Jan 20, 2022

Russell Blum of International Assets Advisory, LLC

DID RUSSELL SCOTT BLUM CAUSE YOU INVESTMENT LOSSES? Russell Blum of International Assets Advisory, LLC, International Assets Investment Management And Formerly With SunTrust Investment Services, SunTrust Advisory Services and Wells Fargo Clearing Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Russell Blum of International Assets Advisory, LLC? Russell Blum (CRD #1276754) who is currently registered with International Assets Advisory, LLC, International Assets Investment Management and located in Vero Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to International Assets Advisory, LLC, International Assets Investment Management, Russell Blum was associated with SunTrust Investment Services, SunTrust Advisory Services, Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Russell Blum Customer Complaints Russell Blum has been the subject of 3 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of Russell Blum’s 3 customer complaints was settled in favor of investors. One of Russell Blum’s customers complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against SunTrust Investment Services for investment losses caused by Russell Blum’s alleged misconduct. Allegations Against Russell Blum 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 Russell Blum over-concentrated her portfolio in unsuitable investments. Claimant alleges that investment recommendations allegedly made by Russell Blum over-concentrated his account in oil and gas stocks and low-priced speculative securities which were misrepresented and unsuitable. Client stated that following representative’s reasoning resulted in his holding investments which resulted in losses to his accounts allegedly by Russell Blum. Russell Blum Red Flags & Your Rights As An Investor Of course, Russell Blum 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 Russell Blum at International Assets Advisory, LLC, International Assets Investment Management, SunTrust Advisory Services, SunTrust Investment Services, and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Russell Blum has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at International Assets Advisory, LLC, International Assets Investment Management, SunTrust Advisory Services, SunTrust Investment Services, and Wells Fargo Clearing Services 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 International Assets Advisory, LLC Due To Russell Blum If you have questions about International Assets Advisory, LLC, International Assets Investment Management, SunTrust Advisory Services, SunTrust Investment Services, Wells Fargo Clearing Services, and/or Russell Blum 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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Jan 20, 2022

Rasikaran Boaz of Equitable Advisors, LLC

DID RASIKARAN GUNAPAL BOAZ CAUSE YOU INVESTMENT LOSSES? Rasikaran Boaz of Equitable Advisors, LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Rasikaran Boaz of Equitable Advisors, LLC? Rasikaran Boaz (CRD #1340232) who is currently registered with Equitable Advisors, LLC and located in Woodbridge, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Rasikaran Boaz Customer Complaint Rasikaran Boaz 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 the client alleges a replacement insurance policy’s fees and surrender scheduled were misrepresented. The customer complaint filed against Rasikaran Boaz’s current employer Equitable Advisors, LLC for investment losses caused by the alleged misconduct was settled in favor of investors. Rasikaran Boaz Red Flags & Your Rights As An Investor Of course, Rasikaran Boaz 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 Rasikaran Boaz at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Rasikaran Boaz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, 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 Equitable Advisors, LLC Due To Rasikaran Boaz If you have questions about Equitable Advisors, LLC and/or Rasikaran Boaz 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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Jan 20, 2022

Robert Brinckerhoff of Morgan Stanley

DID ROBERT WELLS BRINCKERHOFF CAUSE YOU INVESTMENT LOSSES? Robert Brinckerhoff Formerly With Morgan Stanley And Merrill Lynch Pierce Fenner & Smith Has 5 Customer Complaints For Alleged Broker Misconduct Who is Robert Brinckerhoff formerly with Morgan Stanley? Robert Brinckerhoff (CRD #823695) who was formerly registered with Morgan Stanley and located in Burlington, Vermont is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Robert Brinckerhoff was associated with Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Brinckerhoff has had his own problem with the regulators. The New York, Wisconsin, Missouri, and Vermont insurance regulators all sanctioned him in connection with inaccurate applications filed in those states. Robert Brinckerhoff Customer Complaints Robert Brinckerhoff has been the subject of 5 customer complaints that we know about. Three of Robert Brinckerhoff’s 5 customer complaints were settled in favor of investors. Two of Robert Brinckerhoff’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Robert Brinckerhoff A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged that the purchase by Robert Brinckerhoff of a structured product in her account was unsuitable. The customer alleges misrepresentation by Robert Brinckerhoff. The customer alleges unsuitable investment recommendations by Robert Brinckerhoff. Robert Brinckerhoff Red Flags & Your Rights As An Investor Of course, Robert Brinckerhoff 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 Robert Brinckerhoff at Morgan Stanley and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Robert Brinckerhoff has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and Merrill Lynch Pierce Fenner & Smith 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 Morgan Stanley Due To Robert Brinckerhoff If you have questions about Morgan Stanley and Merrill Lynch Pierce Fenner & Smith, and/or Robert Brinckerhoff 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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Jan 20, 2022

Melinda Abood of UBS Financial Services

DID MELINDA JOYCE ABOOD CAUSE YOU INVESTMENT LOSSES? Melinda Abood of UBS Financial Services Has 5 Customer Complaints for Alleged Broker Misconduct Who is Melinda Abood of UBS Financial Services? Melinda Abood (CRD #867463) who is currently registered with UBS Financial Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Melinda Abood Customer Complaints Melinda Abood has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Melinda Abood’s 5 customer complaints resulted in an arbitration award in favor of the investor. Three of Melinda Abood’s 5 customer complaints were settled in favor of investors. One of Melinda Abood’s customers’ complaints was denied and the customers did not take any further action. Allegations Against Melinda Abood A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client’s attorney alleges Melinda Abood misrepresented the Puerto Rico bonds by stating they were safe and a conservative investment because they were insured and without risk to the principal value of the investment. The client alleges that Melinda Abood failed to follow his instructions and put him in below investment grade junk related bonds. He further alleges his financial advisor omitted material information about the credit rating of Ford bonds. Melinda Abood Red Flags & Your Rights as an Investor Of course, Melinda Abood 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 that should put all current and former customers of Melinda Abood at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Melinda Abood has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at UBS Financial Services 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 UBS Financial Services Due to Melinda Abood If you have questions about UBS Financial Services, and/or Melinda Abood 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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Jan 20, 2022

Paul Akre of Merrill Lynch

DID PAUL ANTHONY AKRE CAUSE YOU INVESTMENT LOSSES? Paul Akre Formerly with Merrill Lynch Pierce Fenner Smith Has 2 Customer Complaints for Alleged Broker Misconduct Who is Paul Akre formerly with Merrill Lynch Pierce Fenner Smith? Paul Akre (CRD #1068145) who was formerly registered with Merrill Lynch Pierce Fenner Smith and located in Waukesha, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Paul Akre was also the subject of a FINRA investigation concerning allegations that he loaned money to clients and was involved in an undisclosed, unapproved outside business activity.  The investigation concluded with Paul Akre consenting to a four-month suspension and a $15,000 fine.  Paul Akre Customer Complaint Paul Akre has been the subject of 2 customer complaints that we know about, one of which was filed in the last year to recover investment losses. One of Paul Akre’s customers’ complaints was denied and the customers did not take any further action. The customer complaint filed against Paul Akre’s former employer Wells Fargo Advisors for investment losses caused by the alleged misconduct is pending as of the date of this report. Allegations Against Paul Akre A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants allege Paul Akre sold them private securities that were unsuitable investments. Customer questions the appropriateness of the stock recommendations by Paul Akre at Merrill Lynch. Paul Akre Red Flags & Your Rights as an Investor Of course, Paul Akre 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 that should put all current and former customers of Paul Akre at Merrill Lynch Pierce Fenner Smith on alert to review carefully the activity and performance of their accounts and question whether Paul Akre has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Merrill Lynch Pierce Fenner Smith 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 Merrill Lynch Pierce Fenner Smith Due to Paul Akre If you have questions about Merrill Lynch Pierce Fenner Smith, and/or Paul Akre 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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Jan 20, 2022

Peter Albano of LPL Financial

DID PETER JOSEPH ALBANO CAUSE YOU INVESTMENT LOSSES? Peter Albano of LPL Financial and Formerly with Invest Financial Has A Customer Complaint for Alleged Broker Misconduct Who is Peter Albano of LPL Financial? Peter Albano (CRD #1040390) who is currently registered with LPL Financial and located in Dunmore, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Peter Albano was associated with Invest Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Peter Albano Customer Complaint Peter Albano 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 claimant alleges that, while he was an invest customer, his representative recommended he invest in an unsuitable business development company (BDC), and that he was not fully advised about the risks of the investment when it was recommended. A new financial professional registered with LPL began servicing his account The customer complaint filed against Peter Albano’s current employer LPL Financial for investment losses caused by the alleged misconduct is now settled. Peter Albano Red Flags & Your Rights as an Investor Of course, Peter Albano 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 that should put all current and former customers of Peter Albano at LPL Financial and Invest Financial on alert to review carefully the activity and performance of their accounts and question whether Peter Albano has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and Invest Financial 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 Due to Peter Albano If you have questions about LPL Financial, Invest Financial, and/or Peter Albano 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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Jan 20, 2022

Alexander Altman of Janney Montgomery Scott

DID ALEXANDER ALTMAN CAUSE YOU INVESTMENT LOSSES? Alexander Altman Formerly with Janney Montgomery Scott Has 7 Customer Complaints for Alleged Broker Misconduct Who is Alexander Altman formerly with Janney Montgomery Scott? Alexander Altman (CRD #500333) who was formerly registered with Janney Montgomery Scott and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Alexander Altman has had his share of regulatory problems. Both the United States Securities and Exchange Commission and FINRA f/k/a NASD for stockbroker misconduct in violation of industry rules and regulations.  He was suspended by both agencies and fined by the NASD. Alexander Altman Customer Complaints Alexander Altman has been the subject of 7 customer complaints that we know about. All of Alexander Altman’s 7 customer complaints were settled in favor of investors. Allegations Against Alexander Altman A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The customer alleged that the trade was unsuitable and that the risks associated with that investment were not properly disclosed to her allegedly by Alexander Altman. Alexander Altman’s alleged unsuitable investments, breach of fiduciary duty, failure to follow instructions, common law fraud, material misrepresentations, negligence, and violation of Chapter 517, Florida Statutes. The claimant alleges that unsuitable investments were made in her and her husband’s accounts by Alexander Altman. The client alleged verbally that Alexander Altman guaranteed that she would not lose money on certain bonds backed by airline companies that she had purchased previously. The client alleges that Alexander Altman placed an inappropriate portion of his overall account into a single equity position. Customers alleged verbally that Alexander Altman guaranteed them against loss on certain securities they purchased. The client alleged unsuitable investments, breach of fiduciary, unauthorized trading, failure to follow instructions, misrepresentations and negligence relating to investments allegedly made by Alexander Altman for him. Alexander Altman Red Flags & Your Rights as an Investor Of course, Alexander Altman 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 that should put all current and former customers of Alexander Altman at Janney Montgomery Scott on alert to review carefully the activity and performance of their accounts and question whether Alexander Altman has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Janney Montgomery Scott 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 Janney Montgomery Scott Due to Alexander Altman If you have questions about Janney Montgomery Scott, and/or Alexander Altman 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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Jan 20, 2022

James Applewhite of BB&T Securities

DID JAMES WILLIAM APPLEWHITE CAUSE YOU INVESTMENT LOSSES? James Applewhite of BB&T Securities Has 5 Customer Complaints for Alleged Broker Misconduct Who is James Applewhite of BB&T Securities? James Applewhite (CRD #1209709) who is currently registered with BB&T Securities and located in Raleigh, North Carolina is a subject of one of our many securities industry sales practice abuse investigations.  James Applewhite was also the subject of a FINRA investigation for allegedly trading in customer’s accounts without obtaining prior written authorization from the customer and without having the accounts accepted as discretionary accounts by his employer.  As a result, he was suspended for one month and fined $5, 000. James Applewhite Customer Complaints James Applewhite has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of James Applewhite’s 5 customer complaints were settled in favor of investors. Two of James Applewhite’s customers’ complaints were denied and the customers did not take any further action. Allegations Against James Applewhite A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customers stated that their $400,000 purchase of GJT – floating rate structured security was misrepresented allegedly by James Applewhite. Clients said they wanted to “park” their funds for 12-18 months while they waited on the construction of two properties. They understood from their financial advisor that the investment would earn interest and fluctuate very little. T.  To the contrary, the investment lost $110,240 or 27% of its value. Plaintiffs filed a class action based on allegations of fraud, misrepresentation and omission, unauthorized transactions, unfair and deceptive trade practices, and violations of federal and state securities laws for bond transactions allegedly by James Applewhite. The client alleges James Applewhite failed to follow his instructions about holding invested instruments so as not to incur a loss by selling at a declined value. James Applewhite Red Flags & Your Rights as an Investor Of course, James Applewhite 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 that should put all current and former customers of James Applewhite at BB&T Securities on alert to review carefully the activity and performance of their accounts and question whether James Applewhite has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at BB&T Securities 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 BB&T Securities Due to James Applewhite If you have questions about BB&T Securities and/or James Applewhite 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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Jan 20, 2022

Ibrahim Arce of UBS Financial Services

DID IBRAHIM ARCE CAUSE YOU INVESTMENT LOSSES? Ibrahim Arce Formerly with UBS Financial Services Has 17 Customer Complaints for Alleged Broker Misconduct Who is Ibrahim Arce formerly with UBS Financial Services? Ibrahim Arce (CRD #1341280) who was formerly registered with UBS Financial Services, UBS Financial Services Incorporated of Puerto Rico and located in San Juan, Puerto Rico is a subject of one of our many securities industry sales practices abuse investigations. Ibrahim Arce Customer Complaints Ibrahim Arce has been the subject of 17 customer complaints that we know about. Twelve of Ibrahim Arce’s 17 customer complaints were settled in favor of investors. There are currently three pending customer complaints filed against Santander Securities and UBS Financial Services for investment losses caused by Ibrahim Arce’s alleged misconduct. Two of Ibrahim Arce’s customer’s complaints were denied and the customers did not take any further action. Allegations Against Ibrahim Arce A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Multiple claimants’ alleged that their investments in Puerto Rico denominated closed-end funds, government bonds, and municipal bonds were unsuitable, over-concentrated, and misrepresented as safe investments. Multiple clients’ alleged breach of fiduciary duty, negligence, negligent supervision, fraud, and breach of contract related to the offer and sale of Puerto Rico closed-end funds. Ibrahim Arce Red Flags & Your Rights as an Investor Of course, Ibrahim Arce 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 that should put all current and former customers of Ibrahim Arce at UBS Financial Services, UBS Financial Services Incorporated of Puerto Rico on alert to review carefully the activity and performance of their accounts and question whether Ibrahim Arce has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services, UBS Financial Services Incorporated of Puerto Rico 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 UBS Financial Services Due to Ibrahim Arce If you have questions about UBS Financial Services, UBS Financial Services Incorporated of Puerto Rico, and/or Ibrahim Arce 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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Jan 20, 2022

Demos Argyros of Oppenheimer & Co

DID DEMOS ARGYROS CAUSE YOU INVESTMENT LOSSES? Demos Argyros of Oppenheimer & Co. Has 5 Customer Complaints for Alleged Broker Misconduct Who is Demos Argyros of Oppenheimer Co.? Demos Argyros (CRD #1325219) who is currently registered with Oppenheimer & Co. and located in St. Louis, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Demos Argyros Customer Complaints Demos Argyros has been the subject of 5 customer complaints that we know about. Two of Demos Argyros’ 5 customer complaints resulted in arbitration awards in favor of the investors. Two of Demos Argyros’ 5 customer complaints were settled in favor of investors. One of Demos Argyros’ customer complaints was denied and the customers did not take any further action. Allegations Against Demos Argyros A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Demos Argyros’ alleged allegedly committed a breach of fiduciary duty, engaged in churning, made unsuitable investment recommendations, and committed conversion of funds.  The claimant alleged Demos Argyros committed negligence, breach of fiduciary duty, breach of contract relating to unsuitable equities and warrants. The claimants allege that Demos Argyros failed to diversify the portfolio and chose inappropriate investments. Demos Argyros Red Flags & Your Rights as an Investor Of course, Demos Argyros 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 that should put all current and former customers of Demos Argyros at Oppenheimer & Co. on alert to review carefully the activity and performance of their accounts and question whether Demos Argyros has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. 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 Oppenheimer Co. Due to Demos Argyros If you have questions about Oppenheimer & Co., and/or Demos Argyros 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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