Mar 8, 2022

Richard Groff of Charles Schwab & Co.

DID RICHARD BRADEN GROFF CAUSE YOU INVESTMENT LOSSES? Richard Groff Of Charles Schwab & Co. Has A Customer Complaint For Alleged Broker Misconduct Who is Richard Groff of Charles Schwab & Co.? Richard Groff (CRD #4177139) who is currently registered with Charles Schwab & Co. and located in Sandy Springs, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Richard Groff Customer Complaint Richard Groff 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 she provided instructions to the representative to sell the ETF’s in her account and leave the funds in cash; instead he purchased shares of various securities with the proceeds. Richard Groff’s customer complaint was settled in favor of the investors. Richard Groff Red Flags & Your Rights As An Investor Of course, Richard Groff 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 Groff at Charles Schwab & Co. on alert to review carefully the activity and performance of their accounts and question whether Richard Groff has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & 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 Charles Schwab & Co. Due To Richard Groff If you have questions about Charles Schwab & Co. and/or Richard Groff 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

Ricardo Harmsen of Cantella & Co.

DID RICARDO EDUARDO HARMSEN CAUSE YOU INVESTMENT LOSSES? Ricardo Harmsen Of Cantella & Co. And Formerly With Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Ricardo Harmsen of Cantella & Co.? Ricardo Harmsen (CRD #2011149) who is currently registered with Cantella & Co. and located in Pittsboro, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cantella & Co., Ricardo Harmsen was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ricardo Harmsen Customer Complaints Ricardo Harmsen has been the subject of 2 customer complaints that we know about. Both of Ricardo Harmsen’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Ricardo Harmsen 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 Ricardo Harmsen’s impropriety regarding transfer of assets and claimed that his account is missing $200k. Customer alleged Ricardo Harmsen’s unauthorized transactions. Ricardo Harmsen Red Flags & Your Rights As An Investor Of course, Ricardo Harmsen 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 Ricardo Harmsen at Cantella & Co. and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Ricardo Harmsen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cantella & Co. and 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 Cantella & Co. Due To Ricardo Harmsen If you have questions about Cantella & Co., Wells Fargo Clearing Services, and/or Ricardo Harmsen 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

Christopher Harper of Wells Fargo Clearing Services

DID CHRISTOPHER WILKES HARPER CAUSE YOU INVESTMENT LOSSES? Christopher Harper Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Christopher Harper of Wells Fargo Clearing Services? Christopher Harper (CRD #1724983) who is currently registered with Wells Fargo Clearing Services and located in Alpharetta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Christopher Harper Customer Complaint Christopher Harper 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 clients alleged there are features of the annuity that were not explained to them, namely, how the surrender charges work and their affect during the first seven years. Christopher Harper’s customer complaint was settled in favor of the investors. Christopher Harper Red Flags & Your Rights As An Investor Of course, Christopher Harper 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 Christopher Harper at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Christopher Harper 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 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 Wells Fargo Clearing Services Due To Christopher Harper If you have questions about Wells Fargo Clearing Services and/or Christopher Harper 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

Christopher Harpin of Lincoln Financial Securities

DID CHRISTOPHER TAYLOR HARPIN CAUSE YOU INVESTMENT LOSSES? Christopher Harpin Of Lincoln Financial Securities And Formerly With Samuel A Ramirez & Co. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Christopher Harpin of Lincoln Financial Securities? Christopher Harpin (CRD #2329016) who is currently registered with Lincoln Financial Securities and located in Essex, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Lincoln Financial Securities, Christopher Harpin was associated with Samuel A Ramirez & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Christopher Harpin Customer Complaints Christopher Harpin 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 Christopher Harpin’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Christopher Harpin A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Based on allegations of fraud, deceit, untrue statements, omission of material facts, and schemes to defraud, the client of four brokerage accounts established in January 2017 and June 2020 demanded a rescission of all securities purchased plus statutory interest of 10% per annum from the date(s) of purchase allegedly committed by Christopher Harpin. Client purchased stocks in a non-discretionary account on an unsolicited basis and claimed that Christopher Harpin allegedly did not get him out of these stocks in time to avoid losses due to market correction. Christopher Harpin Red Flags & Your Rights As An Investor Of course, Christopher Harpin 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 Christopher Harpin at Lincoln Financial Securities and Samuel A Ramirez & Co. on alert to review carefully the activity and performance of their accounts and question whether Christopher Harpin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lincoln Financial Securities and Samuel A Ramirez & 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 Lincoln Financial Securities Due To Christopher Harpin If you have questions about Lincoln Financial Securities, Samuel A Ramirez & Co., and/or Christopher Harpin 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 Hart of Morgan Stanley

DID ROBERT PAUL HART CAUSE YOU INVESTMENT LOSSES? Robert Hart Of Morgan Stanley And Formerly With Wells Fargo Clearing Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Robert Hart of Morgan Stanley? Robert Hart (CRD #2313194) who is currently registered with Morgan Stanley and located in Marco Island, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Robert Hart was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Hart Customer Complaints Robert Hart has been the subject of 3 customer complaints that we know about. One arbitration award was entered against Wells Fargo Clearing Services for Robert Hart’s alleged misconduct causing investors losses. Two of Robert Hart’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Robert Hart A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Robert Hart allegedly breached his fiduciary duty. Claimant alleged suitability and negligence. The causes of action relate to an investment account and an IRA account allegedly made by Robert Hart. Robert Hart’s alleged unsuitable advice regarding mutual fund investment. Robert Hart Red Flags & Your Rights As An Investor Of course, Robert Hart 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 Hart at Morgan Stanley and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Robert Hart has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and 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 Morgan Stanley Due To Robert Hart If you have questions about Morgan Stanley, Wells Fargo Clearing Services, and/or Robert Hart 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

Frank Dietrich of Quest Capital Strategies

DID FRANK DIETRICH CAUSE YOU INVESTMENT LOSSES? Frank Dietrich Formerly With Quest Capital Strategies, Inc. Has 9 Customer Complaints For Alleged Broker Misconduct Who is Frank Dietrich formerly with Quest Capital Strategies, Inc.? Frank Dietrich (CRD #2506091) who was formerly registered with Quest Capital Strategies, Inc. and located in Laguna Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Frank Dietrich has been the subject of an investigation by FINRA for allegedly soliciting investors to purchase promissory notes relating to or real estate investment fund without the knowledge of his employer. He allegedly sold over $10 million of these notes to investors and received $260,000 in commissions. The real estate fund filed bankruptcy and Frank Dietrich consented to a permanent bar in all capacities. Frank Dietrich Customer Complaints Frank Dietrich has been the subject of 9 customer complaints that we know about. One arbitration award was entered against Quest Capital Strategies, Inc. in the amount of over $275,000 for Frank Dietrich’s alleged misconduct causing investors losses. Five of Frank Dietrich’s 9 customer complaints were settled in favor of investors. There are currently three pending customer complaints filed against Quest Capital Strategies, Inc. for investment losses caused by Frank Dietrich’s alleged misconduct. Allegations Against Frank Dietrich A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged Frank Dietrich’s losses and possible churning. Multiple claimants and separate arbitration proceedings alleged Frank Dietrich’s misrepresentation and omissions, violation of the Securities Act, deceptive trade practices, breach of fiduciary duty and negligence related to the sale of a Woodbridge promissory note that was not approved by the Firm.  Notwithstanding, Quest Capital settled the dispute favorably for the investor. Frank Roland Dietrich was a subject of the customer’s complaint against his member firm that asserted the following causes of action: Frank Dietrich’s alleged violations of federal securities laws; violation of the Virginia securities laws; violation of the Florida securities and investor protection act; breach of contract; common law fraud; breach of fiduciary duty; and negligence and gross negligence. The causes of action relate to Claimants’ investments in promissory notes of the Woodbridge Mortgage Investment Funds 1 and 2. Claimant purchased $400,000 in Woodbridge promissory notes allegedly via Frank Dietrich.  Woodbridge is not affiliated with Firm. Quest has never approved such product and had no knowledge of this activity and transaction. Notwithstanding, Quest Capital settled the dispute favorably for the investor. Claimant bought Mortgage Promissory Note allegedly via Frank Dietrich outside the scope of Firm. Quest had no knowledge about this activity and transaction. Notwithstanding, Quest Capital settled the dispute favorably for the investor. Claimant has never been a customer of Quest Capital (Firm). She purchased a $633,880 Mortgage Promissory Note with Woodbridge allegedly via Frank Dietrich outside the scope of Firm. Woodbridge is not affiliated with Firm. Quest has never approved such product and had no knowledge of this activity and transaction. Notwithstanding, Quest Capital settled the dispute favorably for the investor. Frank Dietrich Red Flags & Your Rights As An Investor Of course, Frank Dietrich 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 Frank Dietrich at Quest Capital Strategies, Inc. on alert to review carefully the activity and performance of their accounts and question whether Frank Dietrich has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Quest Capital Strategies, 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 Quest Capital Strategies, Inc. Due To Frank Dietrich If you have questions about Quest Capital Strategies. Inc. and/or Frank Dietrich 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

Douglas Digiorno of UBS Financial Services

DID DOUGLAS DIGIORNO CAUSE YOU INVESTMENT LOSSES? Douglas Digiorno Of UBS Financial Services Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Douglas Digiorno of UBS Financial Services Inc.? Douglas Digiorno (CRD #2702739) who is currently registered with UBS Financial Services Inc. and located in Naples, Florida is a subject of one of our many securities industry sales practice abuse investigations. Douglas Digiorno Customer Complaint Douglas Digiorno has been the subject ofat least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that his line of credit and aggressive portfolio were unsuitable in light of his age and retirement. The customer complaint filed against Douglas Digiorno’s current employer UBS Financial Services Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Douglas Digiorno Red Flags & Your Rights As An Investor Of course, Douglas Digiorno 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 Douglas Digiorno at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Douglas Digiorno 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 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 Inc. Due To Douglas Digiorno If you have questions about UBS Financial Services Inc. and/or Douglas Digiorno 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 Diller of Wells Fargo Clearing Services

DID JOSEPH DILLER CAUSE YOU INVESTMENT LOSSES? Joseph Diller Of Wells Fargo Clearing Services, LLC And Formerly With Ameriprise Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joseph Diller of Wells Fargo Clearing Services, LLC? Joseph Diller (CRD #1922137) who is currently registered with Wells Fargo Clearing Services, LLC and located in Woodland Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Joseph Diller was associated with Ameriprise Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joseph Diller Customer Complaints Joseph Diller has been the subject of 2 customer complaints that we know about. One of Joseph Diller’s 2 customer complaints was settled in favor of investors. One of Joseph Diller’s customers complaints was denied and, to date, the customer has not taken any further action. Allegations Against Joseph Diller 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 he received a poor recommendation regarding equity securities by Joseph Diller. Client alleges misrepresentation of auction rate securities and failure to place stop loss orders on stock positions by Joseph Diller. Joseph Diller Red Flags & Your Rights As An Investor Of course, Joseph Diller 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 Diller at Wells Fargo Clearing Services, LLC and Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Joseph Diller has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC and 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 Wells Fargo Clearing Services, LLC Due To Joseph Diller If you have questions about Wells Fargo Clearing Services, LLC, Ameriprise Financial Services, and/or Joseph Diller 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

Celeste Dinerman of Morgan Stanley

DID CELESTE DINERMAN CAUSE YOU INVESTMENT LOSSES? Celeste Dinerman Of Morgan Stanley Has 4 Customer Complaints For Alleged Broker Misconduct Who is Celeste Dinerman of Morgan Stanley? Celeste Dinerman (CRD #2942377) who is currently registered with Morgan Stanley and located in West Hartford, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Celeste Dinerman Customer Complaints Celeste Dinerman has been the subject of 4 customer complaints that we know about. Three of Celeste Dinerman’s 4 customer complaints were settled in favor of investors. One of Celeste Dinerman’s customers’ complaints was denied and the customer has not taken any further action. Allegations Against Celeste Dinerman 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 Celeste Dinerman’s misrepresentation regarding managed account investment. Client alleged Celeste Dinerman’s misrepresentation relating to a mutual fund investment. Client alleged that the sale of a variable and fixed annuity by Celeste Dinerman was unsuitable. Client alleged, inter alia, that the surrender of an annuity and the purchase of another were misrepresented by Celeste Dinerman. Alleged damages unspecified. Celeste Dinerman Red Flags & Your Rights As An Investor Of course, Celeste Dinerman 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 Celeste Dinerman at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Celeste Dinerman 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 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 Morgan Stanley Due To Celeste Dinerman If you have questions about Morgan Stanley and/or Celeste Dinerman 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 Doherty of Merrill Lynch Pierce Fenner & Smith

DID JOHN DOHERTY CAUSE YOU INVESTMENT LOSSES? John Doherty Of Merrill Lynch Pierce Fenner & Smith Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is John Doherty of Merrill Lynch Pierce Fenner & Smith Inc.? John Doherty (CRD #1410645) who is currently registered with Merrill Lynch Pierce Fenner & Smith Inc. and located in Boston, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. John Doherty Customer Complaints John Doherty has been the subject of 3 customer complaints that we know about. One of John Doherty’s customers’ complaints was denied and, to date, the customer has not taken any further action. There are currently two pending customer complaints filed against Merrill Lynch Pierce Fenner & Smith Inc. for investment losses caused by John Doherty’s alleged misconduct. Allegations Against John Doherty 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 misappropriation of funds by John Doherty. The customer alleged that John Doherty, acting as the former trustee of the revocable trust, as the former agent in fact for customer and as his financial advisor, misappropriated funds. The customers alleged John Doherty’s unsuitable investment recommendations. John Doherty Red Flags & Your Rights As An Investor Of course, John Doherty 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 Doherty at Merrill Lynch Pierce Fenner & Smith Inc. on alert to review carefully the activity and performance of their accounts and question whether John Doherty has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith Inc. also raises questions about the brokerage 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 Inc. Due To John Doherty If you have questions about Merrill Lynch Pierce Fenner & Smith Inc. and/or John Doherty 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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