Mar 8, 2022

Samuel Phillips of LPL Financial

DID SAMUEL PHILLIPS CAUSE YOU INVESTMENT LOSSES? Samuel Phillips Of LPL Financial LLC And Formerly With Invest Financial Has One Customer Complaint For Alleged Broker Misconduct Who is Samuel Phillips of LPL Financial LLC? Samuel Phillips (CRD #2486976) who is currently registered with LPL Financial LLC and located in Lemoyne, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Samuel Phillips was associated with Invest Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Samuel Phillips Customer Complaint Samuel Phillips 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 the customer alleged that she was not advised about breakpoints or the option to invest in an advisory account, and sought recovery of sales charges for the purchase of Class A shares. Samuel Phillips’ customer complaint was denied and, to date, the customer has not taken any further action. Samuel Phillips Red Flags & Your Rights As An Investor Of course, Samuel Phillips 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 Samuel Phillips at LPL Financial LLC and Invest Financial on alert to review carefully the activity and performance of their accounts and question whether Samuel Phillips has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Invest 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 LPL Financial LLC Due To Samuel Phillips If you have questions about LPL Financial LLC, Invest Financial, and/or Samuel Phillips 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

Steven Steinbruegge of Securian Financial Services

DID STEVEN EDWARD STEINBRUEGGE CAUSE YOU INVESTMENT LOSSES? Steven Steinbruegge Of Securian Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Steven Steinbruegge of Securian Financial Services? Steven Steinbruegge (CRD #4141384) who is currently registered with Securian Financial Services and located in Phoenix, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Steven Steinbruegge Customer Complaint Steven Steinbruegge 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 Steven Steinbruegge mismanaged her accounts. Steven Steinbruegge’s customer complaint was denied and, to date, the customer has not taken any further action. Steven Steinbruegge Red Flags & Your Rights As An Investor Of course, Steven Steinbruegge 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 Steinbruegge at Securian Financial Services on alert to review carefully the activity and performance of their accounts and question whether Steven Steinbruegge has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securian Financial 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 Securian Financial Services Due To Steven Steinbruegge If you have questions about Securian Financial Services and/or Steven Steinbruegge 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

Susan Stephens of Oppenheimer & Co.

DID SUSAN L. STEPHENS CAUSE YOU INVESTMENT LOSSES? Susan Stephens Of Oppenheimer & Co. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Susan Stephens of Oppenheimer & Co.? Susan Stephens (CRD #2400351) who is currently registered with Oppenheimer & Co. and located in Fort Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations. Susan Stephens Customer Complaints Susan Stephens has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Susan Stephens’ 4 customer complaints were settled in favor of investors. Two of Susan Stephens’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Susan Stephens 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 she was misled by Susan Stephens representation that she would liquidate securities if they “were not doing well.” Client’s daughter (co-trustee) alleged that an unsuitable investment was made in the trust account by Susan Stephens. Customer alleged Susan Stephens’ misrepresentation with regards to purchase of Jefferson County Auction Rate Security. Customer alleged Susan Stephens’ misrepresentation with regards to the Schwab Yield Plus Fund. Susan Stephens Red Flags & Your Rights As An Investor Of course, Susan Stephens 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 Susan Stephens at Oppenheimer & Co. on alert to review carefully the activity and performance of their accounts and question whether Susan Stephens 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 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 Oppenheimer & Co. Due To Susan Stephens If you have questions about Oppenheimer & Co. and/or Susan Stephens 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

Jim Stephenson of Morgan Stanley

DID JIM GARY STEPHENSON CAUSE YOU INVESTMENT LOSSES? Jim Stephenson Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Jim Stephenson of Morgan Stanley? Jim Stephenson (CRD #1471634) who is currently registered with Morgan Stanley and located in Burlingame, California is a subject of one of our many securities industry sales practice abuse investigations. Jim Stephenson Customer Complaint Jim Stephenson 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, inter alia, misrepresentation with respect to recommendation to liquidate investment. The customer complaint filed against Jim Stephenson’s current employer Morgan Stanley for investment losses caused by the alleged misconduct is pending as of the date of this report. Jim Stephenson Red Flags & Your Rights As An Investor Of course, Jim Stephenson 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 Jim Stephenson at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jim Stephenson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley 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 Morgan Stanley Due To Jim Stephenson If you have questions about Morgan Stanley and/or Jim Stephenson 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

Darin Stevens of LPL Financial

DID DARIN ANDREW STEVENS CAUSE YOU INVESTMENT LOSSES? Darin Stevens Of LPL Financial, Blue Water Asset Management And Formerly With Invest Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Darin Stevens of LPL Financial? Darin Stevens (CRD #4051859) who is currently registered with LPL Financial, Blue Water Asset Management and located in Chamblee, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial and Blue Water Asset Management, Darin Stevens was associated with Invest Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Darin Stevens Customer Complaint Darin Stevens 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 was wrongdoing that previously occurred at an unidentified prior broker-dealer. There were no direct allegations of unsuitability against LPL or against advisor Darin Stevens while registered at LPL. The customer complaint filed against Darin Stevens’ current employer LPL Financial for investment losses caused by the alleged misconduct is pending as of the date of this report. Darin Stevens Red Flags & Your Rights As An Investor Of course, Darin Stevens 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 Darin Stevens at LPL Financial, Blue Water Asset Management, and Invest Financial on alert to review carefully the activity and performance of their accounts and question whether Darin Stevens has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, Blue Water Asset Management, and Invest 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 LPL Financial Due To Darin Stevens If you have questions about LPL Financial, Blue Water Asset Management, Invest Financial, and/or Darin Stevens 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

Michael Steward of J.P. Morgan Securities

DID MICHAEL STEWARD CAUSE YOU INVESTMENT LOSSES? Michael Steward Of J.P. Morgan Securities And Formerly With The Huntington Investment Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Steward of J.P. Morgan Securities? Michael Steward (CRD #4068825) who is currently registered with J.P. Morgan Securities and located in Dublin, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to J.P. Morgan Securities, Michael Steward was associated with The Huntington Investment and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Steward Customer Complaint Michael Steward 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 regarding mutual fund investment. Michael Steward’s customer complaint was denied and, to date, the customer has not taken any further action. Michael Steward Red Flags & Your Rights As An Investor Of course, Michael Steward 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 Steward at J.P. Morgan Securities and The Huntington Investment on alert to review carefully the activity and performance of their accounts and question whether Michael Steward 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 The Huntington Investment 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 Michael Steward If you have questions about J.P. Morgan Securities, The Huntington Investment, and/or Michael Steward 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 Stickney of Ameriprise Financial Services

DID THOMAS ANDREW STICKNEY CAUSE YOU INVESTMENT LOSSES? Thomas Stickney Of Ameriprise Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Thomas Stickney of Ameriprise Financial Services? Thomas Stickney (CRD #2597982) who is currently registered with Ameriprise Financial Services and located in York, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Thomas Stickney Customer Complaints Thomas Stickney has been the subject of 2 customer complaints that we know about. Both of Thomas Stickney’s customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against Thomas Stickney A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client alleged he was not informed by Thomas Stickney of the fees, variable nature or length of the surrender charge schedule on the variable annuity purchased. The plan trustee alleged due to Thomas Stickney’s poor advice the 401(k) plan matching contributions exceeded the limit and affected the deductibility of the cash balance plan contributions. Thomas Stickney Red Flags & Your Rights As An Investor Of course, Thomas Stickney 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 Stickney at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Thomas Stickney has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services 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 Ameriprise Financial Services Due To Thomas Stickney If you have questions about Ameriprise Financial Services and/or Thomas Stickney 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

George Stills Formerly With Securian Financial Services

DID GEORGE CARVER STILLS CAUSE YOU INVESTMENT LOSSES? George Stills Formerly With Securian Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is George Stills formerly with Securian Financial Services? George Stills (CRD #2934826) who was formerly registered with Securian Financial Services and located in Parsippany, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. George Stills is also the subject of a FINRA investigation.  Thus far, it is reported that George stills has not supplied to FINRA with requested information, and accordingly, has been suspended indefinitely.  If George Stills fails to comply with the request, eventually, he will be permanently barred from association with any FINRA member, in any capacity. George Stills Customer Complaints George Stills has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Both of George Stills’ customer complaints were settled in favor of the investors. Allegations Against George Stills 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 George Stills misrepresented a recommendation to use proceeds from her IRA annuity to purchase a life insurance policy in February 2020 resulting in an unsuitable replacement transaction. Additionally she alleged he was unresponsive to her concerns or questions regarding the withdrawals from her annuity. Client alleged George Stills misrepresented a recommendation to use proceeds from his IRA annuity to purchase a life insurance policy in January 2020 resulting in an unsuitable replacement transaction George Stills Red Flags & Your Rights As An Investor Of course, George Stills 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 George Stills at Securian Financial Services on alert to review carefully the activity and performance of their accounts and question whether George Stills has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securian Financial 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 Securian Financial Services Due To George Stills If you have questions about Securian Financial Services and/or George Stills 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

Kevin Stokesbary of MML Investors Services

DID KEVIN EDWARD STOKESBARY CAUSE YOU INVESTMENT LOSSES? Kevin Stokesbary Of MML Investors Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Kevin Stokesbary of MML Investors Services? Kevin Stokesbary (CRD #4282283) who is currently registered with MML Investors Services and located in Mercer Island, Washington is a subject of one of our many securities industry sales practice abuse investigations. Kevin Stokesbary Customer Complaints Kevin Stokesbary has been the subject of 2 customer complaints that we know about. One of Kevin Stokesbary’s 2 customer complaints was settled in favor of investors. One of Kevin Stokesbary’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Kevin Stokesbary A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: It has been alleged that the variable annuity and whole life policy that were sold by Kevin Stokesbary to the customer were unsuitable. The complainant alleged that he wasn’t fully informed by Kevin Stokesbary about the surrender charges associated with a variable universal life policy that was purchased. Kevin Stokesbary Red Flags & Your Rights As An Investor Of course, Kevin Stokesbary 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 Stokesbary at MML Investors Services on alert to review carefully the activity and performance of their accounts and question whether Kevin Stokesbary has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services 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 MML Investors Services Due To Kevin Stokesbary If you have questions about MML Investors Services and/or Kevin Stokesbary 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

John Shupenko of Merrill Lynch Pierce Fenner & Smith

DID JOHN MICHAEL SHUPENKO CAUSE YOU INVESTMENT LOSSES? John Shupenko Of Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is John Shupenko of Merrill Lynch Pierce Fenner & Smith? John Shupenko (CRD #2613558) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. John Shupenko Customer Complaint John Shupenko 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 a failure to follow instructions for account activity occurring from February until March 2020. John Shupenko’s customer complaint was denied and, to date, the customer has not taken any further action. John Shupenko Red Flags & Your Rights As An Investor Of course, John Shupenko 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 John Shupenko at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether John Shupenko 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 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 John Shupenko If you have questions about Merrill Lynch Pierce Fenner & Smith and/or John Shupenko 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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