Mar 8, 2022

John Dobbertin of American Portfolio Advisors

DID JOHN DOBBERTIN CAUSE YOU INVESTMENT LOSSES? John Dobbertin of American Portfolios Advisors, Inc., American Portfolios Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is John Dobbertin of American Portfolios Advisors, Inc.? John Dobbertin (CRD #3254308) who is currently registered with American Portfolios Advisors, Inc., American Portfolios Financial Services and located in Fayetteville, New York is a subject of one of our many securities industry sales practice abuse investigations. John Dobbertin Customer Complaint John Dobbertin has been the subject ofat least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were Violations of FINRA Rules 2110 and 2111, misrepresentation and omissions of material facts, and breach of fiduciary duty. The customer complaint filed against John Dobbertin’s current employer American Portfolios Advisors, Inc. and American Portfolios Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. John Dobbertin Red Flags & Your Rights As An Investor Of course, John Dobbertin 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 Dobbertin at American Portfolios Advisors, Inc., American Portfolios Financial Services on alert to review carefully the activity and performance of their accounts and question whether John Dobbertin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Portfolios Advisors, Inc., American Portfolios 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 American Portfolios Advisors, Inc. Due To John Dobbertin If you have questions about American Portfolios Advisors, Inc., American Portfolios Financial Services, and/or John Dobbertin 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 Dixon of Independent Financial Group

DID JOHN DIXON CAUSE YOU INVESTMENT LOSSES? John Dixon Of Independent Financial Group, LLC And Formerly With LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is John Dixon of Independent Financial Group, LLC? John Dixon (CRD #4239339) who is currently registered with Independent Financial Group, LLC and located in Pocatello, Idaho is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Independent Financial Group, John Dixon was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Dixon Customer Complaint John Dixon has been the subject ofat least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that a variety of investments were unsuitable and that LPL failed to meet due diligence requirements. Claimant also alleges fraud, misrepresentation, breach of fiduciary duty, negligent failure to supervise and negligence on behalf of respondent. John Dixon’s customer complaint was settled in favor of the investors. John Dixon Red Flags & Your Rights As An Investor Of course, John Dixon 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 Dixon at Independent Financial Group, LLC and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether John Dixon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Independent Financial Group, LLC and LPL 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 Independent Financial Group, LLC Due To John Dixon If you have questions about Independent Financial Group, LLC, LPL Financial, and/or John Dixon 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

Timothy Dolan of Edward Jones

DID TIMOTHY DOLAN CAUSE YOU INVESTMENT LOSSES? Timothy Dolan Of Edward Jones Has 5 Customer Complaints For Alleged Broker Misconduct Who is Timothy Dolan of Edward Jones? Timothy Dolan (CRD #1716037) who is currently registered with Edward Jones and located in North Kansas City, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Timothy Dolan Customer Complaints Timothy Dolan has been the subject of 5 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. Two of Timothy Dolan’s 5 customer complaints were settled in favor of investors. Three of Timothy Dolan’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Timothy Dolan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleges the sell of $25,000 Moberly MO Certificates of Participation 4.4% was the result of the poor advice/recommendation of Timothy Dolan. Client claims she met with Timothy Dolan allegedly to make changes in her funds which client believed would be a safer investment. Client claims she wanted the majority of her funds in a bond fund and was told by the Timothy Dolan there were no bond funds client could place her money in and was advised to leave her money as it was. Client claims she insisted on being more diversified but Timothy Dolan only offered a CD. Client claims she informed the Timothy Dolan she did not want to do that and was given no other options by Timothy Dolan. Client claims she later learned there was a bond fund with American Funds client could have moved to. Client is dissatisfied with the performance of her account and claims she has lost most of her money. Client claims she was told she was being put into secure funds allegedly by Timothy Dolan and now believes that was not true. The client alleged Timothy Dolan misrepresented that assets would not be sold to convert her Advisory Solutions SEP IRA to an Advisory Solutions IRA account. The client claims that Timothy Dolan was told that the account owner was incapable of making sound investment decisions and the complainant (the account owner’s wife) was an inexperienced investor. The complainant states that they did not want to risk or any loss of money and the ability to withdraw funds. The complainant states that the Timothy Dolan told her she would need a POA and she stated that she would speak to a military attorney. Timothy Dolan allegedly recommended mutual funds and would assist with the transfer of funds from the account owners TSP. The complainant states Timothy Dolan contacted her and said the funds were available to make the investments and the complainant states she told Timothy Dolan that the account owner was not home but she thought it was ok to go ahead. Upon receipt of the July statement the complainant was surprised at the decrease in value of the account. She tried to contact the branch and ended up talking with client services. The complainant states she was not told the investments would be subject to the market. The complainant states that account owner gave instructions to liquidate the account and transfer out of Edward Jones. The complainant is requesting the return of the investment in full. Timothy Dolan Red Flags & Your Rights As An Investor Of course, Timothy Dolan 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 Timothy Dolan at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Timothy Dolan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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 Edward Jones Due To Timothy Dolan If you have questions about Edward Jones and/or Timothy Dolan 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

Theodore Elliot of Raymond James Financial Services

DID THEODORE ELLIOTT CAUSE YOU INVESTMENT LOSSES? Theodore Elliott Of Raymond James Financial Services, Inc., Raymond James Financial Services Advisors Has 2 Customer Complaints For Alleged Broker Misconduct Who is Theodore Elliott of Raymond James Financial Services, Inc.? Theodore Elliott (CRD #1901850) who is currently registered with Raymond James Financial Services, Inc., Raymond James Financial Services Advisors and located in White Bear Lake, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Theodore Elliott Customer Complaints Theodore Elliott has been the subject of 2 customer complaints that we know about. One of Theodore Elliott’s 2 customer complaints was settled in favor of investors. One of Theodore Elliott’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Theodore Elliott 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 Theodore Elliott’s investments were unsuitable. Customers verbally alleged that the annuity they bought from Theodore Elliott was not sold to them in the right way. Customers were told the death benefit would double from $500,000 to $1,000,000 and that they would always be able to pull money out. Theodore Elliott Red Flags & Your Rights As An Investor Of course, Theodore Elliott 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 Theodore Elliott at Raymond James Financial Services, Inc. and Raymond James Financial Services Advisors on alert to review carefully the activity and performance of their accounts and question whether Theodore Elliott has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, Inc. and Raymond James Financial Services 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 Raymond James Financial Services, Inc. Due To Theodore Elliott If you have questions about Raymond James Financial Services, Inc. Raymond James Financial Services Advisors, and/or Theodore Elliott 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

Gregory Eknoyan of UBS Financial Services

DID GREGORY EKNOYAN CAUSE YOU INVESTMENT LOSSES? Gregory Eknoyan Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Gregory Eknoyan of UBS Financial Services Inc.? Gregory Eknoyan (CRD #2181009) who is currently registered with UBS Financial Services Inc. and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Gregory Eknoyan Customer Complaints Gregory Eknoyan has been the subject of 2 customer complaints that we know about. One of Gregory Eknoyan’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 UBS Financial Services Inc. for investment losses caused by Gregory Eknoyan’s alleged misconduct. Allegations Against Gregory Eknoyan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Gregory Eknoyan’s alleged fraud, mishandling of account, margin dispute, never informed of the risks of investing. Claimant’s counsel alleged Gregory Eknoyan’s unsuitable investment recommendations and misrepresentations with respect to recommendations to invest in and hold an options overlay strategy. Gregory Eknoyan Red Flags & Your Rights As An Investor Of course, Gregory Eknoyan 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 Gregory Eknoyan at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Gregory Eknoyan 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 Gregory Eknoyan If you have questions about UBS Financial Services Inc. and/or Gregory Eknoyan 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

Barry Eisenberg of Alexander Capital

DID BARRY EISENBERG CAUSE YOU INVESTMENT LOSSES? Barry Eisenberg Of Alexander Capital, L.P. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Barry Eisenberg of Alexander Capital? Barry Eisenberg (CRD #2313107) who is currently registered with Alexander Capital, L.P. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Barry Eisenberg has also been the subject of an investigation by the United States Securities and Exchange Commission for allegedly violating the Securities Exchange Act of 1934. It was alleged that he failed to adequately supervise activities at the brokerage firm where he worked. He consented to a sanction of not acting in the supervisory capacity in any brokerage firm for a period of 5 years and a fine of $15,000. Barry Eisenberg Customer Complaints Barry Eisenberg 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 Barry Eisenberg’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Alexander Capital, L.P. for investment losses caused by Barry Eisenberg’s alleged misconduct. Allegations Against Barry Eisenberg A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Barry Eisenberg’s alleged failure to supervise. Failure to supervise allegedly by Barry Eisenberg. Barry Eisenberg Red Flags & Your Rights As An Investor Of course, Barry Eisenberg 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 Barry Eisenberg at Alexander Capital, L.P. on alert to review carefully the activity and performance of their accounts and question whether Barry Eisenberg has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Alexander Capital, L.P. 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 Alexander Capital, L.P. Due To Barry Eisenberg If you have questions about Alexander Capital, L.P. and/or Barry Eisenberg and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Thomas Eifler of The Investment Center

DID THOMAS EIFLER CAUSE YOU INVESTMENT LOSSES? Thomas Eifler Formerly With The Investment Center, Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Thomas Eifler formerly with The Investment Center, Inc.? Thomas Eifler (CRD #1817915) who was formerly registered with The Investment Center, Inc. and located in Plano, Texas is a subject of one of our many securities industry sales practice abuse investigations. Thomas Eifler Customer Complaint Thomas Eifler has been the subject ofat least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses concerned Mr. Eifler’s servicing of two discretionary advisory accounts that were charged “wrap account” fees, as well as the purchase of certain insurance products outside of the Firm. The customer complaint filed against Tamp Advisory Solutions for investment losses caused by the alleged misconduct is pending as of the date of this report. Thomas Eifler Red Flags & Your Rights As An Investor Of course, Thomas Eifler did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Thomas Eifler at The Investment Center, Inc. on alert to review carefully the activity and performance of their accounts and question whether Thomas Eifler has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The Investment Center, 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 The Investment Center, Inc. Due To Thomas Eifler If you have questions about The Investment Center, Inc. and/or Thomas Eifler 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

Travis Eiland of HD Vest Investment Services

DID TRAVIS EILAND CAUSE YOU INVESTMENT LOSSES? Travis Eiland Formerly With HD Vest Investment Services Has One Customer Complaint For Alleged Broker Misconduct Who is Travis Eiland formerly with HD Vest Investment Services? Travis Eiland (CRD #4127872) who was formerly registered with HD Vest Investment Services and located in Bayton, Texas is a subject of one of our many securities industry sales practice abuse investigations. Travis Eiland Customer Complaint Travis Eiland 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 the claimants incurred a loss in their account because of unsuitable and excessive trading. The customer complaint filed against Travis Eiland’s former employer Avantax Investment Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Travis Eiland Red Flags & Your Rights As An Investor Of course, Travis Eiland 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 Travis Eiland at HD Vest Investment Services on alert to review carefully the activity and performance of their accounts and question whether Travis Eiland has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at HD Vest Investment Services also raises questions about the brokerage firm’ssupervisory 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 HD Vest Investment Services Due To Travis Eiland If you have questions about HD Vest Investment Services and/or Travis Eiland 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

Daniel Egbert of UBS Financial Services

DID DANIEL EGBERT CAUSE YOU INVESTMENT LOSSES? Daniel Egbert Of UBS Financial Services Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Daniel Egbert of UBS Financial Services Inc.? Daniel Egbert (CRD #3126238) who is currently registered with UBS Financial Services Inc. and located in Bethesda, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Daniel Egbert Customer Complaint Daniel Egbert 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 a failure to supervise investments made in his accounts. Daniel Egbert’s customer complaint was denied and, to date, the customer has not taken any further action. Daniel Egbert Red Flags & Your Rights As An Investor Of course, Daniel Egbert 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 Daniel Egbert at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Daniel Egbert 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 Daniel Egbert If you have questions about UBS Financial Services Inc. and/or Daniel Egbert 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 Egan of Moors & Cabot

DID MICHAEL EGAN CAUSE YOU INVESTMENT LOSSES? Michael Egan Formerly With Moors & Cabot, Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Michael Egan formerly with Moors & Cabot, Inc.? Michael Egan (CRD #2124653) who was formerly registered with Moors & Cabot, Inc. and located in Naples, Florida is a subject of one of our many securities industry sales practice abuse investigations. Michael Egan Customer Complaint Michael Egan 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 misrepresentations, omissions, failure to supervise, breach of fiduciary duty, and breach of contract in connection with Prepaid Variable Forward Contract transactions for OMC stock. The customer complaint filed against Michael Egan’s former employer Moors & Cabot, Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Michael Egan Red Flags & Your Rights As An Investor Of course, Michael Egan 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 Egan at Moors & Cabot, Inc. on alert to review carefully the activity and performance of their accounts and question whether Michael Egan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Moors & Cabot, 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 Moors & Cabot, Inc. Due To Michael Egan If you have questions about Moors & Cabot, Inc. and/or Michael Egan 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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