Mar 8, 2022

Ernest Anderson formerly with Waddell & Reed

DID ERNEST DALE ANDERSON CAUSE YOU INVESTMENT LOSSES? Ernest Anderson Formerly With Waddell & Reed Has A Customer Complaint For Alleged Broker Misconduct Who is Ernest Anderson formerly with Waddell & Reed? Ernest Anderson (CRD #5622328) who was formerly registered with Waddell & Reed and located in Birmingham, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Ernest Anderson Customer Complaint Ernest Anderson 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 Ernest Anderson made misrepresentations regarding annuity products he owned, documents signed by the client related to the annuities, and loans against the annuities. Client also alleged that certain documents he appeared to have signed were notarized without him being present and that his wife’s signature on those documents appeared to be a forgery.  Ernest Anderson’s customer complaint was denied and, to date, the customer has not taken any further action. Ernest Anderson Red Flags & Your Rights As An Investor Of course, Ernest Anderson 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 Ernest Anderson at Waddell & Reed on alert to review carefully the activity and performance of their accounts and question whether Ernest Anderson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Waddell & Reed 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 Waddell & Reed Due To Ernest Anderson If you have questions about Waddell & Reed and/or Ernest Anderson 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

Jason Anderson formerly with Merrill Lynch Pierce Fenner & Smith

DID JASON J. ANDERSON CAUSE YOU INVESTMENT LOSSES? Jason Anderson Formerly With Merrill Lynch Pierce Fenner & Smith And LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Jason Anderson formerly with Merrill Lynch Pierce Fenner & Smith? Jason Anderson (CRD #6034985) who was formerly registered with Merrill Lynch Pierce Fenner & Smithand located in Savannah, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Jason Anderson was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jason Anderson has had his own regulatory problems.  In February 2021, Jason Anderson was permanently barred from any further association with any member firm in the securities industry in any capacity for failing to respond to a FINRA request for information in connection with 1 of its investigations. Jason Anderson Customer Complaint Jason Anderson 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 a fraudulent check was written to repay a loan provided to the Financial Advisor. Jason Anderson’s customer complaint was denied and, to date, the customer has not taken any further action. Jason Anderson Red Flags & Your Rights As An Investor Of course, Jason Anderson 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 Jason Anderson at Merrill Lynch Pierce Fenner & Smith and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Jason Anderson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith and LPL Financial also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Merrill Lynch Pierce Fenner & Smith Due To Jason Anderson If you have questions about Merrill Lynch Pierce Fenner & Smith, LPL Financial, and/or Jason Anderson 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

Kolbe Andrade of Northwestern Mutual Investment Services

DID KOLBE FRANCIS ANDRADE CAUSE YOU INVESTMENT LOSSES? Kolbe Andrade Of Northwestern Mutual Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is Kolbe Andrade of Northwestern Mutual Investment Services? Kolbe Andrade (CRD #6360437) who is currently registered with Northwestern Mutual Investment Services and located in St Petersburg, Florida is a subject of one of our many securities industry sales practice abuse investigations. Kolbe Andrade Customer Complaint Kolbe Andrade 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 Kolbe Andrade allocated the funds in her variable annuity into a higher risk allocation than she requested, and then failed to monitor the allocation during the pandemic causing her annuity to lose value. Kolbe Andrade’s customer complaint was denied and, to date, the customer has not taken any further action. Kolbe Andrade Red Flags & Your Rights As An Investor Of course, Kolbe Andrade 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 Kolbe Andrade at Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Kolbe Andrade 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 Kolbe Andrade If you have questions about Northwestern Mutual Investment Services and/or Kolbe Andrade 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

Aaron Angstrom of Country Capital Management

DID AARON MICHAEL ANGSTROM CAUSE YOU INVESTMENT LOSSES? Aaron Angstrom Of Country Capital Management Has A Customer Complaint For Alleged Broker Misconduct Who is Aaron Angstrom of Country Capital Management? Aaron Angstrom (CRD #4963395) who is currently registered with Country Capital Management and located in Fort Dodge, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Aaron Angstrom Customer Complaint Aaron Angstrom 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 a complaint was sent to Guardian regarding a fixed annuity sold by an affiliated insurance agency, and Guardian forwarded the letter to CCMC. The complaint contained allegations against Aaron Angstrom, when acting as an agent for the affiliated insurance agency, and Guardian regarding the purchase of an annuity. The allegations pertained to delivery of the contract and misrepresentation/failure to inform of contract terms. Aaron Angstrom’s customer complaint was settled in favor of the investors. Aaron Angstrom Red Flags & Your Rights As An Investor Of course, Aaron Angstrom did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Aaron Angstrom at Country Capital Management on alert to review carefully the activity and performance of their accounts and question whether Aaron Angstrom has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Country Capital Management 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 Country Capital Management Due To Aaron Angstrom If you have questions about Country Capital Management and/or Aaron Angstrom 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

James Appel of Centaurus Financial

DID JAMES MARTIN APPEL CAUSE YOU INVESTMENT LOSSES? James Appel Of Centaurus Financial Has A Customer Complaint For Alleged Broker Misconduct Who is James Appel of Centaurus Financial? James Appel (CRD #6445389) who is currently registered with Centaurus Financial and located in Santa Barbara, California is a subject of one of our many securities industry sales practice abuse investigations. James Appel Customer Complaint James Appel has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were related to the performance of his investment and that James Appel misrepresented the risk associated therewith. The customer complaint filed against James Appel’s current employer Centaurus Financial for investment losses caused by the alleged misconduct is pending as of the date of this report. James Appel Red Flags & Your Rights As An Investor Of course, James Appel 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 Appel at Centaurus Financial on alert to review carefully the activity and performance of their accounts and question whether James Appel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Centaurus Financial also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Centaurus Financial Due To James Appel If you have questions about Centaurus Financial and/or James Appel 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

Jessica Arana of J.P. Morgan Securities

DID JESSICA ARANA CAUSE YOU INVESTMENT LOSSES? Jessica Arana Of J.P. Morgan Securities And Formerly With Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Jessica Arana of J.P. Morgan Securities? Jessica Arana (CRD #5747060) who is currently registered with J.P. Morgan Securities and located in Las Vegas, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Prior to J.P. Morgan Securities, Jessica Arana was associated with Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jessica Arana Customer Complaint Jessica Arana 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 misrepresentation by Jessica Arana regarding mutual fund investment. Jessica Arana’s customer complaint was denied and, to date, the customer has not taken any further action. Jessica Arana Red Flags & Your Rights As An Investor Of course, Jessica Arana 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 Jessica Arana at J.P. Morgan Securities and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Jessica Arana has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities and Merrill Lynch Pierce Fenner & Smith 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 J.P. Morgan Securities Due To Jessica Arana If you have questions about J.P. Morgan Securities, Merrill Lynch Pierce Fenner & Smith, and/or Jessica Arana 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

Joel Arivett of Arvest Wealth Management

DID JOEL R. ARIVETT CAUSE YOU INVESTMENT LOSSES? Joel Arivett Of Arvest Wealth Management And Formerly With LPL Financial Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joel Arivett of Arvest Wealth Management? Joel Arivett (CRD #6746446) who is currently registered with Arvest Wealth Management and located in Russellville, Arkansas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Arvest Wealth Management, Joel Arivett was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joel Arivett Customer Complaints Joel Arivett has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. One of Joel Arivett’s 2 customer complaints was settled in favor of the investors. There is currently one pending customer complaint filed against Edward Jones for investment losses caused by Joel Arivett’s alleged misconduct. Allegations Against Joel Arivett A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged Joel Arivett promised that client’s account would have $115,000 once trades were processed, but the account only had $107,895.67 after the trades were completed. Client alleged that funds were not invested in 529 plans as instructed allegedly committed by Joel Arivett. Joel Arivett Red Flags & Your Rights As An Investor Of course, Joel Arivett did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Joel Arivett at Arvest Wealth Management and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Joel Arivett has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arvest Wealth Management and LPL Financial also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Arvest Wealth Management Due To Joel Arivett If you have questions about Arvest Wealth Management, LPL Financial, and/or Joel Arivett and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Sebastian Wyczawski of Joseph Stone Capital

DID SEBASTIAN WYCZAWSKI CAUSE YOU INVESTMENT LOSSES? Sebastian Wyczawski Of Joseph Stone Capital And Formerly With Cape Securities Has 3 Customer Complaints For Alleged Broker Misconduct Who is Sebastian Wyczawski of Joseph Stone Capital? Sebastian Wyczawski (CRD #2835135) who is currently registered with Joseph Stone Capital and located in Manorville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Joseph Stone Capital, Sebastian Wyczawski was associated with Cape Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sebastian Wyczawski Customer Complaints Sebastian Wyczawski has been the subject of 3 customer complaints that we know about. Two of Sebastian Wyczawski’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Joseph Stone Capital for investment losses caused by Sebastian Wyczawski’s alleged misconduct. Allegations Against Sebastian Wyczawski A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Sebastian Wyczawski’s alleged breach of fiduciary duty; negligence; failure to supervise; vicarious liability. Sebastian Wyczawski’s alleged common law fraud; breach of fiduciary duty; negligence; breach of contract; unsuitability; overconcentration. Unauthorized transactions allegedly made by Sebastian Wyczawski. Sebastian Wyczawski Red Flags & Your Rights As An Investor Of course, Sebastian Wyczawski 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 Sebastian Wyczawski at Joseph Stone Capital and Cape Securities on alert to review carefully the activity and performance of their accounts and question whether Sebastian Wyczawski has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Joseph Stone Capital and Cape 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 Joseph Stone Capital Due To Sebastian Wyczawski If you have questions about Joseph Stone Capital, Cape Securities, and/or Sebastian Wyczawski 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

Johnny Yeung Formerly With Integral Financial

DID JOHNNY SAUMING YEUNG CAUSE YOU INVESTMENT LOSSES? Johnny Yeung Formerly With Integral Financial And Integrity Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Johnny Yeung formerly with Integral Financial? Johnny Yeung (CRD #2026161) who was formerly registered with Integral Financial and located in San Jose, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Integral Financial, Johnny Yeung was associated with Integrity Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Johnny Yeung Customer Complaint Johnny Yeung 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 customers claimed all the 3 accounts transactions were not suitable for them. They claimed they don’t know the transactions. In fact, firm provided the documents and had them sign the risk disclosure to prove they know the transactions and risk. Johnny Yeung’s customer complaint was settled in favor of the investors. Johnny Yeung Red Flags & Your Rights As An Investor Of course, Johnny Yeung 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 Johnny Yeung at Integral Financial and Integrity Securities on alert to review carefully the activity and performance of their accounts and question whether Johnny Yeung has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Integral Financial and Integrity 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 Integral Financial Due To Johnny Yeung If you have questions about Integral Financial, Integrity Securities, and/or Johnny Yeung 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

James Yoo of Oppenheimer & Co.

DID JAMES YOO CAUSE YOU INVESTMENT LOSSES? James Yoo Of Oppenheimer & Co. Has A Customer Complaint For Alleged Broker Misconduct Who is James Yoo of Oppenheimer & Co.? James Yoo (CRD #2427808) who is currently registered with Oppenheimer & Co. and located in Saddle Brook, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. James Yoo Customer Complaint James Yoo 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 unsuitable investments were made, and that purchases were made on margin without his authorization. James Yoo’s customer complaint was denied and, to date, the customer has not taken any further action. James Yoo Red Flags & Your Rights As An Investor Of course, James Yoo 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 Yoo at Oppenheimer & Co. on alert to review carefully the activity and performance of their accounts and question whether James Yoo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. 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 Oppenheimer & Co. Due To James Yoo If you have questions about Oppenheimer & Co. and/or James Yoo 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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