Mar 8, 2022

John Limpert Formerly With Brokers International Financial Services

DID JOHN EMIL LIMPERT CAUSE YOU INVESTMENT LOSSES? John Limpert Formerly With Brokers International Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is John Limpert formerly with Brokers International Financial Services? John Limpert (CRD #1782540) who was formerly registered with Brokers International Financial Services and located in Laguna Hills, California is a subject of one of our many securities industry sales practice abuse investigations. John Limpert Customer Complaints John Limpert 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 John Limpert’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against John Limpert 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 stated she was facing financial hardship and filed for bankruptcy. The client stated the product should not have been sold to her or included in any retirement account by John Limpert. The client thought she had lost her money on a promissory note she had purchased through John Limpert because the promissory note company went bankrupt. She was an accredited investor and her money was held in a safe custodial account with bank – one, until the class action suit against the promissory note company and Bank – One was settled. Bank One prevailed in the suit and her money was returned to her, and she was satisfied with that, and took no further action. John Limpert Red Flags & Your Rights As An Investor Of course, John Limpert 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 Limpert at Brokers International Financial Services on alert to review carefully the activity and performance of their accounts and question whether John Limpert has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Brokers International 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 Brokers International Financial Services Due To John Limpert If you have questions about Brokers International Financial Services and/or John Limpert 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

Antoni Lucas of Wedbush Securities

DID ANTONI ENRIQUE LUCAS CAUSE YOU INVESTMENT LOSSES? Antoni Lucas Of Wedbush Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Antoni Lucas of Wedbush Securities? Antoni Lucas (CRD #2050284) who is currently registered with Wedbush Securities and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations. Antoni Lucas Customer Complaint Antoni Lucas 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 client filed complaint through the FINRA Investor Complaint Center. Client stated that, after spouse passed away, and Antoni Lucas changed investment portfolio from large company blue chip stock to speculative investments. Client believed the trades were highly inappropriate, she did not authorize the transactions and the investments lost significant value. Antoni Lucas’ customer complaint was denied and, to date, the customer has not taken any further action. Antoni Lucas Red Flags & Your Rights As An Investor Of course, Antoni Lucas 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 Antoni Lucas at Wedbush Securities on alert to review carefully the activity and performance of their accounts and question whether Antoni Lucas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wedbush 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 Wedbush Securities Due To Antoni Lucas If you have questions about Wedbush Securities and/or Antoni Lucas 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

Antoinette Lucas of TIAA-CREF Individual & Institutional Services

DID ANTOINETTE MARSHALL LUCAS CAUSE YOU INVESTMENT LOSSES? Antoinette Lucas Of TIAA-CREF Individual & Institutional Services And Formerly With Morgan Stanley And OneAmerica Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Antoinette Lucas of TIAA-CREF Individual & Institutional Services? Antoinette Lucas (CRD #4314461) who is currently registered with TIAA-CREF Individual & Institutional Services and located in Charlottesville, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Prior to TIAA-CREF Individual & Institutional Services, Antoinette Lucas was associated with Morgan Stanley, OneAmerica Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Antoinette Lucas Customer Complaint Antoinette Lucas 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 client stated that she provided account trade instructions to the representative on February 20, 2020 but due to a delay in trades being made, experienced a loss in account value. Antoinette Lucas’ customer complaint was settled in favor of the investors. Antoinette Lucas Red Flags & Your Rights As An Investor Of course, Antoinette Lucas 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 Antoinette Lucas at TIAA-CREF Individual & Institutional Services, Morgan Stanley, and OneAmerica Securities on alert to review carefully the activity and performance of their accounts and question whether Antoinette Lucas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TIAA-CREF Individual & Institutional Services, Morgan Stanley, and OneAmerica 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 TIAA-CREF Individual & Institutional Services Due To Antoinette Lucas If you have questions about TIAA-CREF Individual & Institutional Services, Morgan Stanley, OneAmerica Securities, and/or Antoinette Lucas 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

Jimmy Maldonado of LPL Financial

DID JIMMY MALDONADO CAUSE YOU INVESTMENT LOSSES? Jimmy Maldonado Of LPL Financial And Formerly With Invest Financial And Cetera Advisors Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jimmy Maldonado of LPL Financial? Jimmy Maldonado (CRD #2991263) who is currently registered with LPL Financial and located in Burbank, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Jimmy Maldonado was associated with Invest Financial, Cetera Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jimmy Maldonado Customer Complaints Jimmy Maldonado 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 Jimmy Maldonado’s 2 customer complaints was settled in favor of investors. One of Jimmy Maldonado’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Jimmy Maldonado A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Complaint in question involves a trade on Juniper (JNPR) which Jimmy Maldonado allegdly decided to sell based upon the “Not Held Order” given by the client as the stock was dropping fast. Customer alleged Jimmy Maldonado’s misrepresentation of a Business Development Company. Jimmy Maldonado Red Flags & Your Rights As An Investor Of course, Jimmy Maldonado 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 Jimmy Maldonado at LPL Financial, Invest Financial, and Cetera Advisors on alert to review carefully the activity and performance of their accounts and question whether Jimmy Maldonado has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, Invest Financial, and Cetera 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 Jimmy Maldonado If you have questions about LPL Financial, Invest Financial, Cetera Advisors, and/or Jimmy Maldonado 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

Hovannes Malikyan of NYLIFE Securities

DID HOVANNES MALIKYAN CAUSE YOU INVESTMENT LOSSES? Hovannes Malikyan Of NYLIFE Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Hovannes Malikyan of NYLIFE Securities? Hovannes Malikyan (CRD #1719903) who is currently registered with NYLIFE Securities and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Hovannes Malikyan Customer Complaint Hovannes Malikyan 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 customer alleged that he withdrew $100,000 from his Variable Annuity with the understanding that he could return the funds without penalty, however a new surrender charge period was created. Hovannes Malikyan’s customer complaint was settled in favor of the investors. Hovannes Malikyan Red Flags & Your Rights As An Investor Of course, Hovannes Malikyan 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 Hovannes Malikyan at NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Hovannes Malikyan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLIFE 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 NYLIFE Securities Due To Hovannes Malikyan If you have questions about NYLIFE Securities and/or Hovannes Malikyan 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

Ryan Mallow of Fidelity Brokerage Services

DID RYAN SCOTT MALLOW CAUSE YOU INVESTMENT LOSSES? Ryan Mallow Of Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors And Formerly With Strategic Advisers Has 2 Customer Complaints For Alleged Broker Misconduct Who is Ryan Mallow of Fidelity Brokerage Services? Ryan Mallow (CRD #2420445) who is currently registered with Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors and located in Jacksonville, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Ryan Mallow was associated with Strategic Advisers and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ryan Mallow Customer Complaints Ryan Mallow has been the subject of 2 customer complaints that we know about, which was filed in the last year to recover investment losses.  One of Ryan Mallow’s 2 customer complaints was settled in favor of investors. The customer complaint filed against Ryan Mallow’s current employer Fidelity Brokerage Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Allegations Against Ryan Mallow 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 that Ryan Mallow misrepresented the level of risk associated with securities in a managed account. Executions – failure to execute allegedly by Ryan Mallow. Ryan Mallow Red Flags & Your Rights As An Investor Of course, Ryan Mallow 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 Ryan Mallow at Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, and Strategic Advisers on alert to review carefully the activity and performance of their accounts and question whether Ryan Mallow has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, and Strategic Advisers 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 Fidelity Brokerage Services Due To Ryan Mallow If you have questions about Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Strategic Advisers, and/or Ryan Mallow 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

Ajay Desai of UBS Financial Services

DID AJAY DESAI CAUSE YOU INVESTMENT LOSSES? Ajay Desai Of UBS Financial Services Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Ajay Desai of UBS Financial Services Inc.? Ajay Desai (CRD #4058022) who is currently registered with UBS Financial Services Inc. and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Ajay Desai Customer Complaints Ajay Desai 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. Two of Ajay Desai’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against UBS Financial Services Inc. for investment losses caused by Ajay Desai’s alleged misconduct. Allegations Against Ajay Desai A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The customer alleged that Ajay Desai made unsuitable investment recommendations. The customer alleged Ajay Desai’s unsuitable investment recommendations, misrepresentation and omission of material facts regarding investments purchased. Claimant’s counsel alleged unsuitability and negligence with respect to Ajay Desai’s recommendations and investment of accounts. Ajay Desai Red Flags & Your Rights As An Investor Of course, Ajay Desai 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 Ajay Desai at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Ajay Desai has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. 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 Inc. Due To Ajay Desai If you have questions about UBS Financial Services Inc. and/or Ajay Desai 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

Joseph Depasquale of American Capital Partners

DID JOSEPH DEPASQUALE CAUSE YOU INVESTMENT LOSSES? Joseph Depasquale Of American Capital Partners, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joseph Depasquale of American Capital Partners, LLC? Joseph Depasquale (CRD #4261826) who is currently registered with American Capital Partners, LLC and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Joseph Depasquale Customer Complaints Joseph Depasquale has been the subject of 2 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of Joseph Depasquale’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against American Capital Partners, LLC for investment losses caused by Joseph Depasquale’s alleged misconduct. Allegations Against Joseph Depasquale A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Joseph Depasquale’ alleged breach of fiduciary duties, misrepresentation. The client alleges that certain investments made by Joseph Depasquale were unsuitable. Joseph Depasquale Red Flags & Your Rights As An Investor Of course, Joseph Depasquale 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 Joseph Depasquale at American Capital Partners, LLC on alert to review carefully the activity and performance of their accounts and question whether Joseph Depasquale has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Capital Partners, LLC 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 Capital Partners, LLC Due To Joseph Depasquale If you have questions about American Capital Partners, LLC and/or Joseph Depasquale 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

Robert Halldin formerly with American Portfolios Financial Services

DID ROBERT JAMES HALLDIN CAUSE YOU INVESTMENT LOSSES? Robert Halldin Formerly With American Portfolios Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Robert Halldin formerly with American Portfolios Financial Services? Robert Halldin (CRD #1458098) who was formerly registered with American Portfolios Financial Services and located in Newington, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Robert Halldin Customer Complaints Robert Halldin has been the subject of 3 customer complaints that we know about. Two of Robert Halldin’s 3 customer complaints were settled in favor of investors. One of Robert Halldin’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Robert Halldin A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Robert Halldin’s alleged breach of fiduciary duty, violation of Florida Securities Investor Protection Act, negligence, failure to supervise. Churning, unsuitable investments, unauthorized trading, overconcentration allegedly by Robert Halldin. The allegations are that Robert Halldin made unsuitable investments in accounts held away from the firm. Robert Halldin Red Flags & Your Rights As An Investor Of course, Robert Halldin 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 Halldin at American Portfolios Financial Services on alert to review carefully the activity and performance of their accounts and question whether Robert Halldin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Portfolios 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 American Portfolios Financial Services Due To Robert Halldin If you have questions about American Portfolios Financial Services and/or Robert Halldin 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 Graetz Formerly With Paulson Investment Company

DID KEVIN RICHARD GRAETZ CAUSE YOU INVESTMENT LOSSES? Kevin Graetz Formerly With Paulson Investment Company Has 9 Customer Complaints For Alleged Broker Misconduct Who is Kevin Graetz formerly with Paulson Investment Company? Kevin Graetz (CRD #1935982) who was formerly registered with Paulson Investment Company and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Kevin Graetz has had his own share of regulatory investigations.  He has been the subject of 2 FINRA investigations, the last of which resulted in a permanent bar for any further association with any member firm in any capacity for failing to cooperate and supply information in connection with 1 of its investigations. Kevin Graetz Customer Complaints Kevin Graetz has been the subject of 9 customer complaints that we know about. Five of Kevin Graetz’s 9 customer complaints were settled in favor of investors. Four of Kevin Graetz’s customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against Kevin Graetz 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 that Kevin Graetz sold him unregistered, fraudulent, and unapproved investments. Client alleged that Kevin Graetz’s purchases of INB were unsuitable given her investment objectives. Client alleged Kevin Graetz’s purchasing a large concentration of stock in INB which was unsuitable in size of purchase. Investment was brought on margin. Client alleged sales practice violations in relation to private securities offerings by Kevin Graetz. Customer alleged Kevin Graetz’s general mishandling of account. Customer alleged fraud, negligent misrepresentations, negligence, and unjust enrichment by Kevin Graetz. Customer alleged misconduct, fraudulent misrepresentations, omissions and selling away by Kevin Graetz. Customer alleged that Kevin Graetz did not return his phone calls, that he lost approximately $185,000.00 that he did not authorize option trades, and that Kevin Graetz purchased and sold options without his authorization. Kevin Graetz Red Flags & Your Rights As An Investor Of course, Kevin Graetz 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 Graetz at Paulson Investment Company on alert to review carefully the activity and performance of their accounts and question whether Kevin Graetz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Paulson Investment 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 Paulson Investment Company Due To Kevin Graetz If you have questions about Paulson Investment Company and/or Kevin Graetz 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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