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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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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