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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Mar 8, 2022

Thomas Shumosic of Kestra Advisory Services

DID THOMAS FRANCIS SHUMOSIC CAUSE YOU INVESTMENT LOSSES? Thomas Shumosic Of Kestra Investment Services, Kestra Advisory Services And Formerly With Cadaret Grant & Co. Has A Customer Complaint For Alleged Broker Misconduct Who is Thomas Shumosic of Kestra Advisory Services? Thomas Shumosic (CRD #1913737) who is currently registered with Kestra Investment Services, Kestra Advisory Services and located in Wilmington, Delaware is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kestra Investment Services and Kestra Advisory Services, Thomas Shumosic was associated with Cadaret Grant & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Thomas Shumosic Customer Complaint Thomas Shumosic 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 unsuitability and misrepresentation. Thomas Shumosic’s customer complaint was denied and, to date, the customer has not taken any further action. Thomas Shumosic Red Flags & Your Rights As An Investor Of course, Thomas Shumosic 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 Shumosic at Kestra Investment Services, Kestra Advisory Services, and Cadaret Grant & Co. on alert to review carefully the activity and performance of their accounts and question whether Thomas Shumosic has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kestra Investment Services, Kestra Advisory Services, and Cadaret Grant & 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 Kestra Investment Services Due To Thomas Shumosic If you have questions about Kestra Investment Services, Kestra Advisory Services, Cadaret Grant & Co., and/or Thomas Shumosic 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 Shrader of Robert W. Baird & Co.

DID JAMES MICHAEL SHRADER CAUSE YOU INVESTMENT LOSSES? James Shrader Of Robert W. Baird & Co. Has 4 Customer Complaints For Alleged Broker Misconduct Who is James Shrader of Robert W. Baird & Co.? James Shrader (CRD #1562368) who is currently registered with Robert W. Baird & Co.and located in Cedar Rapids, Iowa is a subject of one of our many securities industry sales practice abuse investigations. James Shrader Customer Complaints James Shrader 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 James Shrader’s 4 customer complaints were settled in favor of investors. One of James Shrader’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Robert W. Baird & Co. for investment losses caused by James Shrader’s alleged misconduct. Allegations Against James Shrader 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 James Shrader failed to warn her of risk of her ETN and ETF purchases. Client’s daughter-in-law alleged that on her behalf account James Shrader’s performance was poor and requested reimbursement. James Shrader Red Flags & Your Rights As An Investor Of course, James Shrader 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 Shrader at Robert W. Baird & Co. on alert to review carefully the activity and performance of their accounts and question whether James Shrader has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Robert W. Baird & 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 Robert W. Baird & Co. Due To James Shrader If you have questions about Robert W. Baird & Co. and/or James Shrader 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

Charles Shields of Wells Fargo Clearing Services

DID CHARLES DANIEL SHIELDS JR CAUSE YOU INVESTMENT LOSSES? Charles Shields Of Wells Fargo Clearing Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Charles Shields of Wells Fargo Clearing Services? Charles Shields (CRD #2067177) who is currently registered with Wells Fargo Clearing Services and located in Radnor, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Charles Shields Customer Complaints Charles Shields has been the subject of 3 customer complaints that we know about. Two of Charles Shields’ customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Wells Fargo Clearing Services for investment losses caused by Charles Shields’ alleged misconduct. Allegations Against Charles Shields 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 Charles Shields allegedly did not provide appropriate investment recommendations and executed transactions without authority. Pennsylvania resident complained of performance of account and questioned why client with little investment experience invested in risky securities allegedly by Charles Shields. Account value has declined since opened. Asked for information regarding asset allocation and performance. Plaintiff alleged that Charles Shields failed to take reasonable steps to ensure Plaintiff’s identity and authorization when opening a brokerage account. Charles Shields Red Flags & Your Rights As An Investor Of course, Charles Shields 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 Charles Shields at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Charles Shields has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing 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 Wells Fargo Clearing Services Due To Charles Shields If you have questions about Wells Fargo Clearing Services and/or Charles Shields 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

Troy Sheets of MML Investors Services

DID TROY EDWARD SHEETS CAUSE YOU INVESTMENT LOSSES? Troy Sheets Of MML Investors Services Has A Customer Complaint For Alleged Broker Misconduct Who is Troy Sheets of MML Investors Services? Troy Sheets (CRD #4124051) who is currently registered with MML Investors Services and located in Bettendorf, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Troy Sheets Customer Complaint Troy Sheets has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that the variable annuity that she purchased was misrepresented. She would like her money returned, less any surrender charges. Troy Sheets’ customer complaint was denied and, to date, the customer has not taken any further action. Troy Sheets Red Flags & Your Rights As An Investor Of course, Troy Sheets 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 Troy Sheets at MML Investors Services on alert to review carefully the activity and performance of their accounts and question whether Troy Sheets 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 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 MML Investors Services Due To Troy Sheets If you have questions about MML Investors Services and/or Troy Sheets 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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