Jul 8, 2022

Christopher Phillips of RBC Capital Markets, LLC

As a client, you put your money in the hands of someone you can trust. This is why it’s critical to understand everything there is to know about the individual managing your money. This knowledge might assist you in determining whether or not to work with a specific broker. If you believe Christopher Phillips has caused you financial harm, we may be able to assist you with any concerns or issues you have. DID CHRISTOPHER LAWRENCE PHILLIPS CAUSE YOU INVESTMENT LOSSES? Christopher Phillips Of RBC Capital Markets, LLC And Formerly With Merrill Lynch Pierce, Fenner & Smith Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct Who is Christopher Phillips of RBC Capital Markets, LLC? Christopher Phillips (CRD #4761544) who is currently registered with RBC Capital Markets, LLC and located in Stamford, Connecticut is a subject of one of our many securities industry sales practice abuse investigations.  Prior to RBC Capital Markets, LLC, Christopher Phillips was associated with Merrill Lynch Pierce, Fenner & Smith Incorporated and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Christopher Phillips Customer Complaints Christopher Phillips 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. One of Christopher Phillips’ customer complaints was denied and, to date, the customers have not taken any further action.  There is currently 1 pending customer complaint filed against Christopher Phillips’ current employer RBC Capital Markets, LLC for investment losses caused by the alleged misconduct. Allegations Against Christopher Phillips 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 strategy related to oil and gas investments along with conflicts of interest. Failure to diversify employee pension IRA accounts and overconcentration in oil and gas investments which was an unsuitable investment strategy. Christopher Phillips Red Flags & Your Rights As An Investor Of course, Christopher Phillips 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 Phillips at RBC Capital Markets, LLC and Merrill Lynch Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Christopher Phillips has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC and 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 RBC Capital Markets, LLC Due To Christopher Phillips If you have questions about RBC Capital Markets, LLC, Merrill Lynch Pierce, Fenner & Smith Incorporated, and/or Christopher Phillips 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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Jul 8, 2022

Christopher Pitera Of MML Investors Service

It is critical for everyone to understand as much as they can about the people with whom they entrust their money. There are a variety of places where you may discover information on a person’s background, including past employment history, regulatory enforcement actions, and consumer complaints. This critical information may lead to concerns about Christopher Pitera and any investment losses you incurred. We’ll do our best to answer any questions you have. DID CHRISTOPHER JOSEPH PITERA CAUSE YOU INVESTMENT LOSSES? Christopher Pitera Of MML Investors Service, LLC And Formerly With MSI Financial Services, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Christopher Pitera Of MML Investors Service, LLC And Formerly With MSI Financial Services, Inc.? Christopher Pitera (CRD #2873479) who is currently registered with MML Investors Service, LLC and located in Plantation, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Service, LLC, Christopher Pitera was associated with MSI Financial Services, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Christopher Pitera Customer Complaint Christopher Pitera 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 Christopher Pitera failed to disclose all the information related to the purchase of an annuity with proceeds from securities liquidation in her account, particularly the 8% penalty that would be charged if she liquidated her account in less than a year. Christopher Pitera’s customer complaint was denied and, to date, the customer has not taken any further action. Christopher Pitera Red Flags & Your Rights As An Investor Of course, Christopher Pitera 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 Pitera at MML Investors Service, LLC and MSI Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Pitera has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Service, LLC and MSI 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 MML Investors Service, LLC Due To Christopher Pitera If you have questions about MML Investors Service, LLC, MSI Financial Services, Inc., and/or Christopher Pitera 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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Jul 8, 2022

Christopher McCoy of Calton & Associates, Inc.

As a client, you put your money in the hands of a broker you can trust. This is why it’s critical to learn everything there is to know about the individual investing your funds. This information may assist you in determining whether or not to work with a certain broker. We may be able to help you address any concerns or problems you have if you believe Christopher McCoy has caused you financial harm. DID CHRISTOPHER JOSEPH MCCOY CAUSE YOU INVESTMENT LOSSES? Christopher McCoy Of Calton & Associates, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Christopher McCoy of Calton & Associates, Inc.? Christopher McCoy (CRD # 4113108) who is currently registered with Calton & Associates, Inc. and located in Montclair, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.   Christopher McCoy Customer Complaints Christopher McCoy 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. One of Christopher McCoy’s 2 customer complaints was settled in favor of investors. One of Christopher McCoy’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Christopher McCoy A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable recommendations of common and preferred stock in breach of financial adviser’s fiduciary duty, negligence, and violations of state securities laws. Unsuitable recommendations related to common and preferred stock and real estate securities in breach of financial adviser’s duties to customer and unauthorized use of discretion in making transactions in the account. Christopher McCoy Red Flags & Your Rights As An Investor Of course, Christopher McCoy 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 McCoy at Calton & Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher McCoy has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Calton & 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 Calton & Associates, Inc. Due To Christopher McCoy If you have questions about Calton & Associates, Inc. and/or Christopher McCoy 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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Jul 7, 2022

Christopher Tolman of TIAA-CREF Individual & Institutional Services, LLC

It is critical that everyone understand as much as possible about the people with whom they entrust their money. There are several sources where you may learn more about a person’s background, such on previous employment history, regulatory disciplinary actions, and consumer complaints. We will do our utmost to answer any questions you may have about Christopher Tolman and your investment losses. DID CHRISTOPHER JOHN TOLMAN CAUSE YOU INVESTMENT LOSSES? Christopher Tolman Of TIAA-CREF Individual & Institutional Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Christopher Tolman of TIAA-CREF Individual & Institutional Services, LLC? Christopher Tolman (CRD #6232462) who is currently registered with TIAA-CREF Individual & Institutional Services, LLC and located in Salt Lake City, Utah is a subject of one of our many securities industry sales practice abuse investigations. Christopher Tolman Customer Complaint Christopher Tolman 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 Christopher Tolman liquidated a customer’s account without following the clients instructions for a strategic liquidation. Christopher Tolman’s customer complaint was denied and, to date, the customer has not taken any further action. Christopher Tolman Red Flags & Your Rights As An Investor Of course, Christopher Tolman 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 Tolman at TIAA-CREF Individual & Institutional Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Christopher Tolman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 TIAA-CREF Individual & Institutional Services, LLC Due To Christopher Tolman If you have questions about TIAA-CREF Individual & Institutional Services, LLC and/or Christopher Tolman 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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Jul 7, 2022

Christopher Capra of Great Point Capital LLC

As a client, you trust your money to a broker who you can believe in. This is why it’s critical to learn all there is to know about the individual handling your money. This information may assist you in deciding whether or not to work with a specific broker. Please contact us to discuss any concerns or issues you have if you believe Christopher Capra has caused you financial harm. DID CHRISTOPHER JOHN CAPRA CAUSE YOU INVESTMENT LOSSES? Christopher Capra Of Great Point Capital LLC And Formerly With Ausdal Financial Partners, Inc. And Arete Wealth Management, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Christopher Capra of Great Point Capital LLC? Christopher Capra (CRD #2691295) who is currently registered with Great Point Capital LLC and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Great Point Capital LLC, Christopher Capra was associated with Ausdal Financial Partners, Inc., Arete Wealth Management, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Christopher Capra Customer Complaint Christopher Capra 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 Christopher Capra made unsuitable recommendations of GPB private placements. The customer complaint filed against Christopher Capra’s former employer Ausdal Financial Partners, Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Christopher Capra Red Flags & Your Rights As An Investor Of course, Christopher Capra 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 Capra at Great Point Capital LLC, Ausdal Financial Partners, Inc. and Arete Wealth Management, LLC on alert to review carefully the activity and performance of their accounts and question whether Christopher Capra has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Great Point Capital LLC, Ausdal Financial Partners, Inc. and Arete Wealth Management, 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 Great Point Capital LLC Due To Christopher Capra If you have questions about Great Point Capital LLC, Ausdal Financial Partners, Inc., Arete Wealth Management, LLC, and/or Christopher Capra 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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Jul 7, 2022

Christopher Butler of Morgan Stanley

It is critical for all to understand as much as possible about the individuals with whom we entrust our money. There are several places where you may discover information regarding a person’s background, including past employment history, regulatory court actions, and customer complaints. This important information may lead to questions about Christopher Butler and investment losses you suffered. We will do our best to answer those questions. DID CHRISTOPHER JAMES BUTLER CAUSE YOU INVESTMENT LOSSES? Christopher Butler Of Morgan Stanley Has 9 Customer Complaints For Alleged Broker Misconduct Who is Christopher Butler of Morgan Stanley? Christopher Butler (CRD #1894450) who is currently registered with Morgan Stanley and located in Woodland Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Christopher Butler Customer Complaints Christopher Butler 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. One of Christopher Butler’s 9 customer complaints resulted in an Award in favor of investor. Five of Christopher Butler’s customer complaints were settled in favor of investors.  Three of Christopher Butler’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Christopher Butler 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, unauthorized trading, fraud, and unsuitable investment recommendations related to the use of margin in a account. Unsuitable investment recommendations of corporate debt. Unsuitable investment recommendations of energy bonds. Misrepresentation with respect to corporate bond and equity investments in account. At misrepresentation and omissions of material fact, negligence, breach of fiduciary duty, and unsuitable investment recommendations related to mutual funds. Misrepresentations related to equity in corporate debt investments. Unsuitable investment recommendations of corporate bonds. Mismanagement of portfolio. Christopher Butler Red Flags & Your Rights As An Investor Of course, Christopher Butler 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 Butler at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Christopher Butler 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 Christopher Butler If you have questions about Morgan Stanley and/or Christopher Butler 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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Jul 7, 2022

Christopher Shaw of Newbridge Securities Corporation

As a customer, 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 person investing on your behalf. This data might assist you in determining whether or not working with a specific broker is right for you. If you believe Christopher Shaw has caused you financial harm, we may be able to assist you in resolving any issues or concerns you have. DID CHRISTOPHER J. SHAW CAUSE YOU INVESTMENT LOSSES? Christopher Shaw Of Newbridge Securities Corporation And Formerly With Pruco Securities, LLC Has 7 Customer Complaints For Alleged Broker Misconduct Who is Christopher Shaw of Newbridge Securities Corporation? Christopher Shaw (CRD #5011382) who is currently registered with Newbridge Securities Corporation and located in Belmont, North Carolina is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Newbridge Securities Corporation, Christopher Shaw was associated with Pruco Securities, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Christopher Shaw Customer Complaints Christopher Shaw has been the subject of 7 customer complaints that we know about, 5 of those complaints were filed in the last year to recover investment losses. All 7 of Christopher Shaw’s customer complaints were settled in favor of investors. Allegations Against Christopher Shaw 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 contract, breach of fiduciary duty, negligence, and unsuitable investment recommendations related to risky, illiquid and complex alternative real estate and other direct investments. Unsuitable investment recommendations and misrepresentations related to private placement investment. Unsuitable investment recommendations of GPB Capital private placement. Unsuitable and overconcentrated investments and portfolio related to real estate securities. Misrepresentation and unsuitable investment recommendations of a REIT and private placement investment. Breach of fiduciary duty and unsuitable investment recommendations related to alternative investments. Unsuitable investment recommendations to purchase oil and gas in real estate securities. Christopher Shaw Red Flags & Your Rights As An Investor Of course, Christopher Shaw 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 Shaw at Newbridge Securities Corporation and Pruco Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Christopher Shaw has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Newbridge Securities Corporation and Pruco 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 Newbridge Securities Corporation Due To Christopher Shaw If you have questions about Newbridge Securities Corporation, Pruco Securities, LLC, and/or Christopher Shaw 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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Jul 7, 2022

Christopher Braccia of First Allied Securities, Inc.

It’s critical that everyone understand as much as they can about the people with whom they entrust their money. You may find out a lot of information about a person’s background by consulting various resources, including past employment history, regulatory enforcement actions, and consumer complaints. If you have questions regarding Christopher Braccia or your investment losses, please contact us. We’ll do everything possible to answer your queries. DID CHRISTOPHER J. BRACCIA CAUSE YOU INVESTMENT LOSSES? Christopher Braccia Of First Allied Securities, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Christopher Braccia of First Allied Securities, Inc.? Christopher Braccia (CRD #3273855) who is currently registered with First Allied Securities, Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Christopher Braccia Customer Complaints Christopher Braccia 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 Christopher Braccia’s 2 customer complaints was settled in favor of investors. There is currently 1 pending customer complaint filed against Christopher Braccia’s current employer First Allied Securities, Inc. for investment losses caused by the alleged misconduct. Allegations Against Christopher Braccia A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Overconcentration of assets and unsuitable risky securities investments that were misrepresented and breach of fiduciary duty. Breach of fiduciary duty, negligence, and unsuitable investment recommendations related to real estate securities. Christopher Braccia Red Flags & Your Rights As An Investor Of course, Christopher Braccia 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 Braccia at First Allied Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Braccia has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Allied 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 First Allied Securities, Inc. Due To Christopher Braccia If you have questions about First Allied Securities, Inc.and/or Christopher Braccia 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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Jul 6, 2022

Christopher Conness of Madison Avenue Securities

As a client, you are putting your money in the hands of someone you can rely on. This is why it’s critical to understand everything there is to know about the individual investing your funds. This knowledge might assist you in deciding whether or not to deal with a specific broker. If you believe Christopher Conness has caused you financial harm, we may be able to assist you in addressing any concerns or issues you have. DID CHRISTOPHER GRANT CONNESS CAUSE YOU INVESTMENT LOSSES? Christopher Conness Of Madison Avenue Securities, LLC And Formerly With G.F. Investment Services, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Christopher Conness of Madison Avenue Securities, LLC? Christopher Conness (CRD #4778193) who is currently registered with Madison Avenue Securities, LLC and located in Fort Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Madison Avenue Securities, LLC, Christopher Conness was associated with G.F. Investment Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Christopher Conness Customer Complaints Christopher Conness has been the subject of 3 customer complaints that we know about, all 3 of those complaints were filed in the last year to recover investment losses. Two of Christopher Conness’ 3 customer complaints were settled in favor of investors. There is currently 1 pending customer complaint filed against Christopher Conness’ former employer G.F. Investment Services, LLC for investment losses caused by the alleged misconduct. Allegations Against Christopher Conness 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 into REITs. Breach of fiduciary duty, breach of contract, negligence related to unsuitable recommendations of direct investments. Multiple alternative investments recommended by financial adviser where unsuitable. Christopher Conness Red Flags & Your Rights As An Investor Of course, Christopher Conness 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 Conness at Madison Avenue Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Christopher Conness has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Madison Avenue 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 Madison Avenue Securities, LLC Due To Christopher Conness If you have questions about Madison Avenue Securities, LLC and/or Christopher Conness 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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Jul 6, 2022

Christopher Swatta of RBC Capital Markets, LLC

It’s critical for everyone to know as much as possible about the people we trust with our money. There are several sources where you can obtain information regarding a person’s background, including prior employment history, regulatory disciplinary actions, and consumer complaints. This information could lead to concerns about Christopher Swatta and investment losses you may have incurred. We’ll do our best to answer any questions you might have. DID CHRISTOPHER FRANK SWATTA CAUSE YOU INVESTMENT LOSSES? Christopher Swatta Of RBC Capital Markets, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Christopher Swatta of RBC Capital Markets, LLC? Christopher Swatta (CRD #1087775) who is currently registered with RBC Capital Markets, LLC and located in Annapolis, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Christopher Swatta Customer Complaint Christopher Swatta has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unsuitable investment recommendations related to equities purchased in client’s account. Christopher Swatta’s customer complaint was denied and, to date, the customer has not taken any further action. Christopher Swatta Red Flags & Your Rights As An Investor Of course, Christopher Swatta 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 Swatta at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Christopher Swatta has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, 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 RBC Capital Markets, LLC Due To Christopher Swatta If you have questions about RBC Capital Markets, LLC and/or Christopher Swatta 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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