Jan 20, 2022

Brett Weichbrod of Sagepoint Financial, Inc.

DID BRETT EDWARD WEICHBROD CAUSE YOU INVESTMENT LOSSES? Brett Edward Weichbrod with Sagepoint Financial, Inc. Has One Customer Complaint For Alleged Broker Misconduct In the Past Year Who is Brett E. Weichbrod with Sagepoint Financial, Inc.? Brett Weichbrod (CRD #4595377) who is currently registered with Sagepoint Financial, Inc. and located in Santa Barbara, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Sagepoint Financial, Inc., Brett Weichbrod was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sagepoint Financial, Inc. Broker Misconduct In his career, Brett Weichbrod 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 are that Brett Weichbrod recommended unsuitable private securities transactions. The customer complaint filed against Brett Weichbrod’s current employer Sagepoint Financial, Inc. for investment losses caused by his alleged misconduct is still pending. Brett Weichbrod Red Flags & Your Rights As An Investor Of course, Brett Weichbrod 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 Brett Weichbrod at Sagepoint Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Brett Weichbrod has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sagepoint Financial, Inc. 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 Sagepoint Financial, Inc. If you have questions about Sagepoint Financial, Inc. and/or Brett Weichbrod 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 Riggenbach of Woodbury Financial Services

DID RICHARD CHARLES RIGGENBACH CAUSE YOU INVESTMENT LOSSES? Richard Charles Riggenbach of Woodbury Financial Services Has One Customer Complaint for Alleged Broker Misconduct Who is Richard C. Riggenbach of Woodbury Financial Services? Richard Riggenbach (CRD #1686839) who is currently registered with Woodbury Financial Services and located in Bloomfield, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Prior to Woodbury Financial Services, Richard Riggenbach was associated with Questar Capital and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Riggenbach Customer Complaint In his career, Richard Riggenbach has been the subject of one customer complaint that we know about. Customers allege the representative made recommendations that did not meet the clients’ needs and allegedly caused losses. This complaint is currently pending against Woodbury Financial Services for investment losses caused by Richard Riggenbach’s alleged misconduct. Richard Riggenbach Red Flags & Your Rights as An Investor Of course, Richard Riggenbach 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 Richard Riggenbach at Woodbury Financial Services on alert to review carefully the activity and performance of their accounts and question whether Richard Riggenbach has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Woodbury Financial Services 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 Woodbury Financial Services If you have questions about Woodbury Financial Services and/or Richard Riggenbach 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

Steven Colacurcio of Dawson James Securities

DID STEVEN PAUL COLACURCIO CAUSE YOU INVESTMENT LOSSES? Steven Paul Colacurcio Of Dawson James Securities Has 7 Customer Complaints for Alleged Broker Misconduct Who is Steven P. Colacurcio of Dawson James Securities? Steven Colacurcio (CRD #1717483) who is currently registered with Dawson James Securities and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Dawson James Securities, Steven Colacurcio was associated with Raymond James Financial Services and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Steven Colacurcios has had his own regulatory problems. In September 2016, he consented to the sanctions and entry of findings by FINRA that he exercised discretionary power in a customer’s account without written authorization and was suspended and fined. Dawson James Securities Broker Misconduct In his career, Steven Colacurcio has been the subject of 7 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. 2 of Steven Colacurcio’s 7 customer complaints were settled in favor of investors. 4 of the customer’s complaints were denied and the customers did not take any further action. There is currently one pending customer complaint filed against Dawson James Securities for investment losses caused by Steven Colacurcio’s alleged misconduct. Allegations Against Steven Colacurcio A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Steven Colacurcio failed to explain the risks and fees associated with the purchases of 2 REITs. The customer’s attorney alleged that the investments into a mutual fund and a variable annuity through the former representative Steven Colacurcio were unsuitable. Breach of contract; violation of FINRA rules; negligence; breach of fiduciary duty; violation of Massachusetts general laws, Chapter 93a. The client claimed that the annuity was misrepresented by Steven Colacurcio as a safe investment. The client alleged that the former representative Steven Colacurcio misled her regarding the possibility of market loss in her investments. Florida resident complains that Steven Colacurcio forged her signature on the change of broker-dealer form. Steven Colacurcio Red Flags & Your Rights as An Investor Of course, Steven Colacurcio 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 Steven Colacurcio at Dawson James Securities alert to review carefully the activity and performance of their accounts and question whether Steven Colacurcio has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Dawson James Securitieswhich 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 Dawson James Securities If you have questions about Dawson James Securities and/or Steven Colacurcio 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

Preston Bellaire of MML Investors Services

DID PRESTON JASON BELLAIRE CAUSE YOU INVESTMENT LOSSES? Preston Jason Bellaire of MML Investors Services Has 2 Customer Complaints for Alleged Broker Misconduct Who is Preston J. Bellaire of MML Investors Services? Preston Bellaire (CRD #4028710) who is currently registered with MML Investors Services and located in Orlando, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Preston Bellaire was associated with MSI Financial Services and 1 other investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. MML Investors Services Broker Misconduct In his career, Preston Bellaire has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. One of the customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against MSI Financial Services for investment losses caused by Preston Bellaire’s alleged misconduct. Allegations Against Preston Bellaire A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged that the representative Preston Bellaire misrepresented the risk of speculative investment in order to secure a high commission sale in and around February of 2015. The customer alleged the representative Preston Bellaire provided incorrect information regarding the settlement options available to a beneficiary of variable annuities. Preston Bellaire Red Flags & Your Rights as An Investor Of course, Preston Bellaire 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 Preston Bellaire at MML Investors Services on alert to review carefully the activity and performance of their accounts and question whether Preston Bellaire 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 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 MML Investors Services If you have questions about MML Investors Servicesand/or Preston Bellaire and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Michael Maloney of First Allied Securities, Inc.

DID MICHAEL PATRICK MALONEY CAUSE YOU INVESTMENT LOSSES? Michael Patrick Maloney Formerly With First Allied Securities, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Michael P. Maloney formerly with First Allied Securities, Inc.? Michael Maloney (CRD #2371261) who was formerly registered with First Allied Securities, Inc. and located in Surprise, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Allied Securities, Inc., Michael Maloney was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. First Allied Securities, Inc. Broker Misconduct In his career, Michael Maloney has been the subject of 3 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. One of Michael Maloney’s 3 customer complaints was settled in favor of investors. There are currently 2 pending customer complaints, one of which was an arbitration claim filed against Michael Maloney’s former employer First Allied Securities, Inc. for investment losses caused by his alleged misconduct and the other is a court proceeding involving a Multi-Financial Securities Corporation insurance matter.  Allegations Against Michael Maloney   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged Michael Maloney committed negligence, misrepresentation, fraud in connection with the offer and sale of three ING variable annuities. Claimants alleged that their financial advisor Michael Maloney made unsuitable investment recommendations to invest in direct investments in the real estate sector. Plaintiff alleged breach of contract and misrepresentation, as well as breach of fiduciary duty in connection with an insurance policy in the Arizona state courts. Michael Maloney Red Flags & Your Rights As An Investor Of course, Michael Maloney did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Michael Maloney at First Allied Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Michael Maloney has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at First Allied Securities, 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 First Allied Securities, Inc. If you have questions about First Allied Securities, Inc. and/or Michael Maloney and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Michael Lucia of Brokers International Financial Services, LLC

DID MICHAEL JOSEPH LUCIA CAUSE YOU INVESTMENT LOSSES? Michael Joseph Lucia Of Brokers International Financial Services, LLC And Formally With H. Beck, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Michael J. Lucia with Brokers International Financial Services, LLC? Michael Lucia (CRD #2229559) who is currently registered with Brokers International Financial Services, LLC and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Brokers International Financial Services, LLC, Michael Lucia was associated with H. Beck, Inc. and 12 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. H. Beck, Inc. Broker Misconduct In his career, Michael Lucia has been the subject of 3 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. One of Michael Lucia’s 3 customer complaints was settled by his former employer Securities America in favor of investors. The other two complaints arose in connection with his employment at H. Beck, Inc. There is currently one pending customer complaint filed against Michael Lucia’s former employer H. Beck, Inc. for investment losses caused by his alleged misconduct. Allegations Against Michael Lucia A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged that Michael Lucia made unsuitable investment recommendations to invest in REITs and business development companies. Client alleged unsuitable investment recommendations to invest in direct investments. Customer alleged that Michael Lucia made unauthorized and unsuitable transactions. Michael Lucia Red Flags & Your Rights As An Investor Of course, Michael Lucia did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Michael Lucia at Brokers International Financial Services, LLC and H. Beck, Inc. on alert to review carefully the activity and performance of their accounts and question whether Michael Lucia has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Brokers International Financial Services, LLC and H. Beck, Inc. 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 Brokers International Financial Services, LLC And H. Beck, Inc. If you have questions about Brokers International Financial Services, LLC, H. Beck, Inc. and/or Michael Lucia 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

Myron Erstad of Triad Advisors LLC

DID MYRON DALE ERSTAD CAUSE YOU INVESTMENT LOSSES? Myron Dale Erstad with Triad Advisors LLC Has One Customer Complaint For Alleged Broker Misconduct In the Past 2 Years Who is Myron D. Erstad with Triad Advisors LLC? Myron Erstad (CRD #4771925) who is currently registered with Triad Advisors LLC and located in Mankato, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Prior to Triad Advisors LLC, Myron Erstad was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Triad Advisors LLC Broker Misconduct Myron Erstad was recently the subject of a customer complaint that that was filed in the last 2 years to recover investment losses. The customer complaint was about Myron Erstad’s recommendation of unsuitable alternative direct investments in the real estate sector. The customers’ complaint was settled in favor of the investors by his current employer Triad Advisors LLC . Myron Erstad Red Flags & Your Rights As An Investor Of course, Myron Erstad 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 Myron Erstad at Triad Advisors LLC on alert to review carefully the activity and performance of their accounts and question whether Myron Erstad has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Triad Advisors 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 Triad Advisors LLC If you have questions about Triad Advisors LLC and/or Myron Erstad 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

Kenneth Barroga of Crown Capital Securities, L.P.

DID KENNETH JAMES BARROGA CAUSE YOU INVESTMENT LOSSES? Kenneth James Barroga formerly with Crown Capital Securities, L.P. Has 5 Customer Complaints For Alleged Broker Misconduct Who is Kenneth J. Barroga formerly with Crown Capital Securities, L.P.? Kenneth Barroga (CRD #2288752) who was formerly registered with Crown Capital Securities, L.P. and located in Watsonville, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Crown Capital Securities, L.P., Kenneth Barroga 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, Kenneth Barroga has been the subject of 5 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. In November 2019, an arbitration award was entered against Kenneth Barroga and in favor of one of the investors who filed a complaint and received an award of $90,000 in compensatory damages, plus $36,000 in attorney’s fees. Three of Kenneth Barroga’s 5 other customer complaints were settled in favor of investors.  Allegations Against Kenneth Barroga   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged Kenneth Barroga committed fraud, made negligent misrepresentations, breached his fiduciary duty, negligence, elder financial abuse, and violations of the Consumer Legal Remedies Act under California law. Customer alleged Kenneth Barroga made unsuitable investment recommendations and breach of his fiduciary duty, misrepresentation, omissions of the facts and lack of due diligence in connection with alternative investment products offered and sold by financial advisor. Client alleged Kenneth Barroga made misrepresentations in connection with bond transactions. Client alleged Kenneth Barroga made misrepresentations in connection with variable annuity transactions. Claimant alleged Kenneth Barroga failed to follow his instructions to liquidate securities. Kenneth Barroga Red Flags & Your Rights As An Investor Of course, Kenneth Barroga 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 Kenneth Barroga at Crown Capital Securities, L.P. on alert to review carefully the activity and performance of their accounts and question whether Kenneth Barroga 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. 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 Crown Capital Securities, L.P. If you have questions about Crown Capital Securities, L.P. and/or Kenneth Barroga and the management or performance of your accounts, to 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

Cynthia Cowden of NPB Financial Group, LLC

DID CYNTHIA DIANE COWDEN CAUSE YOU INVESTMENT LOSSES? Cynthia Diane Cowden Formerly with NPB Financial Group, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Cynthia D. Cowden formerly with NPB Financial Group, LLC? Cynthia Cowden (CRD #2054676) who was formerly registered with NPB Financial Group, LLC and located in Lake Isabella, California is a subject of one of our many securities industry sales practice abuse investigations.   Prior to NPB Financial Group, LLC, Cynthia Cowden was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cynthia Cowden has had her own regulatory problems.  In October 2020, without admitting or denying the FINRA findings, she entered into an agreement with the regulator to be permanently barred from any further association with any member firm in any capacity into the future.  This regulatory sanction was the result of an investigation and findings made by FINRA that Cynthia Cowden recommended unsuitable high-risk/speculative investments to 3 senior investors, including a married couple and one other investor.  The FINRA findings also included a statement that she had provided false testimony to FINRA concerning the customer’s assets and income. NPB Financial Group, LLC Broker Misconduct In her career, Cynthia Cowden 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. Three of Cynthia Cowden’s 4 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Cynthia Cowden’s former employer NPB Financial Group, LLC for investment losses caused by her alleged misconduct. Allegations Against Cynthia Cowden 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 negligence, unsuitable investment recommendations, negligent misrepresentations, intentional misrepresentations, fraud, violation of California securities laws, breach of fiduciary duty, breach of contract, and financial elder abuse in connection with REIT investments Cynthia Cowden offered and sold to the claimant. The claimant alleged misrepresentation and recommendations of unsuitable investments in Tenant in Common interests. The customer alleged Cynthia Cowden committed conversion, negligence, breach of fiduciary duty, financial elder abuse, tortious interference with the right to inherit, and fraud and deceit. The claimant alleged Cynthia’s account and engaged in unauthorized trading and/or exercise of discretion without written authorization, financial elder abuse, violation of FINRA rules relating to REIT investments. Cynthia Cowden Red Flags & Your Rights as An Investor Of course, Cynthia Cowden 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 Cynthia Cowden at NPB Financial Group, LLC on alert to review carefully the activity and performance of their accounts and question whether Cynthia Cowden has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NPB Financial Group, LLC about Cynthia Cowden 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 NPB Financial Group, LLC If you have questions about NPB Financial Group, LLC and/or Cynthia Cowdenand 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

Coleman Devlin of IFS Securities

DID COLEMAN JOSEPH DEVLIN CAUSE YOU INVESTMENT LOSSES? Coleman Joseph Devlin formerly with IFS Securities and Stifel, Nicolaus & Co., Inc. Has 18 Customer Complaints for Alleged Broker Misconduct Who is Coleman J. Devlin formerly with IFS Securities? Coleman Devlin (CRD #2317635) who was formerly registered with IFS Securities and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations.   Prior to IFS Securities, Coleman Devlin was associated with Stifel, Nicolaus & Company, Incorporated, and 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Coleman Devlin has had his share of regulatory problems with 2 suspensions by FINRA in 2003 and then again in 2017 for allegedly violating FINRA f/k/a NASD Conduct Rules.   Recently, he consented to a 30-day suspension and $5,000 fine for allegedly exercising discretion, and customer’s accounts without obtaining prior written authorization from the customers and without acceptance of the accounts as discretionary by his former employer, Stifel, Nicolaus & Company, Incorporated.  Years before, he had been suspended and fined $10,000 for recommending unsuitable and uncovered options trading to a customer and also exercising discretion in other clients’ accounts without prior written authority or acceptance of the account as discretionary by his employer.  It’s incredible that FINRA has allowed Coleman Devlin to continue to work in this industry. Stifel, Nicolaus & Co., Inc. Broker Misconduct In his career, Coleman Devlin has been the subject of 18 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Thirteen of those complaints occurred in connection with his employment at Stifel, Nicolaus & Company, Incorporated. Fourteen of Coleman Devlin’s 18 customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against Coleman Devlin’s former employer Stifel, Nicolaus & Company, Incorporated for investment losses caused by his alleged misconduct. Allegations Against Coleman Devlin 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 Coleman Devlin executed unauthorized transactions, recommended an unsuitable investment strategy, and made misstatements and omissions. The claimant alleged fraud, breach of contract, breach of fiduciary duty, and violation of the Maryland Securities Act. Claimants alleged that Coleman Devlin over-concentrated their accounts in a narrow segment of the market. Multiple clients alleged that Coleman Devlin made unsuitable and unauthorized transactions in their accounts.  Claimants alleged that Coleman Devlin over-concentrated their accounts in aggressive and speculative securities without their authorization. Multiple clients alleged that the transactions in their accounts were not authorized and not appropriate for their investment objectives or risk levels.   The client alleged that the financial advisor made unsuitable recommendations of high-risk and volatile stocks. The client alleged unauthorized trading and churning of his account. Customers alleged that Coleman Devlin made unauthorized trades and inappropriate investments resulting in excessive and unnecessary commissions in their accounts. Claimants alleged breach of contract, selling away, professional negligence, breach of fiduciary duty, violation of the Maryland Securities Act and for over $11.5 million in damages in a case that still pent Coleman Devlin Red Flags & Your Rights as An Investor Of course, Coleman Devlin 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 Coleman Devlin at IFS Securities and Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Coleman Devlin has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Stifel, Nicolaus & Company, Incorporated 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 IFS Securities And Stifel, Nicolaus & Co., Inc.  If you have questions about IFS Securities, Stifel, Nicolaus & Company, Incorporated and/or Coleman Devlin 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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