Jan 20, 2022

Harry Barth of Crown Capital Securities L.P.

DID HARRY MICHAEL BARTH CAUSE YOU INVESTMENT LOSSES? Harry Barth of Crown Capital Securities L.P. And Secura Financial Has Two Customer Complaints for Alleged Broker Misconduct Who is Harry Barth of Crown Capital Securities L.P.? Harry Barth (CRD #13891) who is currently registered with Crown Capital Securities L.P., Secura Financial and located in Orange, California is a subject of one of our many securities industry sales practice abuse investigations. Harry Barth Customer Complaints Harry Barth has been the subject of at least 2 customer complaints 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 Claimant alleges claims, including suitability, for investments made in illiquid products. One of the customer complaints was settled in favor of investors. The other customers’ complaint filed against Harry Barth’s current employers Crown Capital Securities L.P., J.W. Cole Financial, and LPL Financial for investment losses caused by the alleged misconduct is pending as of the date of this report. Harry Barth Red Flags & Your Rights as An Investor Of course, Harry Barth 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 Harry Barth at Crown Capital Securities L.P. and Secura Financial on alert to review carefully the activity and performance of their accounts and question whether Harry Barth has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Crown Capital Securities L.P. and Secura 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 Crown Capital Securities L.P. Due To Harry Barth If you have questions about Crown Capital Securities L.P., Secura Financial, and/or Harry Barth 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

Harvey Berk of Kestra Investment Services

DID HARVEY STUART BERK CAUSE YOU INVESTMENT LOSSES? Harvey Berk of Kestra Investment Services, Kestra Advisory Services, and Formerly with LPL Financial Has Two Customer Complaints for Alleged Broker Misconduct Who is Harvey Berk of Kestra Investment Services? Harvey Berk (CRD #705380) who is currently registered with Kestra Advisory Services, Kestra Investment Services, and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kestra Advisory Services, Kestra Investment Services, Harvey Berk was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Harvey Berk Customer Complaints Harvey Berk has been the subject of at least 2 customer complaints that we know about. The allegations made in one of the FINRA reported customer complaints for investment losses were customer complained that her investments did not keep pace with her distributions from her account and alleged that the advisor should have recommended different investments. The other complaint related to the suitability of the investments. Both of Harvey Berk’s customer complaints were settled in favor of the investors. Harvey Berk Red Flags & Your Rights as An Investor Of course, Harvey Berk 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 Harvey Berk at Kestra Advisory Services, Kestra Investment Services, and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Harvey Berk has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kestra Investment Services, Kestra Advisory Services, and LPL 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 Kestra Investment Services and LPL Financial Due to Harvey Berk If you have questions about Kestra Advisory Services, Kestra Investment Services, LPL Financial, and/or Harvey Berk 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

Harry Carroll of MML Investors Services

DID HARRY ALOYSIUS CARROLL CAUSE YOU INVESTMENT LOSSES? Harry Carroll of MML Investors Services and Formerly with MSI Financial Services and NewSquare Capital Has 5 Customer Complaints for Alleged Broker Misconduct Who is Harry Carroll of MML Investors Services? Harry Carroll (CRD #2617434) who is currently registered with MML Investors Services and located in Marlton, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Harry Carroll was associated with MSI Financial Services, NewSquare Capital, and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Harry Carroll Customer Complaints Harry Carroll 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 Harry Carroll’s 5 customer complaints were settled in favor of investors. Two of Harry Carroll’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Harry Carroll A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Civil conspiracy, fraud, suitability, and lack of supervision with a stated account loss of $165,000.00 allegedly committed by Harry Carroll. The customer alleges Harry Carroll violated NASD Rule 2310 by not dealing fairly with a customer. The alleged compensatory damage amount was unspecified. The customer alleged that Harry Carroll did not place trades as requested within the sub-accounts of variable annuities. Customers have alleged disappointment in Harry Carroll’s recommendation to invest in Ridgewood Energy. The complainant alleges that he was sold an unsuitable product by Harry Carroll that was designed to be purchased by accredited investors, which he states he was not. He alleges that erroneous financial information was entered on his investment documents so that it appeared that the investment was suitable for him when it was not. Harry Carroll Red Flags & Your Rights as An Investor Of course, Harry Carroll 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 Harry Carroll at MML Investors Services, MSI Financial Services, and NewSquare Capital on alert to review carefully the activity and performance of their accounts and question whether Harry Carroll has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at MML Investors Services, MSI Financial Services, and NewSquare Capital also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses at MML Investors Services and MSI Financial Services Due to Harry Carroll If you have questions about MML Investors Services, MSI Financial Services, and NewSquare Capital, and/or Harry Carroll 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 Kinkead of Centaurus Financial

DID GREGORY SCOTT KINKEAD CAUSE YOU INVESTMENT LOSSES? Gregory Kinkead of Centaurus Financial Has 7 Customer Complaints for Alleged Broker Misconduct Who is Gregory Kinkead of Centaurus Financial? Gregory Kinkead (CRD #2473933) who is currently registered with Centaurus Financial and located in Las Vegas, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Gregory Kinkead Customer Complaints Gregory Kinkead has been the subject of 7 customer complaints that we know about. One of Gregory Kinkead’s 7 customer complaints was settled in favor of investors. Six of Gregory Kinkead’s customer’s complaints were denied and the customers did not take any further action. Allegations Against Gregory Kinkead A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Gross mismanagement of accounts and unsuitable recommendations made by Gregory Kinkead. The client alleged gross mismanagement and unsuitable investments made by Gregory Kinkead. The client’s alleged misrepresentation of an annuity by Gregory Kinkead. The customer alleges that Gregory Kinkead recommended investments that were unsuitable, illiquid, and were based on compensation. The client alleged misrepresentation with regard to an annuity made by Gregory Kinkead. The client alleged misrepresentation of an annuity made by Gregory Kinkead. The client alleged misrepresentation of an annuity made by Gregory Kinkead. Gregory Kinkead Red Flags & Your Rights as An Investor Of course, Gregory Kinkead 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 Kinkead at Centaurus Financial on alert to review carefully the activity and performance of their accounts and question whether Gregory Kinkead has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Centaurus Financial 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 Centaurus Financial Due to Gregory Kinkead If you have questions about Centaurus Financial and/or Gregory Kinkead 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 Matsen of First Allied Securities

DID GREGORY DAVID MATSEN CAUSE YOU INVESTMENT LOSSES? Gregory Matsen Formerly with First Allied Securities Has A Customer Complaint for Alleged Broker Misconduct Who is Gregory Matsen formerly with First Allied Securities? Gregory Matsen (CRD #5239725) who was formerly registered with First Allied Securities, First Allied Advisory Services, and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Gregory Matsen Customer Complaint Gregory Matsen 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 client alleges unsuitability and misrepresentation. Gregory Matsen’s customer complaint was settled in favor of the investors. Gregory Matsen Red Flags & Your Rights as An Investor Of course, Gregory Matsen 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 Matsen at First Allied Securities and First Allied Advisory Services on alert to review carefully the activity and performance of their accounts and question whether Gregory Matsen has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at First Allied Securities and First Allied Advisory 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 First Allied Securities Due to Gregory Matsen If you have questions about First Allied Securities, First Allied Advisory Services, and/or Gregory Matsen 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

Harold Weber of Aegis Capital

DID HAROLD WEBER CAUSE YOU INVESTMENT LOSSES? Harold Weber of Aegis Capital and Formerly with Wells Fargo Advisors Has 5 Customer Complaints for Alleged Broker Misconduct Who is Harold Weber of Aegis Capital? Harold Weber (CRD #1047064) who is currently registered with Aegis Capitaland located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Harold Weber was associated with Wells Fargo Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Harold Weber Customer Complaints Harold Weber has been the subject of 5 customer complaints that we know about.  All five of Harold Weber’s customer complaints were settled in favor of investors. Allegations Against Harold Weber 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 Harold Weber over concentrated his retirement account in volatile and speculative penny stocks. The claimant alleges that upon transferring his accounts from Morgan Stanley to Wells Fargo Advisors, Harold Weber continued to make unsuitable investment recommendations and that he continued to misrepresent material facts about specific investments. Claimants alleged, inter alia, unsuitability with respect to investments made by Harold Weber. The clients allege excessive trading and allege investments made by Harold Weber were not suitable. The client claims misrepresentation and unsuitable investments in mutual fund securities allegedly committed by Harold Weber. Evolved into an arbitration whereas the representative is not named but is the subject. Arbitration: claimant alleges unsuitable investments were recommended to him. Harold Weber Red Flags & Your Rights as An Investor Of course, Harold Weber 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 Harold Weber at Aegis Capital and Wells Fargo Advisors on alert to review carefully the activity and performance of their accounts and question whether Harold Weber has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Aegis Capital and Wells Fargo Advisors 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 Aegis Capital Due to Harold Weber If you have questions about Aegis Capital, Wells Fargo Advisors, and/or Harold Weber 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

Heather Weber of Merrill Lynch

DID HEATHER PETERSON WEBER CAUSE YOU INVESTMENT LOSSES? Heather Weber of Merrill Lynch Pierce Fenner & Smith Has 10 Customer Complaints for Alleged Broker Misconduct Who is Heather Weber of Merrill Lynch Pierce Fenner & Smith? Heather Weber (CRD #2911524) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Clearwater, Florida is a subject of one of our many securities industry sales practice abuse investigations. Heather Weber Customer Complaints Heather Weber has been the subject of 10 customer complaints that we know about. Seven of Heather Weber’s 10 customer complaints were settled in favor of investors. Three of Heather Weber’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Heather Weber 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 alleged misrepresentation with regard to the purchase of an annuity made by Heather Weber. The client alleged misrepresentation with regard to the purchase of equity made by Heather Weber. The customer alleges misrepresentation by Heather Weber. The customer alleges unsuitable investment recommendations and misrepresentation and omission of material facts committed by Heather Weber. The customer alleges unsuitable investment recommendations and misrepresentation.  The The customers in 5 separate arbitrations all allege unsuitable investment recommendations and misrepresentation by Heather Weber. The customers allege unsuitable investment recommendations and misrepresentation and omission of material facts made by Heather Weber. Heather Weber Red Flags & Your Rights as An Investor Of course, Heather Weber 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 Heather Weber at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Heather Weber 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 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 Due to Heather Weber If you have questions about Merrill Lynch Pierce Fenner & Smith, and/or Heather Weber 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

Gloria Barbier of Equitable Advisors, LLC

DID GLORIA BARBIER CAUSE YOU INVESTMENT LOSSES? Gloria Barbier of Equitable Advisors, LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Gloria Barbier of Equitable Advisors, LLC? Gloria Barbier (CRD #5719709) who is currently registered with Equitable Advisors, LLC and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Gloria Barbier Customer Complaint Gloria Barbier 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 Gloria Barbier made unsuitable recommendations in the sale of three REITs, an equity managed account, and a variable annuity in 2014, and did not adequately disclose the risks attendant to the products. The customer complaint filed against Gloria Barbier’s former employer AXA Advisors for investment losses caused by the alleged misconduct is pending as of the date of this report. Gloria Barbier Red Flags & Your Rights As An Investor Of course, Gloria Barbier 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 Gloria Barbier at Equitable Advisors, LLC and AXA Advisors on alert to review carefully the activity and performance of their accounts and question whether Gloria Barbier has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, LLC and AXA Advisors 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 and AXA Advisors Due To Gloria Barbier If you have questions about Equitable Advisors, LLC, AXA Advisors, and/or Gloria Barbier 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

Geoffrey Chapin of Innovation Partners LLC

DID GEOFFREY HAWKINS CHAPIN CAUSE YOU INVESTMENT LOSSES? Geoffrey Chapin of Innovation Partners LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Geoffrey Chapin of Innovation Partners LLC? Geoffrey Chapin (CRD #2401909) who is currently registered with Innovation Partners LLC and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Geoffrey Chapin Customer Complaint Geoffrey Chapin 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 money was placed in real estate escrow account and a personal guarantee was signed for some of it. Escrow was looted by third parties despite verbal and written assurances. This dispute arises from Respondents’ failure to pay amounts due under a guaranty contained within the Joint Venture Agreement. The civil action remains pending, the United States District Court of Connecticut. Geoffrey Chapin Red Flags & Your Rights As An Investor Of course, Geoffrey Chapin 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 Geoffrey Chapin at Innovation Partners LLC on alert to review carefully the activity and performance of their accounts and question whether Geoffrey Chapin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Innovation Partners 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 Innovation Partners LLC Due To Geoffrey Chapin If you have questions about Innovation Partners LLC and/or Geoffrey Chapin 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

Giustino Destefano of Securities America, Inc.

DID GIUSTINO DESTEFANO CAUSE YOU INVESTMENT LOSSES? Giustino Destefano Formerly With Securities America, Inc. Has 8 Customer Complaints For Alleged Broker Misconduct Who is Giustino Destefano formerly with Securities America, Inc.? Giustino Destefano (CRD #4926924) who was formerly registered with Securities America, Inc. and located in Williamsville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securities America, Inc., Giustino Destefano was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Giustino Destefano has had his own regulatory problems. In March 2016, he was suspended for 3 months and fined $10,000 by FINRA for the allegedly exercising discretion in customer accounts and executing trades without written authorization.  Giustino Destefano Customer Complaints Giustino Destefano has been the subject of 8 customer complaints that we know about. Five of Giustino Destefano’s 8 customer complaints were settled in favor of investors. All of the customers’ complaints except two were settled in favor of the investors. Allegations Against Giustino Destefano 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 that Giustino Destefano invested Claimant’s funds in unsuitable and aggressive investments. Allegations include common law fraud, breach of contract, breach of fiduciary duty, violation of California Securities Act and elder abuse. Claimants allege Giustino Destefano engaged in discretionary trading and overconcentrated claimants’ accounts in unsuitable stocks. Additional allegations are negligence and breach of fiduciary duty. Claimants allege that Giustino Destefano implemented a speculative investment strategy in Claimant’s accounts that was not appropriate given their risk tolerance. Allegations include misrepresentations, unsuitability, unauthorized trading, overconcentration, fraud and violations of federal securities laws and FINRA rules. Client alleges Giustino Destefano effected unauthorized and unsuitable transactions. Customer alleges a substantial market loss of 50% by Giustino Destefano. Power of attorney for customer alleges excessive trading by Giustino Destefano. Power of attorney for customer alleges unsuitable investment recommendations by Giustino Destefano. The customer alleges unsuitable investment recommendations, misrepresentation, excessive trading and unauthorized trading by Giustino Destefano. Giustino Destefano Red Flags & Your Rights As An Investor Of course, Giustino Destefano 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 Giustino Destefano at Securities America, Inc. on alert to review carefully the activity and performance of their accounts and question whether Giustino Destefano has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America, 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 Securities America, Inc. Due To Giustino Destefano If you have questions about Securities America, Inc. and/or Giustino Destefano 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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