Jan 20, 2022

Thomas Dilello of LPL Financial LLC

DID THOMAS MICHAEL DILELLO CAUSE YOU INVESTMENT LOSSES? Thomas Dilello Formerly With LPL Financial LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Thomas Dilello formerly with LPL Financial LLC? Thomas Dilello (CRD #1296934) who was formerly registered with LPL Financial LLC and located in Naples, Florida is a subject of one of our many securities industry sales practice abuse investigations. Thomas Dilello was also the subject of a FINRA investigation for failure to comply with a settlement agreement and/or satisfactorily respond to a FINRA request to provide information concerning the status of his compliance with that agreement. As a result, he was suspended and all capacities from association with any member firm. Thomas Dilello Customer Complaints Thomas Dilello has been the subject of 3 customer complaints that we know about. One of Thomas Dilello’s 3 customer complaints was settled in favor of investors. One of Thomas Dilello’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 Thomas Dilello’s alleged misconduct. Allegations Against Thomas Dilello A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client claims Thomas Dilello allegedly committed fraud and took funds from account. Clients alleged that Thomas Dilello misrepresented facts regarding the Hartford variable annuities they purchased. The client says he thought he was buying tax-free bonds when in fact he was buying a mutual fund recommended by Thomas Dilello. Thomas Dilello Red Flags & Your Rights As An Investor Of course, Thomas Dilello 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 Thomas Dilello at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Thomas Dilello has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC also raises questions about the brokerage 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 LPL Financial LLC Due To Thomas Dilello If you have questions about LPL Financial and/or Thomas Dilello 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 Disantis of Securian Financial Services, Inc.

DID PAUL VICTOR DISANTIS CAUSE YOU INVESTMENT LOSSES? Paul Disantis Formerly With Securian Financial Services, Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Paul Disantis Formerly With Securian Financial Services, Inc.? Paul Disantis (CRD #1277844) who was formerly registered with Securian Financial Services, Inc. and located in Pinehurst, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securian Financial Services, Inc., Paul Disantis was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Paul Disantis Customer Complaint Paul Disantis has been the subject of 2 customer complaints that we know about. Both of Paul Disantis’ customer complaints were settled in favor of investors. Allegations Against Paul Disantis A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Clients have concerns around service/advice they allegedly received from Paul Disantis regarding transfers from annuities to investment advisory account. Client alleged Paul Disantis misrepresented policy at the time of sale. Paul Disantis Red Flags & Your Rights As An Investor Of course, Paul Disantis 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 Paul Disantis at Securian Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Paul Disantis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securian Financial Services, 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 Securian Financial Services, Inc. Due To Paul Disantis If you have questions about Securian Financial Services, Inc. and/or Paul Disantis 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

Scott Doll of LPL Financial LLC

DID SCOTT WILLARD DOLL CAUSE YOU INVESTMENT LOSSES? Scott Doll of LPL Financial LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Scott Doll of LPL Financial LLC? Scott Doll (CRD #1087992) who is currently registered with LPL Financial LLC and located in San Juan Capistrano, California is a subject of one of our many securities industry sales practice abuse investigations. Scott Doll Customer Complaint Scott Doll 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 Scott Doll engaged in unauthorized trading in two accounts. Scott Doll’s customer complaint was settled in favor of the investors. Scott Doll Red Flags & Your Rights As An Investor Of course, Scott Doll 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 Scott Doll at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Scott Doll has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Scott Doll If you have questions about LPL Financial LLC and/or Scott Doll 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

Jimmy Driggers of Morgan Stanley

DID JIMMY YANG DRIGGERS CAUSE YOU INVESTMENT LOSSES? Jimmy Driggers of Morgan Stanley Has 3 Customer Complaints for Alleged Broker Misconduct Who is Jimmy Driggers of Morgan Stanley? Jimmy Driggers (CRD #1359593) who is currently registered with Morgan Stanley and located in Sarasota, Florida is a subject of one of our many securities industry sales practice abuse investigations. Jimmy Driggers Customer Complaints Jimmy Driggers 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 Jimmy Driggers’ 3 customer complaints was settled in favor of investors. One of Jimmy Driggers’ customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against Morgan Stanley for investment losses caused by Jimmy Driggers’ alleged misconduct. Allegations Against Jimmy Driggers 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 alleged, among other things unsuitability with respect to alternative investments recommended by Jimmy Driggers. The client alleged that corporate bond purchases by Jimmy Driggers were unsuitable. Claimant alleged that Jimmy Driggers assured him that his investment in Lehman Brothers Structured Notes would be safe and secure, and further alleges that the Lehman Brothers Structured Notes he purchased were misrepresented and unsuitable and that the risk of loss of principal was not properly disclosed to him. Jimmy Driggers Red Flags & Your Rights as An Investor Of course, Jimmy Driggers 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 Jimmy Driggers at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jimmy Driggers 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 Jimmy Driggers If you have questions about Morgan Stanley and/or Jimmy Driggers 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

Douglas Everett of Ameriprise Financial Services

DID DOUGLAS KARL EVERETT CAUSE YOU INVESTMENT LOSSES? Douglas Everett of Ameriprise Financial Services and Formerly with Voya Financial Advisors Has 6 Customer Complaints for Alleged Broker Misconduct Who is Douglas Everett of Ameriprise Financial Services? Douglas Everett (CRD #1295057) who is currently registered with Ameriprise Financial Services and located in Portland, Oregon is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, Douglas Everett was associated with Voya Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Douglas Everett Customer Complaints Douglas Everett has been the subject of 6 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of Douglas Everett’s 6 customer complaints were settled in favor of investors. Three of Douglas Everett’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Douglas Everett A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Clients alleged Douglas Everett was making risky transactions that were not done with their approval and not in line with their risk tolerance, along with his inability to monitor the market and not being available to make transactions. The customer alleged Douglas Everett gave poor advice surrounding the purchase and sale of HFRO mutual fund. The customer alleged Douglas Everett provided poor advice by recommending a high-risk investment. The client alleged that Douglas Everett failed to promptly process the signed documentation establishing accounts at American Express and requesting the distribution of funds which caused financial damage. Douglas Everett Red Flags & Your Rights as An Investor Of course, Douglas Everett 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 Douglas Everett at Ameriprise Financial Services and Voya Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Douglas Everett has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Ameriprise Financial Services and Voya Financial 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 Ameriprise Financial Services Due to Douglas Everett If you have questions about Ameriprise Financial Services, Voya Financial Advisors, and/or Douglas Everett 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

Richard Bernstein of Wells Fargo Clearing Services, LLC

DID RICHARD JAY BERNSTEIN CAUSE YOU INVESTMENT LOSSES? Richard Jay Bernstein with Wells Fargo Clearing Services, LLC Has 8 Customer Complaints For Alleged Broker Misconduct Who is Richard J. Bernstein with Wells Fargo Clearing Services, LLC? Richard Bernstein (CRD #1113777) who is currently registered with Wells Fargo Clearing Services, LLC and located in Incline Village, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Richard Bernstein was associated with Morgan Stanley and 9 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wells Fargo And Morgan Stanley Broker Misconduct In his career, Richard Bernstein has been the subject of 8 customer complaints that we know about, 1 of those complaints were filed in the last year to recover investment losses. Two of those customer cases proceeded through an arbitration and an award was entered in their favor. Four of Richard Bernstein’s 8 customer complaints were settled by Wells Fargo, Morgan Stanley, and UBS Financial Services, Inc. in favor of investors. The 2 other customer complaints were denied by his former employer UBS Financial Services, Inc. and the customer took no further action. Allegations Against Richard Bernstein A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged unsuitable investments and unauthorized trading in breach of Richard Bernstein’s fiduciary duties which resulted in an arbitration award in the investor’s favor. Customer alleged and proved excessive and unauthorized trading in an arbitration hearing and received an award for his damages. Claimant alleged unsuitable investment recommendations. Claimant alleged that Richard Bernstein made unauthorized transactions which conflicted with his stated, investment goals. Customer complaints related to the sale of auction rate securities. Client alleged that the financial advisor purchase a higher risk mutual fund without his permission. Client alleged unsuitable investment recommendations and overconcentration in the financial sector despite instructions to avoid market risk and to preserve capital. Richard Bernstein Red Flags & Your Rights As An Investor Of course, Richard Bernstein 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 Richard Bernstein at Wells Fargo Clearing Services, LLC and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Richard Bernstein has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC and Morgan Stanley also raises questions about their 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 Wells Fargo Clearing Services, LLC And Morgan Stanley If you have questions about Wells Fargo Clearing Services, LLC, Morgan Stanley and/or Richard Bernstein 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

Richard Kaplan of Legacy Asset Securities, Inc.

DID RICHARD E. KAPLAN CAUSE YOU INVESTMENT LOSSES? Richard E. Kaplan formerly with Legacy Asset Securities, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Richard E. Kaplan formerly with Legacy Asset Securities, Inc.? Richard Kaplan (CRD #2944041) who was formerly registered with Legacy Asset Securities, Inc. and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Legacy Asset Securities, Inc., Richard Kaplan was associated with another investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Legacy Asset Securities, Inc. Broker Misconduct In his career, Richard Kaplan has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. Both customer complaints filed against Richard Kaplan’s former employer Legacy Asset Securities, Inc. for investment losses caused by his alleged failure to supervise and are currently pending.  Allegations Against Richard Kaplan A sample of the allegations made in the FINRA reported arbitration claim and pending complaints for investment losses are as follows: Two groups of customers and separate arbitration proceedings made allegations against supervisors of a broker named William Hightower. It alleges that Richard Kaplan and others failed to supervise William Hightower. Richard Kaplan Red Flags & Your Rights As An Investor Of course, Richard Kaplan 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 Richard Kaplan at Legacy Asset Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Richard Kaplan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Legacy Asset Securities, Inc. about William Hightower raises legitimate questions about Kaplan and others 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 Legacy Asset Securities, Inc. If you have questions about Legacy Asset Securities, Inc. and/or Richard Kaplan 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

Brian Bjerke of LPL Financial LLC

DID BRIAN PATRICK BJERKE CAUSE YOU INVESTMENT LOSSES? Brian Patrick Bjerke formerly with LPL Financial LLC Has A Customer Complaint For Alleged Broker Misconduct In the Past 2 Years Who is Brian P. Bjerke formerly with LPL Financial LLC? Brian Bjerke (CRD #5811394) who was formerly registered with LPL Financial LLC and located in Chamblee, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Brian Bjerke was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. LPL Financial LLC Broker Misconduct In his career, Brian Bjerke has been the subject of a customer complaint that was filed in the last 2 years to recover investment losses. Claimant alleged that Brian Bjerke recommended unsuitable alternative investments in variable annuities without disclosing the risks and details of the investment which caused him damages. The customer complaint was settled by his former employer LPL Financial, LLC in favor of the investor. Brian Bjerke Red Flags & Your Rights As An Investor Of course, Brian Bjerke 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 Brian Bjerke at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Brian Bjerke has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a  large number of customer complaints at LPL Financial LLC which also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial LLC If you have questions about LPL Financial LLC and/or Brian Bjerke 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 Davis of Janney Montgomery Scott LLC

DID WILLIAM GEORGE DAVIS III CAUSE YOU INVESTMENT LOSSES? William George Davis III with Janney Montgomery Scott LLC Has 7 Customer Complaints For Alleged Broker Misconduct Who is William G. Davis III with Janney Montgomery Scott LLC? William Davis (CRD #1057933) who is currently registered with Janney Montgomery Scott LLC and located in Palm Beach Gardens, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Janney Montgomery Scott LLC, William Davis was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Janney Montgomery Scott LLC Broker Misconduct In his career, William Davis has been the subject of 7 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. There is currently one pending customer complaint filed against William Davis’ current employer Janney Montgomery Scott LLC for investment losses caused by his alleged misconduct. Allegations Against William Davis A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleged that William Davis purchased 2 mutual funds that were unsuitable investments. Client alleged that his financial advisor misrepresented an AXA annuity. Claimant alleged misrepresentation regarding the amount of insurance premiums. Client alleged that William Davis purchase annuities that were not suitable and further, sold under false and misleading pretenses. Client alleged that the stockbroker recommended an asset allocation there was improper. Claimant alleged William Davis made an unsuitable allocation and of assets in high-yield securities. William Davis Red Flags & Your Rights As An Investor Of course, William Davis 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 William Davis at Janney Montgomery Scott LLC on alert to review carefully the activity and performance of their accounts and question whether William Davis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Janney Montgomery Scott LLC also raises questions about its 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 LLC If you have questions about Janney Montgomery Scott LLC and/or William Davis 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

Christopher Neston of Ausdal Financial Partners, Inc.

DID CHRISTOPHER WILLIAM NESTON CAUSE YOU INVESTMENT LOSSES? Christopher William Neston with Ausdal Financial Partners, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Christopher W. Neston with Ausdal Financial Partners, Inc.? Christopher Neston (CRD #2741497) who is currently registered with Ausdal Financial Partners, Inc. and located in Lino Lakes, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ausdal Financial Partners, Inc., Christopher Neston was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ausdal Financial Partners, Inc. Broker Misconduct In his career, Christopher Neston has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. Both of Christopher Neston’s customer’s complaints were settled in favor of investors. Allegations Against Christopher Neston   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged that Christopher Neston over-concentrated the investments in his portfolio and speculative, high commission securities, which mostly included private placements involving equipment leasing, oil and gas industry and real estate securities. Customer alleged that Christopher Neston made unsuitable investment recommendations for speculative investments in a retirement account. Christopher Neston Red Flags & Your Rights As An Investor Of course, Christopher Neston 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 Neston at Ausdal Financial Partners, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Neston has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Ausdal Financial Partners, Inc. which also raises questions about its 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 Ausdal Financial Partners, Inc. If you have questions about Ausdal Financial Partners, Inc. and/or Christopher Neston 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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