Jan 20, 2022

Kevin Barbalace of Corinthian Partners, LLC

DID KEVIN LAWRENCE BARBALACE CAUSE YOU INVESTMENT LOSSES? Kevin Lawrence Barbalace formerly with Corinthian Partners, LLC And Dawson, James Securities, Inc. Has 6 Customer Complaints For Alleged Broker Misconduct Who is Kevin L. Barbalace formerly with Corinthian Partners, LLC and Dawson, James Securities, Inc.? Kevin Barbalace (CRD #4456476) who was formerly registered with Corinthian Partners, LLC and located in Middletown, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Corinthian Partners, LLC, Kevin Barbalace was associated with Dawson James Securities, Inc. and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kevin Barbalace has had his share of regulatory problems as well. In November 2016, he entered into an Acceptance, Waiver and Consent agreement with FINRA, without admitting or denying the allegations, but where FINRA made findings that he made unsuitable investment recommendations to a customer and exposed the customer to a risk of loss that was inconsistent with the customer’s financial needs and situation. The transactions resulted in an excessive concentration of low-price stocks in the customer’s accounts. FINRA also claimed that he accepted a check from a customer for an undisclosed outside business activity. Kevin Barbalace was then suspended for 3 months and fined. Prior to the FINRA suspension, the Maryland Division of Securities investigated and reach an agreement with Kevin Barbalace whereby he consented to 2 years of heightened supervision in a civil monetary penalty. Dawson James Securities, Inc. Broker Misconduct In his career, Kevin Barbalace has been the subject of 6 customer complaints that we know about, 3 of those complaints were filed in the last 2 years to recover investment losses. There are currently 2 pending customer complaints filed against Kevin Barbalace’s former employer Corinthian Partners, LLC for investment losses caused by his alleged misconduct. Allegations Against Kevin Barbalace   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged unsuitable investment recommendations and misrepresentations related to certain private placement investments. The customer alleged that Kevin Barbalace made misrepresentations in connection with her investment in a promissory note. Claimant alleged that Kevin Barbalace made unsuitable investment recommendations and misrepresentations in connection with direct investments in limited partnership interests. Claimants allege that Mr. Barbara lay’s misrepresented the risk associated with a private placement, investment he recommended. Kevin Barbalace Red Flags & Your Rights As An Investor Of course, Kevin Barbalace 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 Kevin Barbalace at Corinthian Partners, LLC and Dawson James Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Kevin Barbalace has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Dawson James Securities, 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 Corinthian Partners, LLC If you have questions about Corinthian Partners, LLC, Dawson James Securities, Inc. and/or Kevin Barbalace and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

William Baum of Great American Investors, Inc.

DID WILLIAM BRYSON BAUM CAUSE YOU INVESTMENT LOSSES? William Bryson Baum with Great American Investors, Inc. Has 8 Customer Complaints For Alleged Broker Misconduct Who is William B. Baum with Great American Investors, Inc.? William Baum (CRD #1528847) who is currently registered with Great American Investors, Inc. and located in Overland Park, Kansas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Great American Investors, Inc., William Baum was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Baum’s employers were not the only ones with regulatory problems. In August 2017, he was suspended for 30 days for circumventing the firm’s supervisory practices relating to communications with clients. He used an Apple iPhone which did not have the technological ability to capture and relay texts for compliance purposes. Great American Investors, Inc. Broker Misconduct In his career, William Baum has been the subject of 8 customer complaints that we know about, 2 of those complaints were filed in the last two years to recover investment losses. William Baum was a respondent in an arbitration proceeding where an arbitration award was entered in favor of the investor for unauthorized trading in breach of fiduciary duty. Six of William Baum’s 8 customer complaints were settled in favor of investors.   Allegations Against William Baum A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants alleged that William Baum failed to make suitable investment recommendations, failed to disclose all conflicts of interest, and failed to inform them of all the associated risk with the investment recommendations he made to them. Claimants alleged that William Baum recommended unsuitable trading strategies failed to act in their best interest. Claimants alleged that William Baum mismanaged their accounts by over-concentrating the holdings in certain stocks and engaging in excessive trading activity. Customer alleges that William Baum failed to act in their best interests in managing their accounts. Customer alleged William Baum made unsuitable investment recommendations and misrepresentation of the risks related to certain investments. William Baum Red Flags & Your Rights As An Investor Of course, William Baum 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 Baum at Great American Investors, Inc. on alert to review carefully the activity and performance of their accounts and question whether William Baum has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Great American Investors, Inc. about William Baum 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 Great American Investors, Inc. If you have questions about Great American Investors, Inc. and/or William Baum 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 Bowman of Aeon Capital Inc.

DID CHRISTOPHER JOHN BOWMAN CAUSE YOU INVESTMENT LOSSES? Christopher John Bowman formerly with Aeon Capital Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Christopher J. Bowman formerly with Aeon Capital Inc.? Christopher Bowman (CRD #2187173) who was formerly registered with Aeon Capital Inc. and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aeon Capital Inc., Christopher Bowman was associated with Accelerated Capital Group and 10 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Aeon Capital Inc. Broker Misconduct In his career, Christopher Bowman has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last two years to recover investment losses. Both customer complaints filed against Christopher Bowman’s former employers Accelerated Capital Group, Inc. and Meridian Capital for investment losses caused by his alleged misconduct. Allegations Against Christopher Bowman   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege breach of fiduciary duty, negligence, and breach of contract in connection with several private placement investments sold to the claimants by Christopher Bowman. Customers alleged misconduct in connection with several alternative investments purchased through Christopher Bowman and his former employers. Christopher Bowman Red Flags & Your Rights As An Investor Of course, Christopher Bowman did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Christopher Bowman at Aeon Capital Inc. and Accelerated Capital Group on alert to review carefully the activity and performance of their accounts and question whether Christopher Bowman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aeon Capital Inc. and Accelerated Capital Group 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 Aeon Capital Inc. If you have questions about Aeon Capital Inc., Accelerated Capital Group and/or Christopher Bowman 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

Trevor Gordon of Sandlapper Securities, LLC

DID TREVOR LEE GORDON CAUSE YOU INVESTMENT LOSSES? Trevor Lee Gordon formerly with Sandlapper Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Trevor L. Gordon formerly with Sandlapper Securities, LLC? Trevor Gordon (CRD #2195122) who was formerly registered with Sandlapper Securities, LLC and located in Greenville, South Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Sandlapper Securities, LLC, Trevor Gordon was associated with 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Trevor Gordon’s former employers were not the only ones with regulatory problems. In September 2017, FINRA initiated an investigation and filed a complaint against Trevor Gordon and Sandlapper Securities, LLC alleging that they participated in the fraudulent scheme and defrauded investors by selling investments in saltwater disposal wells at excessive undisclosed markups through a corporation they owned and controlled. The disciplinary proceeding resulted in Trevor Gordon being permanently barred from association with any member firm in any capacity in the future. In addition, was ordered to pay restitution in excess of $3.3 million. The FINRA Panel’s decision is currently on appeal. Sandlapper Securities, LLC Broker Misconduct In his career, Trevor Gordon has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. One of Trevor Gordon’s 2 customer complaints was settled in favor of investors. The other customer complaint filed against Trevor Gordon’s former employer Sandlapper Securities, LLC for investment losses caused by his alleged misconduct is still pending. Allegations Against Trevor Gordon A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The pending arbitration claim is for Trevor Gordon’s alleged unsuitable investment recommendations, intentional and negligent misrepresentations and omissions, breach of fiduciary duty, violations of the California Securities Act, breach of FINRA rules, breach of contract and negligence. The customer alleged unsuitable investment recommendations and unsuitable investment strategy involving direct investments constituted negligence, fraud, breach of fiduciary duty, and financial elder abuse. Trevor Gordon Red Flags & Your Rights As An Investor Of course, Trevor Gordon 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 Trevor Gordon at Sandlapper Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Trevor Gordon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sandlapper Securities, LLC about Trevor Gordon 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 Sandlapper Securities, LLC   If you have questions about Sandlapper Securities, LLC and/or Trevor Gordon 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

Aleksandr Osaulenko of First Standard Financial Company LLC

DID ALEKSANDR OSAULENKO CAUSE YOU INVESTMENT LOSSES? Aleksandr Osaulenko Formerly With First Standard Financial Company LLC And Alexander Capital, LP Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Aleksandr Osaulenko formerly with First Standard Financial Company LLC? Aleksandr Osaulenko (CRD #5992623) who was formerly registered with First Standard Financial Company LLC and located in Staten Island, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Standard Financial Company LLC, Aleksandr Osaulenko was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. First Standard Financial Company LLC and Alexander Capital, LP Broker Misconduct In his career, Aleksandr Osaulenko has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. Both of the customer complaints filed against Aleksandr Osaulenko’s former employer First Standard Financial Company LLC and Alexander Capital, LP for investment losses caused by his alleged misconduct are still pending. Allegations Against Aleksandr Osaulenko A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged that Aleksandr Osaulenko made unsuitable investment recommendations, over-concentrated his account in certain common stock investments, and engaged in churning of the investments in his account. Customer alleged that Aleksandr Osaulenko engaged in unauthorized trading and excessive trading which was unsuitable for the investor. Aleksandr Osaulenko Red Flags & Your Rights As An Investor Of course, Aleksandr Osaulenko 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 Aleksandr Osaulenko at First Standard Financial Company LLC on alert to review carefully the activity and performance of their accounts and question whether Aleksandr Osaulenko has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Standard Financial Company LLC and Alexander Capital, LP 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 First Standard Financial Company LLC And Alexander Capital, LP If you have questions about First Standard Financial Company LLC and/or Aleksandr Osaulenko 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

Mark Thompson of Arkadios Capital

DID MARK ALAN THOMPSON CAUSE YOU INVESTMENT LOSSES? Mark Alan Thompson with Arkadios Capital Has 2 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Mark A. Thompson with Arkadios Capital? Mark Thompson (CRD #4632270) who is currently registered with Arkadios Capitaland located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Arkadios Capital, Mark Thompson was associated with Triad Advisors, Inc. and 5other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Arkadios Capital Broker Misconduct In his career, Mark Thompson has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last two years to recover investment losses. Both customer complaints filed against Mark Thompson’s current employer Arkadios Capital and former employer, Triad Advisors, Inc. for investment losses caused by his alleged misconduct. Allegations Against Mark Thompson 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 the financial advisor made unsuitable recommendations to invest in alternative investments. The customer alleged that the financial advisor misrepresented a private placement investment. Mark Thompson Red Flags & Your Rights as An Investor Of course, Mark Thompson 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 Thompson at Arkadios Capital and Triad Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Thompson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arkadios Capital and Triad Advisors, 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 Arkadios Capital And Triad Advisors, Inc. If you have questions about Arkadios Capital, Triad Advisors, Inc., and/or Mark Thompson 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

Miaojun Yuan of Woodbury Financial Services, Inc.

DID MIAOJUN YUAN CAUSE YOU INVESTMENT LOSSES? Miaojun Yuan with Woodbury Financial Services, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Miaojun Yuan with Woodbury Financial Services, Inc.? Miaojun Yuan (CRD #4014807) who is currently registered with Woodbury Financial Services, Inc. and located in City of Industry, California is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Woodbury Financial Services, Inc., Miaojun Yuan was associated with Questar Capital Corporation and 3other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.  Woodbury Financial Services, Inc. Broker Misconduct In his career, Miaojun Yuan has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last two years to recover investment losses. Both customer complaints filed against Miaojun Yuan’s former employer Questar Capital Corporation for investment losses caused by his alleged misconduct. Allegations Against Miaojun Yuan A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Thec ustomer alleged unsuitable investment recommendations and misrepresentations in connection with the offer and sale of real estate securities and an Universal Life insurance product. Miaojun Yuan Red Flags & Your Rights as An Investor Of course, Miaojun Yuan 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 Miaojun Yuan at Woodbury Financial Services, Inc. and Questar Capital Corporation on alert to review carefully the activity and performance of their accounts and question whether Miaojun Yuan has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Questar Capital Corporation about Miaojun Yuan 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, Inc. And Questar Capital Corporation If you have questions about Woodbury Financial Services, Inc., Questar Capital Corporation and/or Miaojun Yuan 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 Christenson of Cetera Advisors, LLC

DID JEFFREY TODD CHRISTENSON CAUSE YOU INVESTMENT LOSSES? Jeffrey Todd Christenson formerly with Cetera Advisors, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Jeffrey T. Christenson formerly with Cetera Advisors, LLC? Jeffrey Christenson (CRD #2458589) who was formerly registered with Cetera Advisors, LLC and located in Phoenix, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors, LLC, Jeffrey Christenson has associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jeffrey Christianson also file for bankruptcy and was discharged in September 2018. It is unclear whether the IRS tax lien of $187,875 on Jeffrey Christianson has been satisfied. Cetera Advisors, LLC Broker Misconduct In his career, Jeffrey Christenson 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 Jeffrey Christenson’s customer complaints was by his employer and to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Jeffrey Christenson’s former employer Cetera Advisors, LLC for investment losses caused by his alleged misconduct. Allegations Against Jeffrey Christenson   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer complained that Jeffrey Christianson failed to follow his instructions and liquidated investment in his account. Claimants alleged violations of the Arizona Securities Act, fraud, breach of contract, breach of the covenant of good faith and fair dealings, breach of fiduciary duty, professional negligence, innocent misrepresentation/constructive fraud relating to, a promissory note, investment. Jeffrey Christenson Red Flags & Your Rights as An Investor Of course, Jeffrey Christenson 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 Christenson at Cetera Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Christensonhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors, LLC about Jeffrey Christiansonalso 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 Cetera Advisors LLC If you have questions about Cetera Advisors LLC and/or Jeffrey Christenson 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

Kevin Dooley of Equitable Advisors, LLC

DID KEVIN THOMAS DOOLEY CAUSE YOU INVESTMENT LOSSES? Kevin Thomas Dooley With Equitable Advisors, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Kevin T. Dooley with Equitable Advisors, LLC? Kevin Dooley (CRD #2513153) who is currently registered with Equitable Advisors, LLC and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Equitable Advisors, LLC, Kevin Dooley was associated with another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Equitable Advisors, LLC Broker Misconduct In his career, Kevin Dooley has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last two years to recover investment losses. One of Kevin Dooley’s 2 customer complaints was denied by his employer, and to date, the customer is not taken any further action. There is currently one pending customer complaint filed against Kevin Dooley’s current employer Equitable Advisors, LLC for investment losses caused by his alleged misconduct. Allegations Against Kevin Dooley   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleged that securities recommended to be purchased by Kevin Dooley in his accounts were illiquid and unsuitable investments. Claimant alleged that Kevin Dooley made unsuitable recommendations to purchase REITs, open an equity managed account, and purchase a variable annuity and that he did not adequately disclose the risks of investing in those products. Kevin Dooley Red Flags & Your Rights as An Investor Of course, Kevin Dooley 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 Kevin Dooley at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Kevin Dooleyhas engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Equitable Advisors, LLC about Kevin Dooley 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 Equitable Advisors, LLC If you have questions about Equitable Advisors, LLC and/or Kevin Dooley 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

James Kirchner of Cabot Lodge Securities, LLC

DID JAMES R. KIRCHNER CAUSE YOU INVESTMENT LOSSES? James R. Kirchner Formerly with Cabot Lodge Securities, LLC And David A. Noyes & Co. Has 8 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is James R. Kirchner formerly with Cabot Lodge Securities LLC and David A. Noyes & Co.? James Kirchner (CRD #2852217) was formerly registered with Cabot Lodge Securities, LLC and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Cabot Lodge Securities, LLC, James Kirchner was associated with IFS Securities and David A. Noyes & Company and 2other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David A. Noyes & Company Broker Misconduct In his career, James Kirchner has been the subject of 10 customer complaints that we know about, 8 of those complaints were filed in the last two years against Jane Kirchner’s former employer, David A. Noyes to recover investment losses. One of the customer complaints proceeds to arbitration resulted in an Award in favor of the customer.  Five of James Kirchner’s 10 customer complaints were settled in favor of investors. There are currently three pending customer complaints filed against James Kirchner’s former employer David A. Noyes for investment losses caused by his alleged misconduct. Allegations Against James Kirchner   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 alternative investments recommended by James Kirchner were unsuitable investment recommendations. Customers alleged that James Kirchner’s recommendation that they invest in private placements were unsuitable investment recommendations. The claimant alleged that James Kirchner did not explain the nature, mechanics, or risks of a margin account and, consequently, the unexpected losses he suffered upon forced liquidations due to margin calls. Claimants in 3 separate arbitrations alleged that alternative investment recommendations made by James Kirchner or unsuitable investment recommendations. James Kirchner Red Flags & Your Rights as An Investor Of course, James Kirchner 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 James Kirchnerat Cabot Lodge Securities, LLC, IFS Securities, and David A. Noyes & Company on alert to review carefully the activity and performance of their accounts and question whether James Kirchnerhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at David A. Noyes & Company about James Kirchner 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 Cabot Lodge Securities LLC, IFS Securities, And David A.  Noyes & Co. If you have questions about Cabot Lodge Securities, LLC, IFS Securities, David A. Noyes & Company and/or James Kirchnerand 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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