Mar 8, 2022

Gary Indianer Formerly With CoreCap Investments and PlanMember Securities

DID GARY BRUCE INDIANER CAUSE YOU INVESTMENT LOSSES? Gary Indianer Formerly With CoreCap Investments And PlanMember Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Gary Indianer formerly with CoreCap Investments? Gary Indianer (CRD #2364196) who was formerly registered with CoreCap Investments and located in Southfield, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to CoreCap Investments, Gary Indianer was associated with PlanMember Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gary Indianer Customer Complaint Gary Indianer 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 firm received a written complaint, from the niece of a person that had not been Gary Indianer’s insurance customer for many years but who had been given power of attorney. The customer complaint filed against Gary Indianer’s former employer. Gary Indianer Red Flags & Your Rights As An Investor Of course, Gary Indianer 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 Gary Indianer at CoreCap Investments and PlanMember Securities on alert to review carefully the activity and performance of their accounts and question whether Gary Indianer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PlanMember Securities and CoreCap Investments 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 CoreCap Investments Due To Gary Indianer If you have questions about CoreCap Investments, PlanMember Securities, and/or Gary Indianer 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

Peter Izzo of Merrill Lynch Pierce Fenner & Smith

DID PETER SCOTT IZZO CAUSE YOU INVESTMENT LOSSES? Peter Izzo Of Merrill Lynch Pierce Fenner & Smith Has 4 Customer Complaints For Alleged Broker Misconduct Who is Peter Izzo of Merrill Lynch Pierce Fenner & Smith? Peter Izzo (CRD #2943901) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Peter Izzo Customer Complaints Peter Izzo 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. All of Peter Izzo’s 4 customer complaints were settled in favor of investors. Allegations Against Peter Izzo A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged unsuitable recommendations and investments in their accounts by Peter Izzo. Claimants further alleged FA failed to explain the risks of margin. The claimants alleged that unsuitable investments were made in their account and that there was excessive and unauthorized trading on margin in their account by Peter Izzo. The customer alleged Peter Izzo’s unauthorized trading and misrepresentations regarding the liquidity of auction rate securities. Damages unspecified. The customer alleged unsuitable investment recommendations by Peter Izzo. Peter Izzo Red Flags & Your Rights As An Investor Of course, Peter Izzo 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 Peter Izzo at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Peter Izzo 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 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 Merrill Lynch Pierce Fenner & Smith Due To Peter Izzo If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Peter Izzo 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 Jackman of Crown Capital Securities

DID RICHARD W. JACKMAN CAUSE YOU INVESTMENT LOSSES? Richard Jackman Of Crown Capital Securities And Secura Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Richard Jackman of Crown Capital Securities? Richard Jackman (CRD #2501641) who is currently registered with Crown Capital Securities, Secura Financial and located in Orange, California is a subject of one of our many securities industry sales practice abuse investigations. Richard Jackman Customer Complaint Richard Jackman 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 unsuitable investments made in illiquid products. The customer complaint filed against Richard Jackman’s current employer Crown Capital Securities, J.W. Cole Financial, and LPL Financial for investment losses caused by the alleged misconduct is pending as of the date of this report. Richard Jackman Red Flags & Your Rights As An Investor Of course, Richard Jackman 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 Jackman at Crown Capital Securities and Secura Financial on alert to review carefully the activity and performance of their accounts and question whether Richard Jackman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Crown Capital Securities and Secura 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 Crown Capital Securities Due To Richard Jackman If you have questions about Crown Capital Securities, Secura Financial, and/or Richard Jackman 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

T. Jackson of Morgan Stanley

DID T. KEVIN JACKSON CAUSE YOU INVESTMENT LOSSES? T. Jackson Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is T. Jackson of Morgan Stanley? T. Jackson (CRD #2702409) who is currently registered with Morgan Stanley and located in Enid, Oklahoma is a subject of one of our many securities industry sales practice abuse investigations. T. Jackson Customer Complaint T. Jackson 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 he did not authorize the establishment of a managed account or for trading to begin. The customer complaint filed against T. Jackson’s current employer Morgan Stanley for investment losses caused by the alleged misconduct is pending as of the date of this report. T. Jackson Red Flags & Your Rights As An Investor Of course, T. Jackson 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 T. Jackson at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether T. Jackson 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 T. Jackson If you have questions about Morgan Stanley and/or T. Jackson 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

Carol James Formerly With Merrill Lynch Pierce Fenner & Smith

DID CAROL RIGGINS JAMES CAUSE YOU INVESTMENT LOSSES? Carol James Formerly With Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Carol James formerly with Merrill Lynch Pierce Fenner & Smith? Carol James (CRD #1635714) who was formerly registered with Merrill Lynch Pierce Fenner & Smith and located in Westport, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Carol James Customer Complaints Carol James 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 Carol James’ 2 customer complaints was settled in favor of investors. One of Carol James’ customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Carol James 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 Carol James’ misrepresentation and unsuitability concerning auction market securities. Through their attorney, the customer alleged Carol James’ improper solicitation of a Trusteed IRA. Carol James Red Flags & Your Rights As An Investor Of course, Carol James 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 Carol James at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Carol James 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 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 Merrill Lynch Pierce Fenner & Smith Due To Carol James If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Carol James 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

Javier Jaramillo of Morgan Stanley

DID JAVIER JARAMILLO CAUSE YOU INVESTMENT LOSSES? Javier Jaramillo Of Morgan Stanley And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Javier Jaramillo of Morgan Stanley? Javier Jaramillo (CRD #4280044) who is currently registered with Morgan Stanley and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Javier Jaramillo was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Javier Jaramillo Customer Complaint Javier Jaramillo 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 he did not authorize the purchase of a short term bond fund and thought his account was invested in the money market. Javier Jaramillo’s customer complaint was denied and, to date, the customer has not taken any further action. Javier Jaramillo Red Flags & Your Rights As An Investor Of course, Javier Jaramillo 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 Javier Jaramillo at Morgan Stanley and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Javier Jaramillo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and 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 Morgan Stanley Due To Javier Jaramillo If you have questions about Morgan Stanley, UBS Financial Services, and/or Javier Jaramillo 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

David Khezri of Network 1 Financial Securities

DID DAVID KHEZRI CAUSE YOU INVESTMENT LOSSES? David Khezri Of Network 1 Financial Securities And Formerly With Worden Capital Management, Joseph Stone Capital And Cape Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is David Khezri of Network 1 Financial Securities? David Khezri (CRD #2736831) who is currently registered with Network 1 Financial Securities and located in Hauppauge, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Network 1 Financial Securities, David Khezri was associated with Worden Capital Management, Joseph Stone Capital, Cape Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Khezri has also had his share of regulatory problems.  In 2015, he consented to the entry of findings by FINRA that he improperly exercise discretion by affecting approximately 100 trades for 6 customers without obtaining prior written authorization from the customer’s and without having the accounts excepted as discretionary by his member firm.  As a result of his alleged misconduct, he was suspended for 30 days and fined $5,000. David Khezri Customer Complaints David Khezri 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 David Khezri’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 Joseph Stone Capital for investment losses caused by David Khezri’s alleged misconduct. Allegations Against David Khezri A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Breach of Fiduciary Duty, Negligence allegedly by David Khezri. David Khezri’s alleged excessive trading. David Khezri Red Flags & Your Rights As An Investor Of course, David Khezri 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 David Khezri at Network 1 Financial Securities, Worden Capital Management, Joseph Stone Capital, and Cape Securities on alert to review carefully the activity and performance of their accounts and question whether David Khezri has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Network 1 Financial Securities, Worden Capital Management, Joseph Stone Capital, and Cape Securities also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Network 1 Financial Securities Due To David Khezri If you have questions about Network 1 Financial Securities, Worden Capital Management, Joseph Stone Capital, Cape Securities, and/or David Khezri 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

Nancy Jensen of RBC Capital Markets

DID NANCY A. JENSEN CAUSE YOU INVESTMENT LOSSES? Nancy Jensen Of RBC Capital Markets Has A Customer Complaint For Alleged Broker Misconduct Who is Nancy Jensen of RBC Capital Markets? Nancy Jensen (CRD #1820616) who is currently registered with RBC Capital Markets and located in Milwaukee, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Nancy Jensen Customer Complaint Nancy Jensen 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 clients’ portfolio should have been invested more conservatively prior to the market decline, and allocated back to its prior investment allocation. Nancy Jensen’s customer complaint was denied and, to date, the customer has not taken any further action. Nancy Jensen Red Flags & Your Rights As An Investor Of course, Nancy Jensen 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 Nancy Jensen at RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Nancy Jensen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets 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 RBC Capital Markets Due To Nancy Jensen If you have questions about RBC Capital Markets and/or Nancy Jensen 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

Clifford Virgin of UBS Financial Services

DID CLIFFORD VIRGIN III CAUSE YOU INVESTMENT LOSSES? Clifford Virgin Of UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Clifford Virgin of UBS Financial Services? Clifford Virgin (CRD #1878876) who is currently registered with UBS Financial Services and located in Florham Park, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Clifford Virgin Customer Complaints Clifford Virgin has been the subject of 3 customer complaints that we know about. One of Clifford Virgin’s customer complaints was settled in favor of investors. Two of Clifford Virgin’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Clifford Virgin 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 that the price structure to purchase U.S. Treasury securities was misrepresented by Clifford Virgin and that the purchase of a mutual fund was unsuitable. Claimant’s counsel alleged Clifford Virgin’s unsuitable trading which resulted in substantial losses and tax liabilities for the heirs of the trust. Clifford Virgin Red Flags & Your Rights As An Investor Of course, Clifford Virgin 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 Clifford Virgin at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Clifford Virgin 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 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 UBS Financial Services Due To Clifford Virgin If you have questions about UBS Financial Services and/or Clifford Virgin 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 Kiefer of Royal Alliance Associates

DID MICHAEL EDWARD KIEFER CAUSE YOU INVESTMENT LOSSES? Michael Kiefer Of Royal Alliance Associates And Formerly With Signator Investors And Transamerica Financial Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Kiefer of Royal Alliance Associates? Michael Kiefer (CRD #4124115) who is currently registered with Royal Alliance Associates and located in Albuquerque, New Mexico is a subject of one of our many securities industry sales practice abuse investigations. Prior to Royal Alliance Associates, Michael Kiefer was associated with Signator Investors, Transamerica Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Kiefer Customer Complaint Michael Kiefer 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 there was a delay in connection with the sale of a thinly-traded stock. The customer complaint filed against Michael Kiefer’s current employer Royal Alliance Associates for investment losses caused by the alleged misconduct is pending as of the date of this report. Michael Kiefer Red Flags & Your Rights As An Investor Of course, Michael Kiefer 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 Kiefer at Royal Alliance Associates, Signator Investors, and Transamerica Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Michael Kiefer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates, Signator Investors, and Transamerica Financial 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 Royal Alliance Associates Due To Michael Kiefer If you have questions about Royal Alliance Associates, Signator Investors, Transamerica Financial Advisors, and/or Michael Kiefer 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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