Mar 8, 2022

Ghazaleh Ebrahimi of Aegis Capital

DID GHAZALEH EBRAHIMI CAUSE YOU INVESTMENT LOSSES? Ghazaleh Ebrahimi Of Aegis Capital Corp. And Formerly With Stifel Nicolaus & Company, Inc. Has 5 Customer Complaints For Alleged Broker Misconduct Who is Ghazaleh Ebrahimi of Aegis Capital Corp.? Ghazaleh Ebrahimi (CRD #2873246) who is currently registered with Aegis Capital Corp. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital Corp., Ghazaleh Ebrahimi was associated with Stifel Nicolaus & Company and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ghazaleh Ebrahimi Customer Complaints Ghazaleh Ebrahimi 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. All of Ghazaleh Ebrahimi’s 5 customer complaints were settled in favor of investors. Allegations Against Ghazaleh Ebrahimi 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 Ghazaleh Ebrahimi’s violation of standards of reasonable basis suitability (FINRA Rule 2310(b)) just and equitable principles of trade (FINRA Rule 2010; fraud, misleading statements, misleading omissions of material information; breach of fiduciary duty; negligent misrepresentation; negligence; breach of contract and warranty; third party beneficiary breach of contract; breach of the covenant of good faith and fair dealing; elder abuse; and aiding and abetting financial elder abuse. Claimants alleged Ghazaleh Ebrahimi’s breach of fiduciary duty; negligence; breach of contract; common law fraud and deceit; violations of FINRA rules 2310, 2210, 2110 , 2120 and 3010. Client verbally alleged that Ghazaleh Ebrahimi recommended an unsuitable investment in an inverse/leveraged ETF. Clients alleged that their investments made by Ghazaleh Ebrahimi in reverse convertible notes were unsuitable due to the fact that the investments’ recent market performance exhibited more volatility than the customer was willing to accept. Customer purchased reverse convertible bonds and claims that these investments allegedly recommended by Ghazaleh Ebrahimi were not suitable. Ghazaleh Ebrahimi Red Flags & Your Rights As An Investor Of course, Ghazaleh Ebrahimi 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 Ghazaleh Ebrahimi at Aegis Capital Corp. and Stifel Nicolaus & Company on alert to review carefully the activity and performance of their accounts and question whether Ghazaleh Ebrahimi has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp. and Stifel Nicolaus & 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 Aegis Capital Corp. Due To Ghazaleh Ebrahimi If you have questions about Aegis Capital Corp., Stifel Nicolaus & Company, and/or Ghazaleh Ebrahimi 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

Craig Eastwood of Ameriprise Financial Services

DID CRAIG EASTWOOD CAUSE YOU INVESTMENT LOSSES? Craig Eastwood Of Ameriprise Financial Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Craig Eastwood of Ameriprise Financial Services, LLC? Craig Eastwood (CRD #2931709) who is currently registered with Ameriprise Financial Services, LLC and located in Hershey, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Craig Eastwood Customer Complaints Craig Eastwood has been the subject of 2 customer complaints that we know about. Both of Craig Eastwood’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Craig Eastwood A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Clients alleged Craig Eastwood’s unsuitable investments that resulted in losses. The client alleged she was sold a variable annuity by Craig Eastwood which was unsuitable. Craig Eastwood Red Flags & Your Rights As An Investor Of course, Craig Eastwood 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 Craig Eastwood at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Craig Eastwood has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, 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 Ameriprise Financial Services, LLC Due To Craig Eastwood If you have questions about Ameriprise Financial Services, LLC and/or Craig Eastwood 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

Jeffrey Dvorak of Principal Securities

DID JEFFREY DVORAK CAUSE YOU INVESTMENT LOSSES? Jeffrey Dvorak Of Principal Securities, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jeffrey Dvorak of Principal Securities? Jeffrey Dvorak (CRD #2372602) who is currently registered with Principal Securities, Inc. and located in Panora, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Jeffrey Dvorak Customer Complaints Jeffrey Dvorak 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. Both of Jeffrey Dvorak’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Jeffrey Dvorak A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged Jeffrey Dvorak’s unsuitable sale of three variable annuities. Client alleged she took an unsuitable early distribution from her IRA account at the advice of her registered representative, allegedly Jeffrey Dvorak. Jeffrey Dvorak Red Flags & Your Rights As An Investor Of course, Jeffrey Dvorak 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 Jeffrey Dvorak at Principal Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Dvorak has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Principal Securities, 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 Principal Securities, Inc. Due To Jeffrey Dvorak If you have questions about Principal Securities, Inc. and/or Jeffrey Dvorak 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

Mickey Dubberly of Equitable Advisors

DID MICKEY DUBBERLY CAUSE YOU INVESTMENT LOSSES? Mickey Dubberly Of Equitable Advisors, LLC And Formerly With Bankers Life Securities, David Lerner Associates Has One Customer Complaint For Alleged Broker Misconduct Who is Mickey Dubberly of Equitable Advisors, LLC? Mickey Dubberly (CRD #4200897) who is currently registered with Equitable Advisors, LLC and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Equitable Advisors, LLC, Mickey Dubberly was associated with Bankers Life Securities, David Lerner Associates and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mickey Dubberly Customer Complaint Mickey Dubberly 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 unsuitability, misrepresentation/omission, failure to supervise, breach of fiduciary duty. Mickey Dubberly’s customer complaint was settled in favor of the investors. Mickey Dubberly Red Flags & Your Rights As An Investor Of course, Mickey Dubberly 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 Mickey Dubberly at Equitable Advisors, LLC, Bankers Life Securities and David Lerner Associates on alert to review carefully the activity and performance of their accounts and question whether Mickey Dubberly has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, LLC, Bankers Life Securities and David Lerner Associates 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 Equitable Advisors, LLC Due To Mickey Dubberly If you have questions about Equitable Advisors, LLC, Bankers Life Securities, David Lerner Associates, and/or Mickey Dubberly 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 Dunfee of Key Investment Services

DID DAVID DUNFEE CAUSE YOU INVESTMENT LOSSES? David Dunfee Of Key Investment Services LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is David Dunfee of Key Investment Services LLC? David Dunfee (CRD #2607525) who is currently registered with Key Investment Services LLC and located in Bangor, Maine is a subject of one of our many securities industry sales practice abuse investigations. David Dunfee Customer Complaints David Dunfee 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. One of David Dunfee’s 3 customer complaints was settled in favor of investors. Two of David Dunfee’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against David Dunfee A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client sent emails to David Dunfee alleging various issues, (poor recommendation, poor performance, poor service and unauthorized trading) regarding the $400,024.18 investment in the Jackson National Perspective II Variable Annuity. Client’s daughter sent email to KIS Service Center alleging that David Dunfee’s alleged solicitation of the additional deposit into the Protective Variable Annuity II Series B in the amount of $985,000.00 purchased was financial exploitation, and resulted in a tax bill of $48,000. Customer alleged David Dunfee’s misrepresentation of products purchased within the account. David Dunfee Red Flags & Your Rights As An Investor Of course, David Dunfee 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 Dunfee at Key Investment Services LLC on alert to review carefully the activity and performance of their accounts and question whether David Dunfee has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Key Investment Services 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 Key Investment Services LLC Due To David Dunfee If you have questions about Key Investment Services LLC and/or David Dunfee 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

Andrew Drost of Ameriprise Financial Services

DID ANDREW DROST CAUSE YOU INVESTMENT LOSSES? Andrew Drost Of Ameriprise Financial Services, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Andrew Drost of Ameriprise Financial Services, LLC? Andrew Drost (CRD #2466963) who is currently registered with Ameriprise Financial Services, LLC and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Andrew Drost Customer Complaints Andrew Drost has been the subject of 3 customer complaints that we know about. One arbitration award was entered against Ameriprise Financial Services, LLC for Andrew Drost’s alleged misconduct causing investors losses. One of Andrew Drost’s customers’ complaints was denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Ameriprise Financial Services, LLC for investment losses caused by Andrew Drost’s alleged misconduct. Allegations Against Andrew Drost A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants and owners of K&C Realty allege that Andrew Drost recommended they make an unsuitable 1031 Exchange with the proceeds of the sale of a building and reinvest the sale proceeds in three TIC investments in order to defer capital gains. Claimants alleged that one of the three TIC’s recommended was unsuitable and that they did not know that it was a TIC investment when the distributions were suspended. The client alleged their REIT purchases allegedly made by Andrew Drost were unsuitable. Andrew Drost’s alleged unsuitable investments; violations of FINRA conduct rules; negligent misrepresentations; breach of fiduciary duty; constructive fraud; breach of contract. Andrew Drost Red Flags & Your Rights As An Investor Of course, Andrew Drost 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 Andrew Drost at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Andrew Drost has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, 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 Ameriprise Financial Services, LLC Due To Andrew Drost If you have questions about Ameriprise Financial Services, LLC and/or Andrew Drost 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 Doyle of Aegis Capital

DID KEVIN DOYLE CAUSE YOU INVESTMENT LOSSES? Kevin Doyle Of Aegis Capital Corp. And Formerly With National Securities and Newbridge Securities Has 3 Customer Complaints For Alleged Broker Misconduct Who is Kevin Doyle of Aegis Capital Corp.? Kevin Doyle (CRD #2189452) who is currently registered with Aegis Capital Corp. and located in Mineola, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital Corp., Kevin Doyle was associated with National Securities, Newbridge Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kevin Doyle Customer Complaints Kevin Doyle has been the subject of 3 customer complaints that we know about. Two of Kevin Doyle’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Newbridge Securities for investment losses caused by Kevin Doyle’s alleged misconduct. Allegations Against Kevin Doyle A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Kevin Doyle’s alleged improper trading. The client claims Kevin Doyle allegedly made unsuitable recommendations not in line with investment objectives. Kevin Doyle’s alleged unsuitability, fraudulent and misleading conduct, omission of facts, negligence, various statutory violations and UAT. Kevin Doyle Red Flags & Your Rights As An Investor Of course, Kevin Doyle 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 Doyle at Aegis Capital Corp., National Securities, and Newbridge Securities on alert to review carefully the activity and performance of their accounts and question whether Kevin Doyle has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp., National Securities, and Newbridge 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 Aegis Capital Corp. Due To Kevin Doyle If you have questions about Aegis Capital Corp., National Securities, Newbridge Securities, and/or Kevin Doyle 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 Doyle of Raymond James & Associates

DID KEVIN DOYLE CAUSE YOU INVESTMENT LOSSES? Kevin Doyle Of Raymond James & Associates, Inc. And Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Kevin Doyle of Raymond James & Associates, Inc.? Kevin Doyle (CRD #2102345) who is currently registered with Raymond James & Associates, Inc. and located in Tulsa, Oklahoma is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James & Associates, Inc., Kevin Doyle was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kevin Doyle Customer Complaints Kevin Doyle has been the subject of 2 customer complaints that we know about. One of Kevin Doyle’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against MSSB for investment losses caused by Kevin Doyle’s alleged misconduct. Allegations Against Kevin Doyle 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, inter alia, Kevin Doyle’s excessive trading with respect to investments. Claimants alleged, inter alia, that their investment strategy allegedly made by Kevin Doyle was unsuitable. Kevin Doyle Red Flags & Your Rights As An Investor Of course, Kevin Doyle 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 Doyle at Raymond James & Associates, Inc. and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Kevin Doyle has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates, Inc. and 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 Raymond James & Associates, Inc. Due To Kevin Doyle If you have questions about Raymond James & Associates, Inc., Morgan Stanley, and/or Kevin Doyle 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

Gerard Dougherty of Lincoln Financial Securities

DID GERARD DOUGHERTY CAUSE YOU INVESTMENT LOSSES? Gerard Dougherty Formerly With Lincoln Financial Securities Corp. Has One Customer Complaint For Alleged Broker Misconduct Who is Gerard Dougherty formerly with Lincoln Financial Securities Corp.? Gerard Dougherty (CRD #2204333) who was formerly registered with Lincoln Financial Securities Corp. and located in Dedham, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Gerard Dougherty Customer Complaint Gerard Dougherty 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 they are elderly investors and were recommended unsuitable and inappropriate fixed annuities. The customer complaint filed against Gerard Dougherty’s former employer Lincoln Financial Securities Corp. for investment losses caused by the alleged misconduct is pending as of the date of this report. Gerard Dougherty Red Flags & Your Rights As An Investor Of course, Gerard Dougherty 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 Gerard Dougherty at Lincoln Financial Securities Corp. on alert to review carefully the activity and performance of their accounts and question whether Gerard Dougherty has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lincoln Financial Securities Corp. 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 Lincoln Financial Securities Corp. Due To Gerard Dougherty If you have questions about Lincoln Financial Securities Corp. and/or Gerard Dougherty 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

Scott Dorer of Securities America

DID SCOTT DORER CAUSE YOU INVESTMENT LOSSES? Scott Dorer Of Securities America, Inc., Managed Money Concepts Has A Customer Complaint For Alleged Broker Misconduct Who is Scott Dorer of Securities America, Inc.? Scott Dorer (CRD #1561880) who is currently registered with Securities America, Inc., Managed Money Concepts and located in Lansing, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Scott Dorer Customer Complaint Scott Dorer 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 breach of contract; breach of fiduciary duty; and breach of duty of good faith, loyalty and fair dealing relating to the withdrawal of funds from advisory account. The customer complaint filed against Scott Dorer’s current employer Securities America for investment losses caused by the alleged misconduct is pending as of the date of this report. Scott Dorer Red Flags & Your Rights As An Investor Of course, Scott Dorer 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 Scott Dorer at Securities America, Inc. and Managed Money Concepts on alert to review carefully the activity and performance of their accounts and question whether Scott Dorer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America, Inc. and Managed Money Concepts also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Securities America, Inc. Due To Scott Dorer If you have questions about Securities America, Inc., Managed Money Concepts, and/or Scott Dorer 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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