Mar 8, 2022

Theodore Pohl of Morgan Stanley

DID THEODORE POHL CAUSE YOU INVESTMENT LOSSES? Theodore Pohl Of Morgan Stanley Has One Customer Complaint For Alleged Broker Misconduct Who is Theodore Pohl of Morgan Stanley? Theodore Pohl (CRD #2471324) who is currently registered with Morgan Stanley and located in Palm Harbor, Florida is a subject of one of our many securities industry sales practice abuse investigations. Theodore Pohl Customer Complaint Theodore Pohl has been the subject ofat 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 the client alleged that the investments in his accounts were unsuitable because they were too conservative in nature for his moderate risk tolerance. Theodore Pohl’s customer complaint was denied and, to date, the customer has not taken any further action. Theodore Pohl Red Flags & Your Rights As An Investor Of course, Theodore Pohl 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 Theodore Pohl at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Theodore Pohl 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 Theodore Pohl If you have questions about Morgan Stanley and/or Theodore Pohl 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 Pitman of Carter Terry & Company

DID MARK PITMAN CAUSE YOU INVESTMENT LOSSES? Mark Pitman Of Carter Terry & Company, Inc. And Formerly With Summit Brokerage Services And J.P. Turner & Company Has 3 Customer Complaints For Alleged Broker Misconduct Who is Mark Pitman of Carter Terry & Company, Inc.? Mark Pitman (CRD #2281587) who is currently registered with Carter Terry & Company, Inc. and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Carter Terry & Company, Mark Pitman was associated with Summit Brokerage Services, J.P. Turner & Company and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Pitman Customer Complaints Mark Pitman has been the subject of 3 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of Mark Pitman’s 3 customer complaints was settled in favor of investors. Two of Mark Pitman’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Mark Pitman 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 an unauthorized trade by Mark Pitman. Mark Pitman’s alleged negligence and misrepresentation. Unsuitable investment recommendations by Mark Pitman. Mark Pitman Red Flags & Your Rights As An Investor Of course, Mark Pitman 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 Pitman at Carter Terry & Company, Inc. Summit Brokerage Services, and J.P. Turner & Company on alert to review carefully the activity and performance of their accounts and question whether Mark Pitman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Carter Terry & Company, Inc., Summit Brokerage Services, and J.P. Turner & Company 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 Carter Terry & Company, Inc. Due To Mark Pitman If you have questions about Carter Terry & Company, Inc., Summit Brokerage Services, J.P. Turner & Company, and/or Mark Pitman 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

Barry Pittenger of ProEquities

DID BARRY PITTENGER CAUSE YOU INVESTMENT LOSSES? Barry Pittenger Of ProEquities, Inc. And Formerly With Lincoln Financial Securities And Independent Advisers Group Has One Customer Complaint For Alleged Broker Misconduct Who is Barry Pittenger of ProEquities, Inc.? Barry Pittenger (CRD #2405032) who is currently registered with ProEquities, Inc. and located in Brentwood, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Prior to ProEquities, Inc., Barry Pittenger was associated with Lincoln Financial Securities, Independent Advisers Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Barry Pittenger Customer Complaint Barry Pittenger 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 negligence and breach of fiduciary duty in the establishment of a joint with rights of survivorship account that should have been established as tenants in the entirety. Barry Pittenger’s customer complaint was denied and, to date, the customer has not taken any further action. Barry Pittenger Red Flags & Your Rights As An Investor Of course, Barry Pittenger 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 Barry Pittenger at ProEquities, Inc., Lincoln Financial Securities, and Independent Advisers Group on alert to review carefully the activity and performance of their accounts and question whether Barry Pittenger has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at ProEquities, Inc., Lincoln Financial Securities, and Independent Advisers Group 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 ProEquities, Inc. Due To Barry Pittenger If you have questions about ProEquities, Inc., Lincoln Financial Securities, Independent Advisers Group, and/or Barry Pittenger 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

Maryann Pierce of Cadaret Grant & Co.

DID MARYANN PIERCE CAUSE YOU INVESTMENT LOSSES? Maryann Pierce Of Cadaret Grant & Co., Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Maryann Pierce of Cadaret Grant & Co.? Maryann Pierce (CRD #3270336) who is currently registered with Cadaret Grant & Co., Inc. and located in East Syracuse, New York is a subject of one of our many securities industry sales practice abuse investigations. Maryann Pierce Customer Complaint Maryann Pierce 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 dispute arose between the Client and Advisor regarding a request by the Client for liquidation of the Company Cash Balance Plan assets, prior to transfer of the assets to another advisory firm. The advisor and firm decided to settle the claim to expedite resolution of this matter. Maryann Pierce’s customer complaint was settled in favor of investors. Maryann Pierce Red Flags & Your Rights As An Investor Of course, Maryann Pierce 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 Maryann Pierce at Cadaret Grant & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Maryann Pierce has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cadaret Grant & Co., Inc. 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 Cadaret Grant & Co., Inc. Due To Maryann Pierce If you have questions about Cadaret Grant & Co., Inc. and/or Maryann Pierce 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 Piccolo of Wells Fargo Clearing Services

DID MICHAEL PICCOLO CAUSE YOU INVESTMENT LOSSES? Michael Piccolo Of Wells Fargo Clearing Services, LLC And Formerly With Morgan Stanley Has 4 Customer Complaints For Alleged Broker Misconduct Who is Michael Piccolo of Wells Fargo Clearing Services, LLC? Michael Piccolo (CRD #2614880) who is currently registered with Wells Fargo Clearing Services, LLC and located in Paramus, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Michael Piccolo was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Piccolo Customer Complaints Michael Piccolo has been the subject of 4 customer complaints that we know about. Three of Michael Piccolo’s 4 customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Morgan Stanley for investment losses caused by Michael Piccolo’s alleged misconduct. Allegations Against Michael Piccolo A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged, inter alia, Michael Piccolo’s breach of fiduciary duties with respect to management of account. Client alleged Michael Piccolo’s unauthorized trading, inter alia, with respect to investments. New York client claimed that Michael Piccolo allegedly misrepresented the amount of the account fees and commissions, sales loads, etc. that he would be charged for transactions and the maintenance of his accounts. The client further claimed that he told the Michael Piccolo that he was a conservative investor. The client claimed that the Michael Piccolo recommended that he purchase preferred stocks for his IRA account and his Roth IRA account and that based on the Michael Piccolo’s recommendation he invested an aggregate amount of $46,000 in preferred stocks which were all in the financial sector. Michael Piccolo Red Flags & Your Rights As An Investor Of course, Michael Piccolo 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 Piccolo at Wells Fargo Clearing Services, LLC and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Michael Piccolo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC and Morgan Stanley 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 Wells Fargo Clearing Services, LLC Due To Michael Piccolo If you have questions about Wells Fargo Clearing Services, LLC, Morgan Stanley, and/or Michael Piccolo 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

Richard Piatas of Merrill Lynch Pierce Fenner & Smith

DID RICHARD PIATAS CAUSE YOU INVESTMENT LOSSES? Richard Piatas Of Merrill Lynch Pierce Fenner & Smith Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Richard Piatas of Merrill Lynch Pierce Fenner & Smith Inc.? Richard Piatas (CRD #2953716) who is currently registered with Merrill Lynch Pierce Fenner & Smith Inc. and located in Frisco, Texas is a subject of one of our many securities industry sales practice abuse investigations. Richard Piatas Customer Complaint Richard Piatas 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 the customer alleged misrepresentations and omission of material facts. Richard Piatas’ customer complaint was denied and, to date, the customer has not taken any further action. Richard Piatas Red Flags & Your Rights As An Investor Of course, Richard Piatas 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 Richard Piatas at Merrill Lynch Pierce Fenner & Smith Inc. on alert to review carefully the activity and performance of their accounts and question whether Richard Piatas 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 Inc. 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 Inc. Due To Richard Piatas If you have questions about Merrill Lynch Pierce Fenner & Smith Inc. and/or Richard Piatas 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

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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