Jun 27, 2022

Bruce Horek of State Farm VP Management Corp.

DID BRUCE HOREK CAUSE YOU INVESTMENT LOSSES? Bruce Horek Of State Farm VP Management Corp. Has A Customer Complaint For Alleged Broker Misconduct Who is Bruce Horek of State Farm VP Management Corp.? Bruce Horek (CRD #2999977) who is currently registered with State Farm VP Management Corp. and located in Westchester, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Bruce Horek Customer Complaint Bruce Horek 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 Bruce Horek failed to timely execute transaction customer’s account.  The customer complaint filed against Bruce Horek’s current employer State Farm VP Management Corp. for investment losses caused by the alleged misconduct is pending as of the date of this report. Bruce Horek Red Flags & Your Rights As An Investor Of course, Bruce Horek 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 Bruce Horek at State Farm VP Management Corp. on alert to review carefully the activity and performance of their accounts and question whether Bruce Horek has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at State Farm VP Management Corp. 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 State Farm VP Management Corp. Due To Bruce Horek If you have questions about State Farm VP Management Corp. and/or Bruce Horek 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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Jun 27, 2022

Charlene Causey of UBS Financial Services Inc.

It’s critical for everyone to understand as much as possible about the people with whom they entrust their money. You can learn more about a broker’s background via resources such as prior employment history, regulatory disciplinary actions, and consumer complaints. This crucial information may lead to queries about Charlene Causey and the financial losses you may have incurred. We’ll do our best to answer any questions you have. DID CHARLENE FRANCIS CAUSEY CAUSE YOU INVESTMENT LOSSES? Charlene Causey Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Charlene Causey of UBS Financial Services Inc.? Charlene Causey (CRD #1386090) who is currently registered with UBS Financial Services Inc. and located in Cincinnati, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Charlene Causey Customer Complaint Charlene Causey 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 Charlene Causey failed to file client’s instruction with respect to sale of apple Stock. Charlene Causey’s customer complaint was settled in favor of the investor. Charlene Causey Red Flags & Your Rights As An Investor Of course, Charlene Causey 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 Charlene Causey at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Charlene Causey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS 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 UBS Financial Services Inc. Due To Charlene Causey If you have questions about UBS Financial Services Inc. and/or Charlene Causey 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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Jun 27, 2022

Bruce Roberts of Wells Fargo Clearing Services, LLC

DID BRUCE ALAN ROBERTS CAUSE YOU INVESTMENT LOSSES? Bruce Roberts Of Wells Fargo Clearing Services, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Bruce Roberts of Wells Fargo Clearing Services, LLC? Bruce Roberts (CRD #1540198) who is currently registered Wells Fargo Clearing Services, LLC and located in Aventura, Florida is a subject of one of our many securities industry sales practice abuse investigations. Bruce Roberts Customer Complaints Bruce Roberts has been the subject of 3 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Two of Bruce Roberts’ 3 customer complaints were settled in favor of investors. One of Bruce Roberts’ customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Bruce Roberts   A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Illiquidity of auction rate securities. Misrepresentations related to the liquidity of auction rate securities and closed-end funds. Failure to follow customers liquidation instructions. Bruce Roberts Red Flags & Your Rights As An Investor Of course, Bruce Roberts 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 Bruce Roberts at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Bruce Roberts 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 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 Wells Fargo Clearing Services, LLC Due To Bruce Roberts If you have questions about Wells Fargo Clearing Services, LLC and/or Bruce Roberts 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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Jun 27, 2022

Alejandro Gonzalez of UBS Financial Services Inc.

DID ALEJANDRO GONZALEZ CAUSE YOU INVESTMENT LOSSES? Alejandro Gonzalez Of UBS Financial Services Inc. And Formerly With EFG Capital International Has A Customer Complaint For Alleged Broker Misconduct Who is Alejandro Gonzalez of UBS Financial Services Inc.? Alejandro Gonzalez (CRD #6961543) who is currently registered with UBS Financial Services Inc. and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services Inc., Alejandro Gonzalez was associated with EFG Capital International and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Alejandro Gonzalez Customer Complaint Alejandro Gonzalez 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 Alejandro Gonzalez engaged in unauthorized trading and disbursements.Alejandro Gonzalez’s customer complaint was settled in favor of the investors. Alejandro Gonzalez Red Flags & Your Rights As An Investor Of course, Alejandro Gonzalez 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 Alejandro Gonzalez at UBS Financial Services Inc. and EFG Capital International on alert to review carefully the activity and performance of their accounts and question whether Alejandro Gonzalez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. and EFG Capital International 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 UBS Financial Services Inc. Due To Alejandro Gonzalez If you have questions about UBS Financial Services Inc., EFG Capital International and/or Alejandro Gonzalez 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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Jun 27, 2022

Bradley Hill of LPL Financial LLC

DID BRADLEY KEITH HILL CAUSE YOU INVESTMENT LOSSES? Bradley Hill Of LPL Financial LLC And Formerly With Cuso Financial Services, L.P. Has A Customer Complaint For Alleged Broker Misconduct Who is Bradley Hill of LPL Financial LLC? Bradley Hill (CRD #2703287) who is currently registered with LPL Financial LLC and located in Wichita, Kansas is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, Bradley Hill was associated with Cuso Financial Services, L.P. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Bradley Hill Customer Complaint Bradley Hill 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 Bradley Hill made unsuitable investment recommendations related to a mutual fund. Bradley Hill’s customer complaint was denied and, to date, the customer has not taken any further action. Bradley Hill Red Flags & Your Rights As An Investor Of course, Bradley Hill 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 Bradley Hill at LPL Financial LLC and Cuso Financial Services on alert to review carefully the activity and performance of their accounts and question whether Bradley Hill has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Cuso 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 LPL Financial LLC Due To Bradley Hill If you have questions about LPL Financial LLC, Cuso Financial Services and/or Bradley Hill 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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Jun 27, 2022

Joel Arivett of Arvest Wealth Management

DID JOEL R. ARIVETT CAUSE YOU INVESTMENT LOSSES? Joel Arivett Of Arvest Wealth Management And Formerly With LPL Financial Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joel Arivett of Arvest Wealth Management? Joel Arivett (CRD #6746446) who is currently registered with Arvest Wealth Management and located in Russellville, Arkansas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Arvest Wealth Management, Joel Arivett was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joel Arivett Customer Complaints Joel Arivett has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. One of Joel Arivett’s 2 customer complaints was settled in favor of the investors. There is currently one pending customer complaint filed against Edward Jones for investment losses caused by Joel Arivett’s alleged misconduct. Allegations Against Joel Arivett 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 Joel Arivett promised that client’s account would have $115,000 once trades were processed, but the account only had $107,895.67 after the trades were completed. Client alleged that funds were not invested in 529 plans as instructed allegedly committed by Joel Arivett. Joel Arivett Red Flags & Your Rights As An Investor Of course, Joel Arivett 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 Joel Arivett at Arvest Wealth Management and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Joel Arivett has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arvest Wealth Management 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 Arvest Wealth Management Due To Joel Arivett If you have questions about Arvest Wealth Management, LPL Financial, and/or Joel Arivett 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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Jun 27, 2022

Aaron Jasper of Mutual Securities, Inc.

It’s critical for everyone to understand as much about the people with whom they entrust their money as possible. There are several sources where you may discover more about someone’s background, including their prior employment history, regulatory enforcement actions, and client complaints. Aaron Jasper‘s involvement with your investments may raise concerns about his conduct, as well as any potential losses. We’ll do everything we can to address your potential questions. DID AARON T. JASPER CAUSE YOU INVESTMENT LOSSES? Aaron Jasper Of Mutual Securities, Inc. And Formerly With National Financial Services LLC Has 4 Customer Complaints For Alleged Broker Misconduct Who is Aaron Jasper of Mutual Securities, Inc.? Aaron Jasper (CRD #5016734) who is currently registered with Mutual Securities, Inc. and located in Camarillo, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Mutual Securities, Inc., Aaron Jasper was associated with National Financial Services LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Aaron Jasper Customer Complaints Aaron Jasper has been the subject of 4 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. There are currently 4 pending customer complaints filed against Aaron Jasper’s current employer Mutual Securities, Inc. for investment losses caused by the alleged misconduct. Allegations Against Aaron Jasper A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Customer alleged breach of contract, breach of fiduciary duty, negligence, misrepresentations and omissions in connection with managed accounts at Mutual Securities, Inc. Two customer alleged various violations of federal and state securities laws, and FINRA rules relating to stocks, including penny stocks, in her accounts at Mutual Securities, Inc. in 2 federal court actions. Another customer alleged various violations of federal and state securities laws, and FINRA rules in a FINRA arbitration. Aaron Jasper Red Flags & Your Rights As An Investor Of course, Aaron Jasper 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 Aaron Jasper at Mutual Securities, Inc. and National Financial Services LLC on alert to review carefully the activity and performance of their accounts and question whether Aaron Jasper has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Mutual Securities, Inc. and National Financial Services 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 Mutual Securities, Inc. Due To Aaron Jasper If you have questions about Mutual Securities, Inc., National Financial Services LLC, and/or Aaron Jasper 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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Jun 27, 2022

Brandon DuBose of Edward Jones

DID BRANDON PAUL DUBOSE CAUSE YOU INVESTMENT LOSSES? Brandon DuBose Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Brandon DuBose of Edward Jones? Brandon DuBose (CRD #6971462) who is currently registered with Edward Jones and located in San Antonio, Texas is a subject of one of our many securities industry sales practice abuse investigations. Brandon DuBose Customer Complaint Brandon DuBose 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 Brandon DuBose provided incorrect advice with respect to her right to take penalty free withdrawals upon rolling into a traditional IRA.  Brandon DuBose’s customer complaint was settled in favor of the investors. Brandon DuBose Red Flags & Your Rights As An Investor Of course, Brandon DuBose 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 Brandon DuBose at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Brandon DuBose has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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 Edward Jones Due To Brandon DuBose If you have questions about Edward Jones and/or Brandon DuBose 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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Jun 27, 2022

Chad Thuner formerly with Calton & Associates, Inc.

As a client, you put your money in the hands of someone you can trust. This is why it’s critical to understand everything there is to know about the individual who will be investing your money. This data might assist you in determining whether or not to work with a certain broker. We may be able to assist you in addressing any concerns or problems you have if you believe Chad Thuner has caused you financial damage. DID CHAD ANDREW THUNER CAUSE YOU INVESTMENT LOSSES? Chad Thuner Formerly With Calton & Associates, Inc. And Capital Financial Services, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Chad Thuner formerly with Calton & Associates, Inc.? Chad Thuner (CRD #4893596) who was formerly registered with Calton & Associates, Inc. and located in Tampa, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Calton & Associates, Inc., Chad Thuner was associated with Capital Financial Services, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Chad Thuner Customer Complaints Chad Thuner has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. All 3 of Chad Thuner’s customer complaints were settled in favor of investors. Allegations Against Chad Thuner A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Breach of fiduciary duty, misrepresentation and violation of Indiana state securities laws related to annuities, oil and gas investments and real estate securities. Breach of fiduciary duty, violations of federal and state securities laws, negligent supervision/hiring related to direct investments in oil and gas sector. Violations of federal securities laws, breach of fiduciary duty, breach of contract related to mutual fund in oil and gas investments. Chad Thuner Red Flags & Your Rights As An Investor Of course, Chad Thuner 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 Chad Thuner at Calton & Associates, Inc. and Capital Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Chad Thuner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Calton & Associates, Inc. and Capital Financial Services, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Calton & Associates, Inc. Due To Chad Thuner If you have questions about Calton & Associates, Inc., Capital Financial Services, Inc., and/or Chad Thuner 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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Jun 27, 2022

Adam Fountain formerly with Herald Investment Marketing, LLC

DID ADAM J. FOUNTAIN CAUSE YOU INVESTMENT LOSSES? Adam Fountain Formerly With Herald Investment Marketing, LLC and Tranceka Capital, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Adam Fountain formerly with Herald Investment Marketing, LLC? Adam Fountain (CRD #3258431) who was formerly registered with Herald Investment Marketing, LLC and located in Seattle, Washington is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Herald Investment Marketing, LLC, Adam Fountain was associated with Tranceka Capital, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Adam Fountain Customer Complaint Adam Fountain 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 related to a $2.2 million-dollar investment in a real estate development Company, named Capital Hill Subway, LLC in Seattle, Washington that was solicited by Adam Fountain.  Adam Fountain’s customer complaint was denied and, to date, the customer has not taken any further action. Adam Fountain Red Flags & Your Rights As An Investor Of course, Adam Fountain 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 Adam Fountain at Herald Investment Marketing, LLC and Tranceka Capital, LLC on alert to review carefully the activity and performance of their accounts and question whether Adam Fountain has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Herald Investment Marketing, LLC and Tranceka Capital, 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 Herald Investment Marketing, LLC Due To Adam Fountain If you have questions about Herald Investment Marketing, LLC, Tranceka Capital, LLC,and/or Adam Fountain 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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