Mar 8, 2022

Derek Chu Formerly With NYLIFE Securities

DID DEREK V. CHU CAUSE YOU INVESTMENT LOSSES? Derek Chu Formerly With NYLIFE Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Derek Chu formerly with NYLIFE Securities? Derek Chu (CRD #4683951) who was formerly registered with NYLIFE Securities and located in Pleasant Hill, California is a subject of one of our many securities industry sales practice abuse investigations. Derek Chu was also the subject of a FINRA investigation and he refused to provide documents and information requested by FINRA.  He was being investigated for outside business activities and the sale of promissory notes.  Without admitting or denying the allegations he consented to the sanction of a permanent bar from any further association with any member firm in any capacity. Derek Chu Customer Complaint Derek Chu has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that the customer was misled into purchasing promissory notes. Plaintiffs were seeking the return of principal, interest, punitive damages and attorneys’ fees. The customer complaint filed against Derek Chu’s former employer NYLIFE Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Derek Chu Red Flags & Your Rights As An Investor Of course, Derek Chu 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 Derek Chu at NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Derek Chu has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLIFE Securities 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 NYLIFE Securities Due To Derek Chu If you have questions about NYLIFE Securities and/or Derek Chu 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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Mar 8, 2022

Timothy Clark of Avantax Investment Services

DID TIMOTHY JOSEPH CLARK CAUSE YOU INVESTMENT LOSSES? Timothy Clark Of Avantax Investment Services And Avantax Advisory Services Has A Customer Complaint For Alleged Broker Misconduct Who is Timothy Clark of Avantax Investment Services? Timothy Clark (CRD #4479035) who is currently registered with Avantax Investment Services, Avantax Advisory Services and located in Palos Heights, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Timothy Clark Customer Complaint Timothy Clark 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 the client incurred a loss because his retirement account performed poorly, and the returns did not cover the fees associated with his account. Timothy Clark’s customer complaint was denied and, to date, the customer has not taken any further action. Timothy Clark Red Flags & Your Rights As An Investor Of course, Timothy Clark 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 Timothy Clark at Avantax Investment Services and Avantax Advisory Services on alert to review carefully the activity and performance of their accounts and question whether Timothy Clark has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Avantax Investment Services and Avantax Advisory Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Avantax Investment Services Due To Timothy Clark If you have questions about Avantax Investment Services, Avantax Advisory Services, and/or Timothy Clark 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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Mar 8, 2022

Thomas Clasby of Northwestern Mutual Investment Services

DID THOMAS EDWARD CLASBY CAUSE YOU INVESTMENT LOSSES? Thomas Clasby Of Northwestern Mutual Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is Thomas Clasby of Northwestern Mutual Investment Services? Thomas Clasby (CRD #5473337) who is currently registered with Northwestern Mutual Investment Services and located in Lake Elmo, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Thomas Clasby Customer Complaint Thomas Clasby has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that the customers were not told they would not be able to take withdrawals or surrender the fixed income annuity contract they purchased which was funded from the proceeds of an IRA. The customer requested a refund of the funds deposited to the fixed income annuity. Thomas Clasby’s customer complaint was denied and, to date, the customer has not taken any further action. Thomas Clasby Red Flags & Your Rights As An Investor Of course, Thomas Clasby 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 Clasby at Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Thomas Clasby has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment 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 Northwestern Mutual Investment Services Due To Thomas Clasby If you have questions about Northwestern Mutual Investment Services and/or Thomas Clasby 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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Mar 8, 2022

Derek Coffren of Cambridge Investment Research

DID DEREK SAMUEL COFFREN CAUSE YOU INVESTMENT LOSSES? Derek Coffren Of Cambridge Investment Research, Cambridge Investment Research Advisors And Formerly With Ameritas Investment And CCF Investments Has A Customer Complaint For Alleged Broker Misconduct Who is Derek Coffren of Cambridge Investment Research? Derek Coffren (CRD #6474765) who is currently registered with Cambridge Investment Research, Cambridge Investment Research Advisors and located in Belmont, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cambridge Investment Research, Cambridge Investment Research Advisors, Derek Coffren was associated with Ameritas Investment, CCF Investments and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Derek Coffren Customer Complaint Derek Coffren has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that Mr. Coffren did not follow through with requests in a timely manner and alleged Mr. Coffren continued to charge management fees after the relationship was terminated. Derek Coffren’s customer complaint was denied and, to date, the customer has not taken any further action. Derek Coffren Red Flags & Your Rights As An Investor Of course, Derek Coffren 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 Derek Coffren at Cambridge Investment Research, Cambridge Investment Research Advisors, Ameritas Investment, and CCF Investments on alert to review carefully the activity and performance of their accounts and question whether Derek Coffren has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research, Cambridge Investment Research Advisors, Ameritas Investment, and CCF Investments 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 Cambridge Investment Research Due To Derek Coffren If you have questions about Cambridge Investment Research, Cambridge Investment Research Advisors, Ameritas Investment, CCF Investments, and/or Derek Coffren 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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Mar 8, 2022

Mark Cohen Formerly With BCG Securities

DID MARK CHARLES COHEN CAUSE YOU INVESTMENT LOSSES? Mark Cohen Formerly With BCG Securities Has 5 Customer Complaints For Alleged Broker Misconduct Who is Mark Cohen formerly with BCG Securities? Mark Cohen (CRD #4534879) who was formerly registered with BCG Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Mark Cohen was also the subject of a FINRA investigation while employed at MetLife Securities, Inc. according to FINRA, Mark Cohen allegedly prepared and submitted several false expense reports to the brokerage firm seeking reimbursement pursuant to the firm’s marketing reimbursement program.  Mark Cohen consented to a permanent bar by FINRA from any further association with any member firm in any capacity. Mark Cohen Customer Complaints Mark Cohen has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Mark Cohen’s 5 customer complaints was settled in favor of investors. Two of Mark Cohen’s customers’ complaints were denied and, to date, the customers have not taken any further action. There are currently two pending customer complaints filed against BCG Securities for investment losses caused by Mark Cohen’s alleged misconduct. Allegations Against Mark Cohen 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 Mark Cohen’s misrepresentation in the sale of a variable life insurance policy. Client requested the firm to terminate the policy without the imposition of a withdrawal charge. Client alleged Mark Cohen’s misrepresentation in the sale of a variable annuity and variable life insurance policy. Client alleged the sale by Mark Cohen of various variable annuities were unsuitable due to her age and financial needs. Client requested the firm to rescind all contracts and refund her original investment, plus gains, without the imposition of surrender charges. Damages unspecified. Customer alleged Mark Cohen’s unsuitable sale of investment due to improper due diligence. Mark Cohen Red Flags & Your Rights As An Investor Of course, Mark Cohen 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 Mark Cohen at BCG Securities on alert to review carefully the activity and performance of their accounts and question whether Mark Cohen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at BCG Securities 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 BCG Securities Due To Mark Cohen If you have questions about BCG Securities and/or Mark Cohen 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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Mar 8, 2022

William Collin of Edward Jones

DID WILLIAM J. COLLIN CAUSE YOU INVESTMENT LOSSES? William Collin Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is William Collin of Edward Jones? William Collin (CRD #6862790) who is currently registered with Edward Jones and located in Interlochen, Michigan is a subject of one of our many securities industry sales practice abuse investigations. William Collin Customer Complaint William Collin has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that the financial advisor made unauthorized stock sales. William Collin’s customer complaint was denied and, to date, the customer has not taken any further action. William Collin Red Flags & Your Rights As An Investor Of course, William Collin 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 Collin at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether William Collin 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 William Collin If you have questions about Edward Jones and/or William Collin 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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Mar 8, 2022

David Columb Formerly With LPL Financial

DID DAVID ALAN COLUMB CAUSE YOU INVESTMENT LOSSES? David Columb Formerly With LPL Financial Has 3 Customer Complaints For Alleged Broker Misconduct Who is David Columb formerly with LPL Financial? David Columb (CRD #4448027) who was formerly registered with LPL Financial and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. David Columb Customer Complaints David Columb has been the subject of 3 customer complaints that we know about. All 3 of David Columb’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against David Columb A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged David Columb’s unsuitable purchase of Berhinger Harvard REIT. Also alleged unauthorized transfer of account from B.C. Ziegler to LPL. Customer alleged that variable annuity was misrepresented by David Columb at the time of purchase as a fixed investment and sought recovery of surrender charge. Unsuitable investment recommendations by David Columb. David Columb Red Flags & Your Rights As An Investor Of course, David Columb 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 David Columb at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether David Columb has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial Due To David Columb If you have questions about LPL Financial and/or David Columb 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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Mar 8, 2022

Jed Conradi of Edward Jones

DID JED WILLIAM CONRADI CAUSE YOU INVESTMENT LOSSES? Jed Conradi Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Jed Conradi of Edward Jones? Jed Conradi (CRD #5240585) who is currently registered with Edward Jones and located in Camas, Washington is a subject of one of our many securities industry sales practice abuse investigations. Jed Conradi Customer Complaint Jed Conradi 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 Mr. Conradi misrepresented that he could get out of investments and be made whole. Jed Conradi’s customer complaint was settled in favor of the investors. Jed Conradi Red Flags & Your Rights As An Investor Of course, Jed Conradi 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 Jed Conradi at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Jed Conradi 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 Jed Conradi If you have questions about Edward Jones and/or Jed Conradi 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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Mar 8, 2022

Rachelle O’Connell of NYLIFE Distributors

DID RACHELLE ELIZABETH O’CONNELL CAUSE YOU INVESTMENT LOSSES? Rachelle O’Connell Of NYLIFE Distributors And Formerly With NYLIFE Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Rachelle O’Connell of NYLIFE Distributors? Rachelle O’Connell (CRD #6710646) who is currently registered with NYLIFE Distributors and located in White Plains, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to NYLIFE Distributors, Rachelle O’Connell was associated with NYLIFE Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Rachelle O’Connell Customer Complaint Rachelle O’Connell has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that the variable annuity he purchased was not consistent with his risk tolerance or his time horizon. Rachelle O’Connell’s customer complaint was settled in favor of the investors. Rachelle O’Connell Red Flags & Your Rights As An Investor Of course, Rachelle O’Connell 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 Rachelle O’Connell at NYLIFE Distributors and NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Rachelle O’Connell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLIFE Distributors and NYLIFE Securities 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 NYLIFE Distributors Due To Rachelle O’Connell If you have questions about NYLIFE Distributors, NYLIFE Securities, and/or Rachelle O’Connell 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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Mar 8, 2022

Ian Cook of Equitable Advisors

DID IAN ANDREW COOK CAUSE YOU INVESTMENT LOSSES? Ian Cook Of Equitable Advisors Has 2 Customer Complaints For Alleged Broker Misconduct Who is Ian Cook of Equitable Advisors? Ian Cook (CRD #4970473) who is currently registered with Equitable Advisors and located in Englewood, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Ian Cook Customer Complaints Ian Cook has been the subject of 2 customer complaints that we know about. Both of Ian Cook’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Ian Cook 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 Ian Cook made an unsuitable recommendation in advising the client to move his funds from variable annuities to two investment securities plans. The client also alleged the terms, benefits and charges associated with the annuities and the investment plans were not adequately disclosed. Clients alleged they were never informed by Ian Cook of the ten year waiting period before they could receive the maximum income payments regarding their variable annuities. Ian Cook Red Flags & Your Rights As An Investor Of course, Ian Cook 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 Ian Cook at Equitable Advisors on alert to review carefully the activity and performance of their accounts and question whether Ian Cook has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable 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 Equitable Advisors Due To Ian Cook If you have questions about Equitable Advisors and/or Ian Cook 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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