Mar 8, 2022

Robert Ryan of Royal Alliance Associates

DID ROBERT COLLINS RYAN III CAUSE YOU INVESTMENT LOSSES? Robert Ryan Of Royal Alliance Associates And Ryan Wealth Management Has 2 Customer Complaints For Alleged Broker Misconduct Who is Robert Ryan of Royal Alliance Associates? Robert Ryan (CRD #2784775) who is currently registered with Royal Alliance Associates, Ryan Wealth Management and located in Yuba City, California is a subject of one of our many securities industry sales practice abuse investigations. Robert Ryan Customer Complaints Robert Ryan 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. One of Robert Ryan’s 2 customer complaints was settled in favor of investors. One of Robert Ryan’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Robert Ryan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged that holdings in account were sold without his approval by Robert Ryan. Customer requested partial liquidation of account. An inadvertent full liquidation was processed, resulting in selling, during excessive volatility and market decline. Customer alleged that Robert Ryan’s misinformation provided to him regarding cost basis for withdrawal resulted in an undue tax liability. Robert Ryan Red Flags & Your Rights As An Investor Of course, Robert Ryan 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 Robert Ryan at Royal Alliance Associates and Ryan Wealth Management on alert to review carefully the activity and performance of their accounts and question whether Robert Ryan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates and Ryan Wealth Management 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 Royal Alliance Associates Due To Robert Ryan If you have questions about Royal Alliance Associates, Ryan Wealth Management, and/or Robert Ryan 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 Root of MML Investors Services

DID MICHAEL PATRICK ROOT CAUSE YOU INVESTMENT LOSSES? Michael Root Of MML Investors Services And Formerly With MSI Financial Services And NewSquare Capital Has 2 Customer Complaints For Alleged Broker Misconduct Who is Michael Root of MML Investors Services? Michael Root (CRD #2723359) who is currently registered with MML Investors Services and located in Newtown Square, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Michael Root was associated with MSI Financial Services, NewSquare Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Root Customer Complaints Michael Root has been the subject of 2 customer complaints that we know about. Both of Michael Root’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Michael Root A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged the variable annuity Michael Root purchased was not in his best interests. The complainant alleged that Michael Root misrepresented the variable annuity that she purchased, with regards to yearly growth. Michael Root Red Flags & Your Rights As An Investor Of course, Michael Root 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 Root at MML Investors Services, MSI Financial Services, and NewSquare Capital on alert to review carefully the activity and performance of their accounts and question whether Michael Root has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services, MSI Financial Services, and NewSquare Capital 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 Michael Root If you have questions about MML Investors Services, MSI Financial Services, NewSquare Capital, and/or Michael Root 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

Joffre Salazar Formerly With American Portfolios Financial Services

DID JOFFRE SALAZAR CAUSE YOU INVESTMENT LOSSES? Joffre Salazar Formerly With American Portfolios Financial Services, LPL Financial And Santander Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joffre Salazar formerly with American Portfolios Financial Services? Joffre Salazar (CRD #2185914) who was formerly registered with American Portfolios Financial Services and located in Staten Island, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to American Portfolios Financial Services, Joffre Salazar was associated with LPL Financial, Santander Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joffre Salazar Customer Complaints Joffre Salazar has been the subject of 2 customer complaints that we know about. One of Joffre Salazar’s 2 customer complaints was settled in favor of investors. One of Joffre Salazar’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Joffre Salazar A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged that she did not sign documents and accounts were opened without her knowledge by Joffre Salazar. Customers complained they were misled about their investment of a Pacific Life Variable Annuity by Joffre Salazar. Joffre Salazar Red Flags & Your Rights As An Investor Of course, Joffre Salazar 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 Joffre Salazar at American Portfolios Financial Services, LPL Financial, and Santander Securities on alert to review carefully the activity and performance of their accounts and question whether Joffre Salazar has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Portfolios Financial Services, LPL Financial, and Santander 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 American Portfolios Financial Services Due To Joffre Salazar If you have questions about American Portfolios Financial Services, LPL Financial, Santander Securities, and/or Joffre Salazar 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

Tariq Sales of Spartan Capital Securities

DID TARIQ MUHAMMED SALES CAUSE YOU INVESTMENT LOSSES? Tariq Sales Of Spartan Capital Securities And Formerly With Newbridge Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Tariq Sales of Spartan Capital Securities? Tariq Sales (CRD #2851440) who is currently registered with Spartan Capital Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Spartan Capital Securities, Tariq Sales was associated with Newbridge Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Tariq Sales Customer Complaint Tariq Sales 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 breach of fiduciary duty; breach of contract and negligence. The customer complaint filed against Tariq Sales’ former employer Aegis Capital for investment losses caused by the alleged misconduct is pending as of the date of this report. Tariq Sales Red Flags & Your Rights As An Investor Of course, Tariq Sales 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 Tariq Sales at Spartan Capital Securities and Newbridge Securities on alert to review carefully the activity and performance of their accounts and question whether Tariq Sales has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities and Newbridge 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 Spartan Capital Securities Due To Tariq Sales If you have questions about Spartan Capital Securities, Newbridge Securities, and/or Tariq Sales 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

William Rose of UBS Financial Services

DID WILLIAM J. ROSE CAUSE YOU INVESTMENT LOSSES? William Rose Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is William Rose of UBS Financial Services? William Rose (CRD #3278179) who is currently registered with UBS Financial Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. William Rose Customer Complaint William Rose 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 unauthorized trading. William Rose’s customer complaint was denied and, to date, the customer has not taken any further action. William Rose Red Flags & Your Rights As An Investor Of course, William Rose did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of William Rose at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether William Rose has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS 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 UBS Financial Services Due To William Rose If you have questions about UBS Financial Services and/or William Rose 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 Sall of LPL Financial

DID RICHARD HARRIS SALL CAUSE YOU INVESTMENT LOSSES? Richard Sall Of LPL Financial And Formerly With Voya Financial Advisors Has 3 Customer Complaints For Alleged Broker Misconduct Who is Richard Sall of LPL Financial? Richard Sall (CRD #1515945) who is currently registered with LPL Financial and located in Duluth, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Richard Sall was associated with Voya Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Sall Customer Complaints Richard Sall has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Richard Sall’s 3 customer complaints was settled in favor of investors. Two of Richard Sall’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Richard Sall 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 Richard Sall’s misrepresentation of variable annuity with regards to GMIB rider annuitization options. Customer alleged he was misled by Richard Sall when purchasing variable annuity. Customer felt that the information regarding the income feature of the variable annuity contract she purchased was not accurately explained by Richard Sall. Richard Sall Red Flags & Your Rights As An Investor Of course, Richard Sall 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 Sall at LPL Financial and Voya Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Richard Sall has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and Voya Financial Advisors 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 LPL Financial Due To Richard Sall If you have questions about LPL Financial, Voya Financial Advisors, and/or Richard Sall 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

Bradley Rubin of UBS Financial Services

DID BRADLEY JAY RUBIN CAUSE YOU INVESTMENT LOSSES? Bradley Rubin Of UBS Financial Services And Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Bradley Rubin of UBS Financial Services? Bradley Rubin (CRD #3124047) who is currently registered with UBS Financial Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Bradley Rubin was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Bradley Rubin Customer Complaint Bradley Rubin 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 unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. The customer complaint filed against Bradley Rubin’s current employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Bradley Rubin Red Flags & Your Rights As An Investor Of course, Bradley Rubin 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 Bradley Rubin at UBS Financial Services and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Bradley Rubin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services and 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 UBS Financial Services Due To Bradley Rubin If you have questions about UBS Financial Services, Morgan Stanley, and/or Bradley Rubin 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

Trevis Rucci of Raymond James Financial Services

DID TREVIS CLINT RUCCI CAUSE YOU INVESTMENT LOSSES? Trevis Rucci Of Raymond James Financial Services And Raymond James Financial Services Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Trevis Rucci of Raymond James Financial Services? Trevis Rucci (CRD #2635775) who is currently registered with Raymond James Financial Services, Raymond James Financial Services Advisors and located in Encino, California is a subject of one of our many securities industry sales practice abuse investigations. Trevis Rucci Customer Complaint Trevis Rucci 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 advisor did not honor trade instructions.  Trevis Rucci’s customer complaint was denied and, to date, the customer has not taken any further action. Trevis Rucci Red Flags & Your Rights As An Investor Of course, Trevis Rucci 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 Trevis Rucci at Raymond James Financial Services and Raymond James Financial Services Advisors on alert to review carefully the activity and performance of their accounts and question whether Trevis Rucci has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services and Raymond James Financial Services Advisors 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 Raymond James Financial Services Due To Trevis Rucci If you have questions about Raymond James Financial Services, Raymond James Financial Services Advisors, and/or Trevis Rucci 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

Jamal Sampson of SW Financial

DID JAMAL HIRAM SAMPSON CAUSE YOU INVESTMENT LOSSES? Jamal Sampson Of SW Financial And Formerly With BlackBook Capital, First Standard Financial Company And Worden Capital Management Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jamal Sampson of SW Financial? Jamal Sampson (CRD #3155495) who is currently registered with SW Financial and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to SW Financial, Jamal Sampson was associated with BlackBook Capital, First Standard Financial Company, Worden Capital Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jamal Sampson Customer Complaints Jamal Sampson 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. One of Jamal Sampson’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against First Standard Financial for investment losses caused by Jamal Sampson’s alleged misconduct. Allegations Against Jamal Sampson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant claimed Jamal Sampson’s unsuitable investment recommendations, failure to appropriately allocate assets and failure to supervise. Jamal Sampson’s alleged unsuitable investments, excessive commissions/turnover. Jamal Sampson Red Flags & Your Rights As An Investor Of course, Jamal Sampson 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 Jamal Sampson at SW Financial, BlackBook Capital, First Standard Financial Company, and Worden Capital Management on alert to review carefully the activity and performance of their accounts and question whether Jamal Sampson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SW Financial, BlackBook Capital, First Standard Financial Company, and Worden Capital Management 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 SW Financial Due To Jamal Sampson If you have questions about SW Financial, BlackBook Capital, First Standard Financial Company, Worden Capital Management, and/or Jamal Sampson 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

Henry Sandigo of Securities America

DID HENRY JOSEPH SANDIGO CAUSE YOU INVESTMENT LOSSES? Henry Sandigo Of Securities America And Securities America Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Henry Sandigo of Securities America? Henry Sandigo (CRD #1844538) who is currently registered with Securities America, Securities America Advisors and located in Shingle Springs, California is a subject of one of our many securities industry sales practice abuse investigations. Henry Sandigo Customer Complaint Henry Sandigo 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 Henry Sandigo signed her signature on account documents. Henry Sandigo’s customer complaint was denied and, to date, the customer has not taken any further action. Henry Sandigo Red Flags & Your Rights As An Investor Of course, Henry Sandigo 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 Henry Sandigo at Securities America and Securities America Advisors on alert to review carefully the activity and performance of their accounts and question whether Henry Sandigo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America and Securities America Advisors 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 Securities America Due To Henry Sandigo If you have questions about Securities America, Securities America Advisors, and/or Henry Sandigo 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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