Jan 20, 2022

William Shreve of UBS Financial Services Inc.

DID WILLIAM BURTON SHREVE CAUSE YOU INVESTMENT LOSSES? William Burton Shreve with UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is William B. Shreve with UBS Financial Services Inc.? William Shreve (CRD #852878) who is currently registered with UBS Financial Services Inc. and located in Lincoln, Nebraska is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., William Shreve was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services Inc. Broker Misconduct In his career, William Shreve has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. One of William Shreve’s customer complaints resulted in an arbitration award against him and his employer. Two of William Shreve’s for customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against William Shreve’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct. Allegations Against William Shreve A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged unauthorized transactions, securities fraud, and common law fraud related to options trading in an arbitration proceeding that resulted in an arbitration award in the investor’s favor. Claimant alleged failure to liquidate securities as instructed. Claimant alleged William Shreve made misrepresentations and unsuitable investment recommendations related to an investment in an options overlay strategy known as the UBS Yield Enhancement Strategy. William Shreve Red Flags & Your Rights As An Investor Of course, William Shreve 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 Shreve at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether William Shreve has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. about the UBS Yield Enhancement Strategy 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 UBS Financial Services Inc. If you have questions about UBS Financial Services Inc. and/or William Shreve 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 Armstrong of LPL Financial, LLC

DID JEFFREY MARK ARMSTRONG CAUSE YOU INVESTMENT LOSSES? Jeffrey Mark Armstrong Of LPL Financial, LLC And Formerly with Lincoln Financial Advisors Corporation Has Had A Customer Complaint for Alleged Broker Misconduct in the Past Year Who is Jeffrey M. Armstrong with LPL Financial, LLC? Jeffrey Armstrong (CRD #2808264) who is currently registered with LPL Financial, LLC and located in Fairfax, Virginia is a subject of one of our many securities industry sales practice abuse investigations.   Prior to LPL Financial, LLC, Jeffrey Armstrong was associated with Lincoln Financial Advisors Corporation, 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Lincoln Financial Advisors Corporation Broker Misconduct Jeffrey Armstrong has been the subject of a customer complaint filed in the last year to recover investment losses. The claimants alleged that Jeffrey Armstrong told them unsuitable investments, including several private placements and non-traded REITs.  The customer complaint filed against Jeffrey Armstrong’s current employer LPL Financial, LLC for investment losses caused by his alleged misconduct is pending. Jeffrey Armstrong Red Flags & Your Rights as An Investor Of course, Jeffrey Armstrong 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 Jeffrey Armstrong at LPL Financial, LLC and Lincoln Financial Advisors Corporation on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Armstrong has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Lincoln Financial Advisors Corporation 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 And Lincoln Financial Advisors Corporation If you have questions about LPL Financial, LLC, Lincoln Financial Advisors Corporation, and/or Jeffrey Armstrong 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

Frederick Atiyeh of Crown Capital Securities, L.P.

DID FREDERICK MARK ATIYEH CAUSE YOU INVESTMENT LOSSES? Frederick Mark Atiyeh with Crown Capital Securities, L.P. Has Had A Customer Complaint for Alleged Broker Misconduct in the Past Year Who is Frederick M. Atiyeh with Crown Capital Securities, L.P.? Frederick Atiyeh (CRD #872352) who is currently registered with Crown Capital Securities, L.P. and located in Whitmore Lake, Michigan is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Crown Capital Securities, L.P., Frederick Atiyeh was associated with 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Crown Capital Securities, L.P. Broker Misconduct In his career, Frederick Atiyehhas been the subject of 2 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. Both of Frederick Atiyeh’scustomer complaints were settled in favor of investors. Allegations Against Frederick Atiyeh A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleged that Frederick Atiyeh breached his fiduciary duties and constructing a portfolio that was over-concentrated in high-risk and illiquid alternative investments. The claimant alleged that the investments were unsuitable. The claimant alleged lack of adequate due diligence, negligence, misrepresentation, and breach of fiduciary duty relating to the purchase of UDF stock. Frederick Atiyeh Red Flags & Your Rights as An Investor Of course, Frederick Atiyeh 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 Frederick Atiyeh at Crown Capital Securities, L.P. on alert to review carefully the activity and performance of their accounts and question whether Frederick Atiyeh has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Crown Capital Securities, L.P.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 Crown Capital Securities, L.P. If you have questions about Crown Capital Securities, L.P. and/or Frederick Atiyeh 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

David Neumann of Cambridge Investment Research, Inc

DID DAVID ROBERT NEUMANN CAUSE YOU INVESTMENT LOSSES? David Robert Neumann Of Cambridge Investment Research, Inc. Was Recently Named in Customer Complaint for Alleged Broker Misconduct Who is David R. Neumann with Cambridge Investment Research, Inc.? David Neumann (CRD #6290456) who is currently registered with Cambridge Investment Research, Inc. and located in Altoona, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Cambridge Investment Research, Inc., David Neumann was associated with Morgan Stanley and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cambridge Investment Research, Inc. Broker Misconduct David Neumann was recently identified as the subject of customer complaints in an arbitration claim filed against Cambridge Investment Research, Inc. in August last year to recover investment losses.  It was alleged in the arbitration claim that David Neumann recommended and sold unsuitable alternative, illiquid, and complex investment products, including variable annuities, direct investments in limited partnership interests, mutual funds, in the oil and gas in real estate sectors.  The arbitration claim filed against David Neumann’s current employer Cambridge Investment Research, Inc. for investment losses caused by his alleged misconduct is still pending. David Neumann Red Flags & Your Rights as An Investor Of course, David Neumann 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 David Neumann at Cambridge Investment Research, Inc. and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether David Neumann has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Cambridge Investment Research, Inc. and Morgan Stanley which 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 Cambridge Investment Research, Inc. If you have questions about Cambridge Investment Research, Inc., Morgan Stanley, and/or David Neumann 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 Tolmacs of Triad Advisors, Inc

DID CHRISTOPHER THOMAS TOLMACS CAUSE YOU INVESTMENT LOSSES? Christopher Thomas Tolmacs formerly with Triad Advisors, Inc. Has 12 Customer Complaints for Alleged Broker Misconduct Who is Christopher T. Tolmacs formerly with Triad Advisors, Inc.? Christopher Tolmacs (CRD #4648724) who was formerly registered with Triad Advisors, Inc. and located in Portage, Michigan is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Triad Advisors, Inc., Christopher Tolmacs was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Christopher Tolmacs has had his own problems with the regulators.  In 2016, the State of Michigan revoked his license and fined him $50,000 for allegedly willfully violating the Michigan Securities Act, impeding an examination of the Triad Branch Office, and engaging in dishonest and unethical business practices.  Later, he was suspended by FINRA for failing to pay an arbitration award. And then, Christopher Tolmacs allegedly refused to appear and give testimony to FINRA during the course of an ongoing FINRA investigation into whether he entered into lending arrangements with several of his customers through the issuance of promissory notes, and he was permanently barred from association with any FINRA member firm in any capacity. Triad Advisors, Inc. Broker Misconduct In his career, Christopher Tolmacs has been the subject of 12 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses.  In 2016, he was found liable and ordered to pay the claimants in an arbitration proceeding of $1.2 million.  Based upon the panel’s finding of negligence, gross negligence, breach of fiduciary duty, willful and wanton misconduct, conversion of funds, securities fraud, and in addition, ordered to pay $300,000 in punitive damages based upon his willful and wanton misconduct, including the conversion of funds and securities.  Ten of Christopher Tolmacs’ 12 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Christopher Tolmacs’ former employer Triad Advisors, Inc. for investment losses caused by his alleged misconduct. Allegations Against Christopher Tolmacs A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleged that money provided to Christopher Tolmacs for investment were converted by him for his own use. Claimants alleged that the financial advisor recommended unsuitable alternative investments involving equipment leasing and other business development companies and further that they loaned him money that was not repaid. Claimants alleged that Christopher Tolmacs made unsuitable investment recommendations for their retirement assets in exchange-traded funds in business development companies. Conversion of funds. Claimants alleged unsuitable investment recommendations involving mutual funds, and oil and gas, and real estate partnerships. Claimants made loans to Christopher Tolmacs and exchange received promissory notes that were never repaid. The claimant alleged unsuitable investment recommendations to concentrate the assets of an individual retirement account in illiquid, high commission, private placement investments. Christopher Tolmacs Red Flags & Your Rights as An Investor Of course, Christopher Tolmacs 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 Christopher Tolmacs at Triad Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Tolmacs has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Triad Advisors, Inc. 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 Triad Advisors, Inc. If you have questions about Triad Advisors, Inc. and/or Christopher Tolmacsand 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 Fallon of MML Investors Services, LLC

DID CHRISTOPHER MICHAEL FALLON CAUSE YOU INVESTMENT LOSSES? Christopher Michael Fallon Of MML Investors Services, LLC And Formally with MSI Financial Services, Inc. Has A Customer Complaints for Alleged Broker Misconduct in The Past Year Who is Christopher M. Fallon with MML Investors Services, LLC? Christopher Fallon (CRD #5096384) who is currently registered with MML Investors Services, LLC and located in Newtown Square, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.   Prior to MML Investors Services, LLC, Christopher Fallon was associated with MSI Financial Services, Inc. and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. MSI Financial Services, Inc. Broker Misconduct Christopher Fallon has been recently identified as the subject of a customer complaint filed in the last year against his former employer MSI Financial Services, Inc. to recover investment losses. The allegations are that Christopher Fallon made unsuitable investment recommendations to the customer to invest in a REIT that was supposedly limited to investments by accredited investors only, which he states he was not. The customer complaint filed against Christopher Fallon’s former employer MSI Financial Services, Inc. for investment losses caused by his alleged misconduct is still pending.  Christopher Fallon Red Flags & Your Rights as An Investor Of course, Christopher Fallon 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 Christopher Fallon at MML Investors Services, LLC and MSI Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Fallon has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at MML Investors Services, LLC and MSI Financial Services, Inc. which 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 MML Investors Services, LLC And MSI Financial Services, Inc. If you have questions about MML Investors Services, LLC, MSI Financial Services, Inc., and/or Christopher Fallon 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

Charles Natt of Morgan Stanley

DID CHARLES VINCENT NATT CAUSE YOU INVESTMENT LOSSES? Charles Vincent Natt Of Morgan Stanley Has Had Customer Complaints for Alleged Broker Misconduct in The Past Year Who is Charles V. Natt with Morgan Stanley? Charles Natt (CRD #4357934) 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.   Prior to Morgan Stanley, Charles Natt was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct Charles Natt has been recently identified as the subject of a customer complaint that was filed in the last year against Morgan Stanley to recover investment losses.   The allegations made against Charles Natt were that he made unsuitable recommendations relating to putting option trading. The customer complaint filed against Charles Natt’s current employer Morgan Stanley for investment losses caused by his alleged misconduct is still pending.  Charles Natt Red Flags & Your Rights as An Investor Of course, Charles Natt 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 Charles Natt at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Charles Natt has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Morgan Stanleywhichalso 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 Morgan Stanley If you have questions about Morgan Stanley and/or Charles Nattand 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

Chad Allen of Oppenheimer & Co. Inc.

DID CHAD EDWARD ALLEN CAUSE YOU INVESTMENT LOSSES? Chad Edward Allen with Oppenheimer & Co. Inc. Has A Customer Complaint For Alleged Broker Misconduct In the Past 2 Years Who is Chad E. Allen with Oppenheimer & Co. Inc.? Chad Allen (CRD #2712784) who is currently registered with Oppenheimer & Co. Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co. Inc., Chad Allen was associated with UBS Financial Services, Inc. and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Oppenheimer & Co. Inc. Broker Misconduct In his career, Chad Allen has been the subject of 2 customer complaints that we know about, one of those complaints were filed in the last 2 years to recover investment losses. There is currently one pending customer complaint filed against Chad Allen’s current employer Oppenheimer & Co. Inc. for investment losses caused by his alleged misconduct. Allegations Against Chad Allen A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged Chad Allen made fraudulent misrepresentations, and engaged in excessive trading, unauthorized trading, and gave unsuitable investment recommendations related to option trading. Customers alleged that Chad Allen engaged in trading activity without their approval. Chad Allen Red Flags & Your Rights As An Investor Of course, Chad Allen 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 Allen at Oppenheimer & Co. Inc. and UBS Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Chad Allen has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Oppenheimer & Co. Inc. which 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 Oppenheimer & Co. Inc. If you have questions about Oppenheimer & Co. Inc., UBS Financial Services, Inc. and/or Chad Allen 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

Charles Darrow of American Portfolios Financial Services, Inc.

DID CHARLES PHILLIPS DARROW CAUSE YOU INVESTMENT LOSSES? Charles Phillips Darrow Formerly With American Portfolios Financial Services, Inc. Has A Customer Complaint For Alleged Broker Misconduct In The Past 2 Years Who is Charles P. Darrow formerly with American Portfolios Financial Services, Inc.? Charles Darrow (CRD #2325527) who was formerly registered with American Portfolios Financial Services, Inc. and located in Fayetteville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to American Portfolios Financial Services, Inc., Charles Darrow was associated with LPL Financial, LLC and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. It is probably not a coincidence that he was terminated by LPL Financial, LLC for not following its policies and procedures relative to processing variable annuity transactions and his currently accused of similar misconduct while he was employed at American Portfolios Financial Services, Inc. American Portfolios Financial Services, Inc. Broker Misconduct Charles Darrow was recently named as the subject of a customer complaint. The claimant has alleged that he made misrepresentations and omissions of material facts, breached his fiduciary duty, and violated the FINRA rules to 110 and 2111 relating to unsuitable investment recommendations to invest in variable annuities and real estate securities. The customer complaint recently filed against Charles Darrow’s former employer American Portfolios Financial Services, Inc. for investment losses caused by his alleged misconduct is still pending. Charles Darrow Red Flags & Your Rights As An Investor Of course, Charles Darrow 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 Charles Darrow at American Portfolios Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Charles Darrow has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at American Portfolios Financial Services, Inc. which 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 American Portfolios Financial Services, Inc. If you have questions about American Portfolios Financial Services, Inc. and/or Charles Darrow 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

Carolyn Hemann of Ameriprise Financial Services, LLC

DID CAROLYN FRANCES HEMANN CAUSE YOU INVESTMENT LOSSES? Carolyn Frances Hemann With Ameriprise Financial Services, LLC Has 5 Customer Complaints For Alleged Broker Misconduct Who is Carolyn F. Hemann with Ameriprise Financial Services, LLC? Carolyn Hemann (CRD #1623885) who is currently registered with Ameriprise Financial Services, LLC and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations. Ameriprise Financial Services, LLC is an investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ameriprise Financial Services, LLC Broker Misconduct In her career, Carolyn Hemann has been the subject of 5 customer complaints that we know about, one of those complaints were filed in the last 2 years to recover investment losses. Three of Carolyn Hemann’s 5 customer complaints were settled in favor of investors. Allegations Against Carolyn Hemann A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleges that Carolyn Hemann recommended an unsuitable REIT investment, namely, Inland American. Client alleged that Carolyn Hemann made unauthorized transactions within the subaccounts of his variable universal life insurance policy. Claimants alleged that Carolyn Hemann failed to follow their instructions and engage in conduct which constituted fraud, negligence, breach of fiduciary duty and elder abuse. Client alleged unauthorized trading. Carolyn Hemann Red Flags & Your Rights As An Investor Of course, Carolyn Hemann 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 Carolyn Hemann at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Carolyn Hemann has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC about Carolyn Hemann 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 Ameriprise Financial Services, LLC If you have questions about Ameriprise Financial Services, LLC and/or Carolyn Hemann 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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