Mar 8, 2022

Kevin Houser of Ameriprise Financial Services

DID KEVIN DOUGLAS HOUSER CAUSE YOU INVESTMENT LOSSES? Kevin Houser Of Ameriprise Financial Services And Formerly With LPL Financial Has 4 Customer Complaints For Alleged Broker Misconduct Who is Kevin Houser of Ameriprise Financial Services? Kevin Houser (CRD #2513167) who is currently registered with Ameriprise Financial Services and located in Center Valley, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, Kevin Houser was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kevin Houser Customer Complaints Kevin Houser has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. There are currently four pending customers’ complaints filed against LPL Financial for investment losses caused by Kevin Houser’s alleged misconduct. Allegations Against Kevin Houser A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged that they invested in Franklin Square BDC’s and AXA annuities upon their Kevin Houser’s misleading recommendation, which did not suit their allegedly conservative investment profile. Kevin Houser’s allegedly made unsuitable investment recommendations. Kevin Houser Red Flags & Your Rights As An Investor Of course, Kevin Houser 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 Houser at Ameriprise Financial Services and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Kevin Houser has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services and LPL Financial 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 Due To Kevin Houser If you have questions about Ameriprise Financial Services, LPL Financial, and/or Kevin Houser 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

Linda Howard of Waddell & Reed

DID LINDA KAREN HOWARD CAUSE YOU INVESTMENT LOSSES? Linda Howard Of Waddell & Reed Has 5 Customer Complaints For Alleged Broker Misconduct Who is Linda Howard of Waddell & Reed? Linda Howard (CRD #1922648) who is currently registered with Waddell & Reed and located in San Antonio, Texas is a subject of one of our many securities industry sales practice abuse investigations. Linda Howard Customer Complaints Linda Howard has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of Linda Howard’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Waddell & Reed for investment losses caused by Linda Howard’s alleged misconduct. Allegations Against Linda Howard A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Attorney for the executor of the client’s estate alleged Linda Howard engaged in false and misleading conduct with former POA agent in relation to opening an account in the client’s name, allowing the agent to designate beneficiaries other than the estate, and conspiring with the agent to deplete the assets of the estate. Client alleged Linda Howard’s purchase of a Exchange Traded Product was not authorized. Client also claimed her signature was forged. Client stated Linda Howard allegedly suggested moving funds from an annuity to a regular account with Edward Jones which resulted in creating a significant tax liability. Client alleged Howard should have been aware of the tax liability and should have provided this information to her prior to the surrender of the annuity. Client’s children, one of whom holds power of attorney, stated the client conducted business with Linda Howard allegedly unbeknownst to them. Children stated that their mother was evaluated and determined to have cognitive deficits. Children further alleged that their mother began living in a nursing home. Guardian for deceased client stated Linda Howard allegedly recommended investments that were unsuitable for the ward. Linda Howard Red Flags & Your Rights As An Investor Of course, Linda Howard 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 Linda Howard at Waddell & Reed on alert to review carefully the activity and performance of their accounts and question whether Linda Howard has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Waddell & Reed 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 Waddell & Reed Due To Linda Howard If you have questions about Waddell & Reed and/or Linda Howard 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

Darryl Hudspeth of NYLIFE Securities

DID DARRYL CRAIG HUDSPETH CAUSE YOU INVESTMENT LOSSES? Darryl Hudspeth Of NYLIFE Securities And Eagle Strategies Has A Customer Complaint For Alleged Broker Misconduct Who is Darryl Hudspeth of NYLIFE Securities? Darryl Hudspeth (CRD #2925601) who is currently registered with NYLIFE Securities, Eagle Strategies and located in Lakewood, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Darryl Hudspeth Customer Complaint Darryl Hudspeth has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that the taxable nature of a 1035 exchange of a variable universal life insurance policy used to purchase a fixed custom whole life insurance policy had been misrepresented. Darryl Hudspeth’s customer complaint was settled in favor of the investors. Darryl Hudspeth Red Flags & Your Rights As An Investor Of course, Darryl Hudspeth 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 Darryl Hudspeth at NYLIFE Securities and Eagle Strategies on alert to review carefully the activity and performance of their accounts and question whether Darryl Hudspeth has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLIFE Securities and Eagle Strategies 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 Darryl Hudspeth If you have questions about NYLIFE Securities, Eagle Strategies, and/or Darryl Hudspeth 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

Paul Hulen of Raymond James & Associates

DID PAUL MICHAEL HULEN CAUSE YOU INVESTMENT LOSSES? Paul Hulen Of Raymond James & Associates And Formerly With Edward Jones Has 8 Customer Complaints For Alleged Broker Misconduct Who is Paul Hulen of Raymond James & Associates? Paul Hulen (CRD #2237101) who is currently registered with Raymond James & Associates and located in St Louis, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James & Associates, Paul Hulen was associated with Edward Jones and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Paul Hulen Customer Complaints Paul Hulen has been the subject of 8 customer complaints that we know about. One of Paul Hulen’s 8 customer complaints was settled in favor of investors. Seven of Paul Hulen’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Paul Hulen 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 Paul Hulen was not managing her accounts in a responsible manner and has no way to replace the funds that she has lost. Allegations of breach of fiduciary duty, negligence, and breach of SEC and NASD regulations; conversion and fraud by Paul Hulen. Client alleged misrepresentation as to fees and commissions by Paul Hulen. Client claimed due to Paul Hulen’s alleged mismanagement of their accounts, the value of their portfolio was reduced by 50%. Clients claimed the losses “grossly” exceeded their ability and willingness to front such risk to their savings. Client claimed her objectives were incorrect. She claimed she is 66 years old and on a fixed income. Client claimed she did not need the money for 2 years, however, did not expect to have any aggressive investments. Client is dissatisfied with the service and advice she received allegedly from Paul Hulen. Cousin for client wrote stating the client was placed in all mutual funds and did not understand commissions nor was it explained that the income from the account could be taken out of her original principal investment. Paul Hulen Red Flags & Your Rights As An Investor Of course, Paul Hulen 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 Paul Hulen at Raymond James & Associates and Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Paul Hulen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates and 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 Raymond James & Associates Due To Paul Hulen If you have questions about Raymond James & Associates, Edward Jones, and/or Paul Hulen 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

Bradley Hyldahl of UBS Financial Services

DID BRADLEY ERIC HYLDAHL CAUSE YOU INVESTMENT LOSSES? Bradley Hyldahl Of UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Bradley Hyldahl of UBS Financial Services? Bradley Hyldahl (CRD #2316936) who is currently registered with UBS Financial Services and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations. Bradley Hyldahl Customer Complaints Bradley Hyldahl has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Bradley Hyldahl’s 3 customer complaints was settled in favor of investors. Two of Bradley Hyldahl’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Bradley Hyldahl A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged that Bradley Hyldahl provided unsuitable investment advice. The client’s attorney alleged the financial advisors recommended unsuitable securities given the customer’s age, investment objective and investment experience. The client’s attorney further alleged the Bradley Hydahl switched the client from one mutual fund to another when there was no legitimate investment purpose for the switch. The client alleged his instructions to liquidate his securities were not followed by Bradley Hyldahl. Bradley Hyldahl Red Flags & Your Rights As An Investor Of course, Bradley Hyldahl 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 Bradley Hyldahl at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Bradley Hyldahl has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At UBS Financial Services Due To Bradley Hyldahl If you have questions about UBS Financial Services and/or Bradley Hyldahl 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

James Fahey of Wellington Shields & Co.

DID JAMES EDWARD FAHEY CAUSE YOU INVESTMENT LOSSES? James Fahey Of Wellington Shields & Co. And Formerly With Oppenheimer & Co. Has 4 Customer Complaints For Alleged Broker Misconduct Who is James Fahey of Wellington Shields & Co.? James Fahey (CRD #2191811) who is currently registered with Wellington Shields & Co.and located in Locust Valley, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wellington Shields & Co., James Fahey was associated with Oppenheimer & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Fahey Customer Complaints James Fahey has been the subject of 4 customer complaints that we know about. Three of James Fahey’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Wellington Shields & Co. and Oppenheimer & Co. for investment losses caused by James Fahey’s alleged misconduct. Allegations Against James Fahey A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged that James Fahey made unauthorized trade and misrepresentations concerning auction rate securities. Damages unspecified. Customer alleged unsuitable investment recommendations by James Fahey. The customer alleged James Fahey’s misrepresentation and omission of material facts. The customer alleged unsuitable investment recommendations by James Fahey. James Fahey Red Flags & Your Rights As An Investor Of course, James Fahey 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 James Fahey at Wellington Shields & Co. and Oppenheimer & Co. on alert to review carefully the activity and performance of their accounts and question whether James Fahey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wellington Shields & Co. and Oppenheimer & 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 Wellington Shields & Co. Due To James Fahey If you have questions about Wellington Shields & Co., Oppenheimer & Co., and/or James Fahey 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

Kerry Farley of Cetera Investment Advisers

DID KERRY GEROW FARLEY CAUSE YOU INVESTMENT LOSSES? Kerry Farley Of Cetera Investment Services, Cetera Investment Advisers And Formerly With SunTrust Investment Services, SunTrust Advisory Services Has A Customer Complaint For Alleged Broker Misconduct Who is Kerry Farley of Cetera Investment Advisers? Kerry Farley (CRD #1560826) who is currently registered with Cetera Investment Services, Cetera Investment Advisers and located in Palm Harbor, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Investment Services and Cetera Investment Advisers, Kerry Farley was associated with SunTrust Investment Services, SunTrust Advisory Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kerry Farley Customer Complaint Kerry Farley 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 the profit-sharing plan administrator for the law firm alleges Kerry Farley recommended purchase of $500,000 SILCs which could not be transferred into a new 401K plan. The investments would have to be liquidated at a possible loss. Kerry Farley’s customer complaint was settled in favor of the investors. Kerry Farley Red Flags & Your Rights As An Investor Of course, Kerry Farley 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 Kerry Farley at Cetera Investment Services, Cetera Investment Advisers, SunTrust Investment Services, and SunTrust Advisory Services and on alert to review carefully the activity and performance of their accounts and question whether Kerry Farley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Investment Services, Cetera Investment Advisers, SunTrust Investment Services, and SunTrust Advisory 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 Cetera Investment Services Due To Kerry Farley If you have questions about Cetera Investment Services, Cetera Investment Advisers, SunTrust Investment Services, SunTrust Advisory Services, and/or Kerry Farley 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

Joel Farnsworth of Wedbush Securities

DID JOEL DALE FARNSWORTH CAUSE YOU INVESTMENT LOSSES? Joel Farnsworth Of Wedbush Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Joel Farnsworth of Wedbush Securities? Joel Farnsworth (CRD #1980052) who is currently registered with Wedbush Securities and located in Henderson, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Joel Farnsworth Customer Complaint Joel Farnsworth 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 Joel Farnsworth unduly benefited from the execution of a Transfer of Death form. Joel Farnsworth’s customer complaint was settled in favor of the investors. Joel Farnsworth Red Flags & Your Rights As An Investor Of course, Joel Farnsworth 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 Joel Farnsworth at Wedbush Securities on alert to review carefully the activity and performance of their accounts and question whether Joel Farnsworth 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 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 Wedbush Securities Due To Joel Farnsworth If you have questions about Wedbush Securities and/or Joel Farnsworth 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 Farrell Formerly With Aegis Capital

DID MICHAEL JAMES FARRELL CAUSE YOU INVESTMENT LOSSES? Michael Farrell Formerly With Aegis Capital, National Securities And Newbridge Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Farrell formerly with Aegis Capital? Michael Farrell (CRD #2282842) who was formerly registered with Aegis Capital and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Michael Farrell 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. Michael Farrell Customer Complaint Michael Farrell 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 unsuitability, breach of contract, breach of fiduciary duty. The customer complaint filed against Michael Farrell’s former employer Aegis Capital for investment losses caused by the alleged misconduct is pending as of the date of this report. Michael Farrell Red Flags & Your Rights As An Investor Of course, Michael Farrell 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 Farrell at Aegis Capital, National Securities, and Newbridge Securities on alert to review carefully the activity and performance of their accounts and question whether Michael Farrell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital, National Securities, and Newbridge 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 Aegis Capital Due To Michael Farrell If you have questions about Aegis Capital, National Securities, Newbridge Securities, and/or Michael Farrell 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

Glenn Fasani of Ameriprise Financial Services

DID GLENN DAVID FASANI CAUSE YOU INVESTMENT LOSSES? Glenn Fasani Of Ameriprise Financial Services And Formerly With AXA Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Glenn Fasani of Ameriprise Financial Services? Glenn Fasani (CRD #2832856) who is currently registered with Ameriprise Financial Services and located in Tampa, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, Glenn Fasani was associated with AXA Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Glenn Fasani Customer Complaint Glenn Fasani 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 Glenn Fasani sold him an unsuitable variable annuity. Glenn Fasani’s customer complaint was denied and, to date, the customer has not taken any further action. Glenn Fasani Red Flags & Your Rights As An Investor Of course, Glenn Fasani 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 Glenn Fasani at Ameriprise Financial Services and AXA Advisors on alert to review carefully the activity and performance of their accounts and question whether Glenn Fasani has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services and AXA Advisors also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Ameriprise Financial Services Due To Glenn Fasani If you have questions about Ameriprise Financial Services, AXA Advisors, and/or Glenn Fasani 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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