Jan 20, 2022

Les Barber of Royal Alliance Associates

DID LES LEROY BARBER CAUSE YOU INVESTMENT LOSSES? Les Barber of Royal Alliance Associates Has 3 Customer Complaints for Alleged Broker Misconduct Who is Les Barber of Royal Alliance Associates? Les Barber (CRD #1256348) who is currently registered with Royal Alliance Associates and located in South Jordan, Utah is a subject of one of our many securities industry sales practice abuse investigations. Les Barber Customer Complaints Les Barber has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Les Barber’s 3 customer complaints was settled in favor of investors. One of Les Barber’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against Royal Alliance Associates for investment losses caused by Les Barber’s alleged misconduct. Allegations Against Les Barber A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The claimant alleges the investments sold to him were to be safe, fixed-income investments for his retirement in accordance with his needs and financial objectives but instead, all of his retirement savings were put into highly risky and illiquid investments allegedly by Les Barber. The customer alleges Les Barber sold her unsuitable and illiquid REIT and Private Investments. The claimant alleged that Les Barber made unsuitable private placement investment recommendations. Les Barber Red Flags & Your Rights as an Investor Of course, Les Barber 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 Les Barber at Royal Alliance Associates on alert to review carefully the activity and performance of their accounts and question whether Les Barber has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Royal Alliance Associates 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 Royal Alliance Associates Due to Les Barber If you have questions about Royal Alliance Associates, and/or Les Barber 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

Jeffrey Still of NYLife Securities LLC

DID JEFFERY W. STILL CAUSE YOU INVESTMENT LOSSES? Jeffery W. Still of NYLife Securities LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Jeffery W. Still of NYLife Securities LLC? Jeffery Still (CRD #6040892) who is currently registered with NYLife Securities LLC and located in Granby, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to NYLife Securities LLC, Jeffery Still was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jeffery Still Customer Complaint Jeffery Still has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that the claimant alleges that a financial plan rifle with unsuitable, high commission products was created for him. Jeffery Still’s customer complaint was settled in favor of investors. Jeffery Still Red Flags & Your Rights As An Investor Of course, Jeffery Still 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 Jeffery Still at NYLife Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Jeffery Still 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 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 If you have questions about NYLife Securities LLC and/or Jeffery Still 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

Jeffrey Vanover of Hilltop Securities Inc.

DID JEFFREY NEAL VANOVER CAUSE YOU INVESTMENT LOSSES? Jeffrey Neal Vanover of Hilltop Securities Inc. And Formerly With Ameriprise Financial Has One Customer Complaint For Alleged Broker Misconduct Who is Jeffrey N. Vanover of Hilltop Securities Inc.? Jeffrey Vanover (CRD #4813059) who is currently registered with Hilltop Securities Inc. and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Hilltop Securities Inc., Jeffrey Vanover was associated with Ameriprise Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jeffrey Vanover Customer Complaint Jeffrey Vanover has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that claimants alleged that their advisor recommended they invest in U.S. Silicia Holdings Inc. (SLCA). They claimed that they were also forced to sell another investment, Barclays Bank plc iPath S&P VIX Short Term Futures Index (VXX) to cover a margin call, which realized losses of more than $172,500. Jeffrey Vanover Red Flags & Your Rights As An Investor Of course, Jeffrey Vanover 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 Jeffrey Vanover at Hilltop Securities Inc. and Ameriprise Financial Services, on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Vanover has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Hilltop Securities Inc. and Ameriprise Financial Services 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 Hilltop Securities Inc. If you have questions about Hilltop Securities Inc., Ameriprise Financial Services, and/or Jeffrey Vanover 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

William Collins of Royal Alliance Associates

DID WILLIAM CALVIN COLLINS CAUSE YOU INVESTMENT LOSSES? William Collins of Royal Alliance Associates Has a Customer Complaint for Alleged Broker Misconduct Who is William Collins of Royal Alliance Associates? William Collins (CRD #1230925) who is currently registered with Royal Alliance Associates and located in Lakeway, Texas is a subject of one of our many securities industry sales practice abuse investigations. William Collins Customer Complaint William Collins 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 customer alleges that representative failed to follow instructions resulting in trading losses. William Collins’ customer complaint was denied and the customers did not take any further action. William Collins Red Flags & Your Rights as an Investor Of course, William Collins 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 William Collins at Royal Alliance Associates on alert to review carefully the activity and performance of their accounts and question whether William Collins has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Royal Alliance Associates 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 Royal Alliance Associates Due to William Collins If you have questions about Royal Alliance Associates and/or William Collins 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

Walter Hauser of Raymond James & Associates

DID WALTER HENRY HAUSER CAUSE YOU INVESTMENT LOSSES? Walter Hauser of Raymond James & Associates Has 2 Customer Complaints For Alleged Broker Misconduct Who is Walter Hauser of Raymond James & Associates? Walter Hauser (CRD #717465) who is currently registered with Raymond James & Associates and located in Bexley, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Walter Hauser Customer Complaints Walter Hauser has been the subject of 2 customer complaints that we know about.  Both of Walter Hauser’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Walter Hauser A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleges that Walter Hauser’s trades made in his accounts were unauthorized. Customer alleged unsuitable investment recommendations by Walter Hauser. Walter Hauser Red Flags & Your Rights As An Investor Of course, Walter Hauser 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 Walter Hauser at Raymond James & Associates on alert to review carefully the activity and performance of their accounts and question whether Walter Hauser has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates 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 Due To Walter Hauser If you have questions about Raymond James & Associates and/or Walter Hauser 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

Gregory Crance of OneAmerica Securities

DID GREGORY HAMPTON CRANCE CAUSE YOU INVESTMENT LOSSES? Gregory Crance of OneAmerica Securities Has 4 Customer Complaints for Alleged Broker Misconduct Who is Gregory Crance of OneAmerica Securities? Gregory Crance (CRD #736820) who is currently registered with OneAmerica Securities and located in Auburn, Alabama is a subject of one of our many securities industry sales practice abuse investigations. Gregory Crance Customer Complaints Gregory Crance has been the subject of 4 customer complaints that we know about. One arbitration award was entered against OneAmerica Securities for Gregory Crance’s alleged misconduct causing investors losses. Three of Gregory Crance’s 4 customer complaints were settled in favor of investors. Allegations Against Gregory Crance 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 alleges violations of securities statutes, industry rules, and common law related to the sale of a fixed annuity by Gregory Crance. The customer alleges Gregory Crance made false representations about the benefits & advantages of the retirement plan sold to the customer. Gregory Crance allegedly named as a defendant in bankruptcy case. Allegations relating to sale of welfare benefit plan and 412(i) plan. The complainant alleges that she was not fully informed by Gregory Crance of the tax ramifications of her variable annuity and wants the transaction reversed. Gregory Crance Red Flags & Your Rights as an Investor Of course, Gregory Crance 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 Gregory Crance at OneAmerica Securities on alert to review carefully the activity and performance of their accounts and question whether Gregory Crance has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at OneAmerica 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 OneAmerica Securities Due to Gregory Crance If you have questions about OneAmerica Securities and/or Gregory Crance 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

Daniel Cunningham of MML Investors Services

DID DANIEL BRIAN CUNNINGHAM CAUSE YOU INVESTMENT LOSSES? Daniel Cunningham Formerly with MML Investors Services and MSI Financial Services Has A Customer Complaint for Alleged Broker Misconduct Who is Daniel Cunningham formerly with MML Investors Services? Daniel Cunningham (CRD #1296388) who was formerly registered with MML Investors Services and located in Oklahoma City, Oklahoma is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Daniel Cunningham was associated with MSI Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Daniel Cunningham Customer Complaint Daniel Cunningham 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 complainant alleges that he did not understand the penalties involved if he was not able to fully fund his plan in any given year. The complainant also believes the investments used to fund the plan, appear to only be in the best interest of the firm, and representatives since other products could have been utilized to accomplish his goal, with less cost to him. Daniel Cunningham’s customer complaint was denied and the customers did not take any further action. Daniel Cunningham Red Flags & Your Rights as an Investor Of course, Daniel Cunningham 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 Daniel Cunningham at MML Investors Services and MSI Financial Services on alert to review carefully the activity and performance of their accounts and question whether Daniel Cunningham has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at MML Investors Services and MSI Financial Services 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 MML Investors Services Due to Daniel Cunningham If you have questions about MML Investors Services, MSI Financial Services, and/or Daniel Cunningham 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

Anthony Dacruz of Morgan Stanley

DID ANTHONY EDWARD DACRUZ CAUSE YOU INVESTMENT LOSSES? Anthony Dacruz of Morgan Stanley Has 3 Customer Complaints for Alleged Broker Misconduct Who is Anthony Dacruz of Morgan Stanley? Anthony Dacruz (CRD #1259435) who is currently registered with Morgan Stanley and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Anthony Dacruz Customer Complaints Anthony Dacruz has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Anthony Dacruz’s 3 customer complaints was settled in favor of investors. Two of Anthony Dacruz’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Anthony Dacruz 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 grandson/POA alleges that unsuitable investments such as two Puerto Rico municipal bonds and closed-end funds were purchased by Anthony Dacruz in his grandparent’s accounts. Customers claim they were told by Anthony Dacruz that a municipal bond purchased was insured but the bond defaulted and there is no insurance. Customers complained verbally about the performance of one security that they purchased and alleged that Anthony Dacruz failed to execute a sell order for that security. Anthony Dacruz Red Flags & Your Rights as an Investor Of course, Anthony Dacruz 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 Anthony Dacruz at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Anthony Dacruz has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at 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 Morgan Stanley Due to Anthony Dacruz If you have questions about Morgan Stanley and/or Anthony Dacruz 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

Frank Hemmen of Morgan Stanley

DID FRANK BARTHOLOMEW HEMMEN CAUSE YOU INVESTMENT LOSSES? Frank Hemmen of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Frank Hemmen of Morgan Stanley? Frank Hemmen (CRD #1342124) who is currently registered with Morgan Stanley and located in Pleasanton, California is a subject of one of our many securities industry sales practice abuse investigations. Frank Hemmen Customer Complaint Frank Hemmen 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.  Both of Frank Hemmen’s 2 customers’ complaints were settled in favor of the investors. Allegations Against Frank Hemmen 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 Frank Hemmen sold a municipal bond in her account without her authorization. Client alleged unsuitable investment recommendations and breach of Frank Hemmen’s fiduciary duty, and fraudulent advice concerning a $100,000 investment in a Putnam managed annuity plan. Frank Hemmen Red Flags & Your Rights As An Investor Of course, Frank Hemmen 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 Frank Hemmen at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Frank Hemmen 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’ssupervisory 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 Frank Hemmen If you have questions about Morgan Stanley and/or Frank Hemmen 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

Michael Giokas formerly with Fortune Financial Services

DID MICHAEL GIOKAS CAUSE YOU INVESTMENT LOSSES? Michael Giokas Formerly With Fortune Financial Services Has 10 Customer Complaints For Alleged Broker Misconduct Who is Michael Giokas formerly with Fortune Financial Services? Michael Giokas (CRD #1398674) who was formerly registered with Fortune Financial Services and located in Clarence, New York is a subject of one of our many securities industry sales practice abuse investigations. Michael Giokas has also had his problems with the regulators and Justice Department.  FINRA first suspended him for failing to pay an arbitration award and then permanently barred him from association with any member firm when he refused to provide information and documents requested by FINRA in connection with an investigation related to criminal charges of felony fraud brought against him by the Justice Department. Michael Giokas Customer Complaints Michael Giokas has been the subject of 10 customer complaints that we know about. Eight of Michael Giokas’ 10 customer complaints were settled in favor of investors.  Two of Michael Giokas’ customers’ complaints were denied and the customers did not take any further action. Allegations Against Michael Giokas 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 Michael Giokas made unsuitable recommendation of variable universal life insurance policy and failed to disclose annual cost associated with maintaining the policy. Client alleged Michael Giokas provided unsuitable recommendations involving the purchase of variable annuities in the client’s qualified accounts. Client alleged that Michael Giokas’ recommendations to a variable annuity were not suitable and that the firm failed to disclose the surrender charges. Client alleged Michael Giokas made unsuitable recommendations involving 1035 exchanges of variable annuities and the purchase of B-share mutual funds. Michael Giokas’ alleged failure to disclose surrender charges. Michael Giokas’ alleged Misrepresentation & Omissions; Breach of Fiduciary Duty; Violation of NASD rules; Negligence; Failure to Supervise. Michael Giokas’ client alleged Unsuitability, Common Law Fraud, Breach of Contract, Negligent Supervision, Breach of Fiduciary Duty. Claimant alleged and unsuitable sale of Universal Life Policy by Michael Giokas. Michael Giokas’ alleged wrongful conduct, breach of fiduciary duty, negligence, breach of contract, violations of securities laws, FINRA Rules and Rules of Fair Practice. Michael Giokas Red Flags & Your Rights as an Investor Of course, Michael Giokas 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 Giokas at Fortune Financial Services on alert to review carefully the activity and performance of their accounts and question whether Michael Giokas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fortune 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 Fortune Financial Services Due To Michael Giokas If you have questions about  Fortune Financial Services and/or Michael Giokas 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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