raymond James & Associates, Inc. Has 9 Customer Complaints For Alleged Broker Misconduct Who is Barry Richter of Raymond James & Associates, Inc.? Barry Richter (CRD # 1387197) who is currently registered with Raymond James & Associates, Inc. and located in Devon, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.   Barry Richter Customer Complaints Barry Richter has been the subject of 9 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Six of Barry Richter’s 9 customer complaints were settled in favor of investors. Two of Barry Richter’s customer complaints were denied and, to date, the customers have not taken any further action. There is currently 1 pending customer complaint filed against Barry Richter’s current employer Raymond James & Associates, Inc. for investment losses caused by the alleged misconduct. Allegations Against Barry Richter A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable concentration of REIT investments in portfolio. Failure to disclose that step down certificates of deposit had a 20 year maturity date, that this interest rate would step down after the 1st year, and the risks involved with their investment. Misrepresentation of investment as certificate of deposit when it was actually a bond transaction. Misrepresentation of terms of step down certificates of deposit is not having early withdrawal penalty. Misrepresentation of Provident certificate of deposit. Overconcentration and unsuitable investment recommendations in limited partnerships. Barry Richter Red Flags & Your Rights As An Investor Of course, Barry Richter 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 Richter at Raymond James & Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Barry Richter has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates, 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 Raymond James & Associates, Inc. Due To Barry Richter If you have questions about Raymond James & Associates, Inc. and/or Barry Richter 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 22, 2022

Barrett Brightwell of Merrill Lynch, Pierce, Fenner & Smith Incorporated

DID BARRETT C. BRIGHTWELL CAUSE YOU INVESTMENT LOSSES? Barrett Brightwell Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct Who is Barrett Brightwell of Merrill Lynch, Pierce, Fenner & Smith Incorporated? Barrett Brightwell (CRD #4973342) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Alpharetta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Barrett Brightwell Customer Complaints Barrett Brightwell has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. Both of Barrett Brightwell’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Barrett Brightwell 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 customers instructions. Misrepresentations related to a variable annuity, investment. Barrett Brightwell Red Flags & Your Rights As An Investor Of course, Barrett Brightwell 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 Barrett Brightwell at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Barrett Brightwell 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 Barrett Brightwell If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Barrett Brightwell 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 22, 2022

Ashley Upson of PFS Investments Inc.

DID ASHLEY MYLES UPSON CAUSE YOU INVESTMENT LOSSES? Ashley Upson Of PFS Investments Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Ashley Upson of PFS Investments Inc.? Ashley Upson (CRD #5231420) who is currently registered with PFS Investments Inc. and located in Rocky Hill, Connecticut is a subject of one of our many securities industry sales practice abuse investigations.   Ashley Upson Customer Complaint Ashley Upson 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 her ex-husband alleged he took electronic withdrawals from his IRA account without his knowledge or consent during the course of their marriage.  Ashley Upson’s customer complaint was denied and, to date, the customer has not taken any further action. Ashley Upson Red Flags & Your Rights As An Investor Of course, Ashley Upson 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 Ashley Upson at PFS Investments Inc. on alert to review carefully the activity and performance of their accounts and question whether Ashley Upson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PFS Investments 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 PFS Investments Inc. Due To Ashley Upson If you have questions about PFS Investments Inc. and/or Ashley Upson 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 21, 2022

Arturo Campos of Parkland Securities, LLC

DID ARTURO MARTINEZ CAMPOS CAUSE YOU INVESTMENT LOSSES? Arturo Campos Of Parkland Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Arturo Campos of Parkland Securities, LLC? Arturo Campos (CRD #39501) who is currently registered with Parkland Securities, LLC and located in Fair Oaks, California is a subject of one of our many securities industry sales practice abuse investigations. Arturo Campos Customer Complaints Arturo Campos 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 Arturo Campos’ customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Arturo Campos 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 surrender charges on insurance contract surrendered. Unsuitable investment recommendation. Arturo Campos Red Flags & Your Rights As An Investor Of course, Arturo Campos 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 Arturo Campos at Parkland Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Arturo Campos has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Parkland 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 Parkland Securities, LLC Due To Arturo Campos If you have questions about Parkland Securities, LLC and/or Arturo Campos 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 18, 2022

Arthur Faren of Truist Investment Services, Inc.

DID ARTHUR GILBERT FAREN CAUSE YOU INVESTMENT LOSSES? Arthur Faren Of Truist Investment Services, Inc. And Formerly With Wells Fargo Clearing Services, LLC Has 6 Customer Complaints For Alleged Broker Misconduct Who is Arthur Faren of Truist Investment Services, Inc.? Arthur Faren (CRD #1958380) who is currently registered with Truist Investment Services, Inc. and located in Fort Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Truist Investment Services, Inc., Arthur Faren was associated with Wells Fargo Clearing Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Arthur Faren Customer Complaints Arthur Faren 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. Two of Arthur Faren’s 6 customer complaints were settled in favor of investors. Three of Arthur Faren’s customer complaints were denied and, to date, the customers have not taken any further action. There is currently 1 pending customer complaint filed against Arthur Faren’s former employer Suntrust Investment Services, Inc. for investment losses caused by the alleged misconduct. Allegations Against Arthur Faren 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 of common and preferred stock. Unauthorized sales of mutual funds. Unsuitable investment recommendations of mutual funds. Unsuitable investment recommendations of junk bonds. Arthur Faren Red Flags & Your Rights As An Investor Of course, Arthur Faren 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 Arthur Faren at Truist Investment Services, Inc. and Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Arthur Faren has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Truist Investment Services, Inc. and Wells Fargo Clearing 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 Truist Investment Services, Inc. Due To Arthur Faren If you have questions about Truist Investment Services, Inc., Wells Fargo Clearing Services, LLC and/or Arthur Faren 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 18, 2022

Anthony Ragusa of LPL Financial LLC

DID ANTHONY P. RAGUSA CAUSE YOU INVESTMENT LOSSES? Anthony Ragusa Of LPL Financial LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Anthony Ragusa of LPL Financial LLC? Anthony Ragusa (CRD #4075624) who is currently registered with LPL Financial LLC and located in Baton Rouge, Louisiana is a subject of one of our many securities industry sales practice abuse investigations. Anthony Ragusa Customer Complaint Anthony Ragusa 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 in usufruct account. Anthony Ragusa’s customer complaint was settled in favor of the investors. Anthony Diminno Red Flags & Your Rights As An Investor Of course, Anthony Ragusa 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 Anthony Ragusa at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Anthony Ragusa 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 Anthony Ragusa If you have questions about LPL Financial LLC and/or Anthony Ragusa 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 18, 2022

Anthony Carpenito of J.P. Morgan Securities LLC

DID ANTHONY NICHOLAS CARPENITO CAUSE YOU INVESTMENT LOSSES? Anthony Carpenito Of J.P. Morgan Securities LLC And Formerly With Stifel, Nicolaus & Company Has A Customer Complaint For Alleged Broker Misconduct Who is Anthony Carpenito of J.P. Morgan Securities LLC? Anthony Carpenito (CRD #5446992) who is currently registered with J.P. Morgan Securities LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to J.P. Morgan Securities LLC, Anthony Carpenito was associated with Stifel, Nicolaus & Company and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Anthony Carpenito Customer Complaint Anthony Carpenito 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 misrepresentations regarding a variable annuity investment.  Anthony Carpenito’s customer complaint was denied and, to date, the customer has not taken any further action. Anthony Carpenito Red Flags & Your Rights As An Investor Of course, Anthony Carpenito 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 Anthony Carpenito at J.P. Morgan Securities LLC and Stifel, Nicolaus & Company on alert to review carefully the activity and performance of their accounts and question whether Anthony Carpenito has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities LLC and Stifel, Nicolaus & Company also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At J.P. Morgan Securities LLC Due To Anthony Carpenito If you have questions about J.P. Morgan Securities LLC, Stifel, Nicolaus & Company and/or Anthony Carpenito 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 17, 2022

Anthony Crisci of NYLife Securities LLC

DID ANTHONY MICHAEL CRISCI JR CAUSE YOU INVESTMENT LOSSES? Anthony Crisci Of NYLife Securities LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Anthony Crisci of NYLife Securities LLC? Anthony Crisci (CRD #2328166) who is currently registered with NYLife Securities LLC and located in Newark, New York is a subject of one of our many securities industry sales practice abuse investigations. Anthony Crisci Customer Complaint Anthony Crisci 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 include “good to age 95 provision” in variable universal life insurance policy purchased through financial advisor.  Anthony Crisci’s customer complaint was denied and, to date, the customer has not taken any further action. Anthony Crisci Red Flags & Your Rights As An Investor Of course, Anthony Crisci 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 Anthony Crisci at NYLife Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Anthony Crisci 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 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 NYLife Securities LLC Due To Anthony Crisci If you have questions about NYLife Securities LLC and/or Anthony Crisci 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 17, 2022

Anthony Pucci of Craft Capital Management LLC

DID ANTHONY JOHN ROBERT PUCCI CAUSE YOU INVESTMENT LOSSES? Anthony Pucci Of Craft Capital Management LLC And Formerly With Aegis Capital Corp., First Standard Financial Company LLC And Laidlaw & Company (UK) Ltd. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Anthony Pucci of Craft Capital Management LLC? Anthony Pucci (CRD #6120523) who is currently registered with Craft Capital Management LLC and located in Garden City, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Craft Capital Management LLC, Anthony Pucci was associated with Aegis Capital Corp., First Standard Financial Company LLC, Laidlaw & Company (UK) Ltd. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Anthony Pucci Customer Complaints Anthony Pucci has been the subject of2 customer complaints that we know about, 1of those complaints was filed in the last year to recover investment losses. One of Anthony Pucci’s 2 customer complaints was settled in favor of investor. There is currently 1 pending customer complaint filed against Anthony Pucci’s former employer Aegis Capital Corp. for investment losses caused by the alleged misconduct. Allegations Against Anthony Pucci 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 and strategy in breach of fiduciary duty and contract. Unsuitable investment recommendations. Anthony Pucci Red Flags & Your Rights As An Investor Of course, Anthony Pucci 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 Anthony Pucci at Craft Capital Management LLC, Aegis Capital Corp., First Standard Financial Company LLC, and Laidlaw & Company (UK) Ltd. on alert to review carefully the activity and performance of their accounts and question whether Anthony Pucci has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Craft Capital Management LLC, Aegis Capital Corp., First Standard Financial Company LLC, and Laidlaw & Company (UK) Ltd. 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 Craft Capital Management LLC Due To Anthony Pucci If you have questions about Craft Capital Management LLC, Aegis Capital Corp., First Standard Financial Company LLC, Laidlaw & Company (UK) Ltd. and/or Anthony Pucci 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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