Mar 8, 2022

David Goodwin of Merrill Lynch Pierce Fenner & Smith

DID DAVID EDMUND GOODWIN CAUSE YOU INVESTMENT LOSSES? David Goodwin Of Merrill Lynch Pierce Fenner & Smith Has 4 Customer Complaints For Alleged Broker Misconduct Who is David Goodwin of Merrill Lynch Pierce Fenner & Smith? David Goodwin (CRD #2434504) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Hartford, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. David Goodwin Customer Complaints David Goodwin 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.  All of David Goodwin’s customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against David Goodwin 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 he was not informed by David Goodwin of the details involved in his purchase of a variable annuity. Client alleged inappropriate recommendations by David Goodwin. Client signed discretionary investment advisory agreement. Later client claimed she should have been in AAA municipal bonds and that the trades in the discretionary investment advisory account were unauthorized. David Goodwin Red Flags & Your Rights As An Investor Of course, David Goodwin 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 Goodwin at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether David Goodwin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Merrill Lynch Pierce Fenner & Smith Due To David Goodwin If you have questions about Merrill Lynch Pierce Fenner & Smith and/or David Goodwin 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

Richard Kelton of Raymond James Financial Services

DID RICHARD WILLIAM KELTON CAUSE YOU INVESTMENT LOSSES? Richard Kelton Of Raymond James Financial Services, Raymond James Financial Services Advisors And Formerly With Northwestern Mutual Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is Richard Kelton of Raymond James Financial Services? Richard Kelton (CRD #2473749) who is currently registered with Raymond James Financial Services, Raymond James Financial Services Advisors and located in Latham, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Financial Services and Raymond James Financial Services Advisors, Richard Kelton was associated with Northwestern Mutual Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Kelton Customer Complaint Richard Kelton 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 unsuitable investment recommendations. Richard Kelton’s customer complaint was denied and, to date, the customer has not taken any further action. Richard Kelton Red Flags & Your Rights As An Investor Of course, Richard Kelton did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Richard Kelton at Raymond James Financial Services, Raymond James Financial Services Advisors and Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Richard Kelton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, Raymond James Financial Services Advisors and Northwestern Mutual Investment 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 Raymond James Financial Services Due To Richard Kelton If you have questions about Raymond James Financial Services, Raymond James Financial Services Advisors, Northwestern Mutual Investment Services, and/or Richard Kelton 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

Matthew Gordon of Wells Fargo Clearing Services

DID MATTHEW GORDON CAUSE YOU INVESTMENT LOSSES? Matthew Gordon Of Wells Fargo Clearing Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Matthew Gordon of Wells Fargo Clearing Services? Matthew Gordon (CRD #4286268) who is currently registered with Wells Fargo Clearing Services and located in Saddle Brook, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Matthew Gordon Customer Complaints Matthew Gordon has been the subject of 3 customer complaints that we know about. Two of Matthew Gordon’s 3 customer complaints were settled in favor of investors. One of Matthew Gordon’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Matthew Gordon A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Florida clients claimed that Matthew Gordon did not communicate to them the ramifications of Class B shares. The clients further claimed that Matthew Gordon purchased over $120,000 Class B shares in the wife’s IRA account spread amongst five different fund families ABWBX, FSINX, FIIBX; further that Matthew Gordon purchased some of the same fund families, Class B shares as well, in the husband’s IRA account totaling over $40,000. The clients claimed that they recently learned that they would have received breakpoints had class a shares been purchased, saving them fees from the load and decreasing the annual expense ration. The clients also mentioned that Matthew Gordon purchased some of the same fund families in their fee-based discretionary advisory joint. The clients also claimed that they purchased an AXA equitable accumulator plus series 07 variable annuity making a premium payment of $200,000. The clients claimed that Matthew Gordon told them they were guaranteed 6% on the annuity but failed to tell them the fees would run 3% per year. New York Power of Attorney for New Jersey client expressed concern about Matthew Gordon’s alleged marketing variable annuities to client at total purchase cost of about $168,300, and mutual fund shares, a total purchase cost of about $19,540. POA sought refund of commissions, surrender and exit fees. Plaintiff alleged that Matthew Gordon mismanaged her accounts and made misrepresentations about the sale of a variable annuity. Matthew Gordon Red Flags & Your Rights As An Investor Of course, Matthew Gordon 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 Matthew Gordon at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Matthew Gordon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services Due To Matthew Gordon If you have questions about Wells Fargo Clearing Services and/or Matthew Gordon 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 Gordon of Wells Fargo Advisors Financial Network

DID SCOTT MERRITT GORDON CAUSE YOU INVESTMENT LOSSES? Scott Gordon Of Wells Fargo Advisors Financial Network Has A Customer Complaint For Alleged Broker Misconduct Who is Scott Gordon of Wells Fargo Advisors Financial Network? Scott Gordon (CRD #2293835) who is currently registered with Wells Fargo Advisors Financial Network and located in Folsom, California is a subject of one of our many securities industry sales practice abuse investigations. Scott Gordon Customer Complaint Scott Gordon 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 client complained that the financial advisor gave her incorrect information and as a result she has incurred taxes and penalties. Scott Gordon’s customer complaint was settled in favor of the investors. Scott Gordon Red Flags & Your Rights As An Investor Of course, Scott Gordon 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 Gordon at Wells Fargo Advisors Financial Network on alert to review carefully the activity and performance of their accounts and question whether Scott Gordon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Advisors Financial Network also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wells Fargo Advisors Financial Network Due To Scott Gordon If you have questions about Wells Fargo Advisors Financial Network and/or Scott Gordon 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 Kemp of Janney Montgomery Scott

DID JEFFREY SCOTT KEMP CAUSE YOU INVESTMENT LOSSES? Jeffrey Kemp Of Janney Montgomery Scott And Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jeffrey Kemp of Janney Montgomery Scott? Jeffrey Kemp (CRD #2263257) who is currently registered with Janney Montgomery Scott and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Janney Montgomery Scott, Jeffrey Kemp was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jeffrey Kemp Customer Complaints Jeffrey Kemp has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Jeffrey Kemp’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 Janney Montgomery Scott and Morgan Stanley for investment losses caused by Jeffrey Kemp’s alleged misconduct. Allegations Against Jeffrey Kemp 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 Jeffrey Kemp’s made unsuitable investment recommendations with respect to equity and close end funds securities; and, unsuitable high yield securities while on margin. The client’s attorney alleged excessive trading by Jeffrey Kemp. Jeffrey Kemp Red Flags & Your Rights As An Investor Of course, Jeffrey Kemp 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 Kemp at Janney Montgomery Scott and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Kemp has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Janney Montgomery Scott 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 Janney Montgomery Scott Due To Jeffrey Kemp If you have questions about Janney Montgomery Scott, Morgan Stanley, and/or Jeffrey Kemp 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

Mark Kemp of McNally Financial Services

DID MARK ALAN KEMP CAUSE YOU INVESTMENT LOSSES? Mark Kemp Of McNally Financial Services Has 9 Customer Complaints For Alleged Broker Misconduct Who is Mark Kemp of McNally Financial Services? Mark Kemp (CRD #2057200) who is currently registered with McNally Financial Service sand located in Corpus Christi, Texas is a subject of one of our many securities industry sales practice abuse investigations.  He was also the subject of the FINRA investigation involving penny stocks that was settled with a sanction of a 5 day suspension and $5, 000 fine. Mark Kemp Customer Complaints Mark Kemp has been the subject of 9 customer complaints that we know about. Seven of Mark Kemp’s 9 customer complaints were settled in favor of investors. One of Mark Kemp’s customer complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against McNally Financial Services for investment losses caused by Mark Kemp’s alleged misconduct. Allegations Against Mark Kemp A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged false representations/fraud regarding the sale of securities of world home industries by Mark Kemp. Claimants alleged that Mark Kemp misled them about suitable strategies and investments, engaged in unauthorized transactions, refused their directions, and recommended wholly unsuitable securities and annuities. Clients alleged that Mark Kemp engaged in unauthorized trading and recommended unsuitable securities and annuity investments, inconsistent with their financial situation, risk tolerances and investment objectives. The client alleged that Mark Kemp placed a trade in the client’s variable annuity without authorization. Violation of Common Law Fraud, and Violation of Common Negligent Misrepresentation allegedly by Mark Kemp. Mark Kemp’s alleged violation of common law fraud, violation of negligent misrepresentation, breach of fiduciary duty and negligence. Mark Kemp Red Flags & Your Rights As An Investor Of course, Mark Kemp 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 Mark Kemp at McNally Financial Services on alert to review carefully the activity and performance of their accounts and question whether Mark Kemp has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at McNally 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 McNally Financial Services Due To Mark Kemp If you have questions about McNally Financial Services and/or Mark Kemp 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

William Kessler of Founders Financial Securities

DID WILLIAM DAVID KESSLER CAUSE YOU INVESTMENT LOSSES? William Kessler Of Founders Financial Securities Has A Customer Complaint For Alleged Broker Misconduct Who is William Kessler of Founders Financial Securities? William Kessler (CRD #1645594) who is currently registered with Founders Financial Securities and located in Athol, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. William Kessler Customer Complaint William Kessler 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 firm received correspondence from a client that funds were not invested into an annuity contract per the client’s request. In addition, the client claimed that the rider value would be $350,000 higher if subsequent funds were invested into the annuity contract instead of other accounts. The client also claimed that certain details of the products and accounts they held were not explained to them. William Kessler’s customer complaint was denied and, to date, the customer has not taken any further action. William Kessler Red Flags & Your Rights As An Investor Of course, William Kessler 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 William Kessler at Founders Financial Securities on alert to review carefully the activity and performance of their accounts and question whether William Kessler has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Founders Financial 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 Founders Financial Securities Due To William Kessler If you have questions about Founders Financial Securities and/or William Kessler and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Douglas Goss Formerly With Wells Fargo Clearing Services

DID DOUGLAS L GOSS CAUSE YOU INVESTMENT LOSSES? Douglas Goss Formerly With Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Douglas Goss formerly with Wells Fargo Clearing Services? Douglas Goss (CRD #1549074) who was formerly registered with Wells Fargo Clearing Services and located in Tulsa, Oklahoma is a subject of one of our many securities industry sales practice abuse investigations. Douglas Goss Customer Complaints Douglas Goss has been the subject of 2 customer complaints that we know about. One of Douglas Goss’ 2 customer complaints was settled in favor of investors. One of Douglas Goss’ customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Douglas Goss A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Trustee complained of excessive trading in trust’s account by Douglas Goss. Client alleged that Douglas Goss misrepresented the tax consequences of certain transactions and allowed client’s wife to make unauthorized transactions in his accounts. Douglas Goss Red Flags & Your Rights As An Investor Of course, Douglas Goss did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Douglas Goss at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Douglas Goss has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services Due To Douglas Goss If you have questions about Wells Fargo Clearing Services and/or Douglas Goss 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

Imtiaz Khan of Joseph Stone Capital

DID IMTIAZ A. KHAN CAUSE YOU INVESTMENT LOSSES? Imtiaz Khan Of Joseph Stone Capital And Formerly With Windsor Street Capital Has A Customer Complaint For Alleged Broker Misconduct Who is Imtiaz Khan of Joseph Stone Capital? Imtiaz Khan (CRD #4084250) who is currently registered with Joseph Stone Capitaland located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Joseph Stone Capital, Imtiaz Khan was associated with Windsor Street Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.  He was also the subject of a FINRA investigation and was sanctioned for acting in a principal capacity without being properly registered.  The sanction was a 35 day suspension and $20,000 fine. Imtiaz Khan Customer Complaint Imtiaz Khan has also 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 following actions: unsuitability and overconcentration, commission abuse, failure to supervise & control person liability, breach of fiduciary duty, negligence, fraudulent misrepresentation, breach of contract, respondent superior. Imtiaz Khan’s customer complaint was settled in favor of the investors. Imtiaz Khan Red Flags & Your Rights As An Investor Of course, Imtiaz Khan 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 Imtiaz Khan at Joseph Stone Capital and Windsor Street Capital on alert to review carefully the activity and performance of their accounts and question whether Imtiaz Khan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Joseph Stone Capital and Windsor Street Capital 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 Joseph Stone Capital Due To Imtiaz Khan If you have questions about Joseph Stone Capital, Windsor Street Capital, and/or Imtiaz Khan 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

Ramsey Khattab of Lincoln Financial Advisors

DID RAMSEY A. KHATTAB CAUSE YOU INVESTMENT LOSSES? Ramsey Khattab Of Lincoln Financial Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Ramsey Khattab of Lincoln Financial Advisors? Ramsey Khattab (CRD #4075114) who is currently registered with Lincoln Financial Advisors and located in Paramus, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Ramsey Khattab Customer Complaint Ramsey Khattab 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 variable universal life insurance policy purchased was misrepresented. Ramsey Khattab’s customer complaint was denied and, to date, the customer has not taken any further action. Ramsey Khattab Red Flags & Your Rights As An Investor Of course, Ramsey Khattab 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 Ramsey Khattab at Lincoln Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Ramsey Khattab has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lincoln Financial 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 Lincoln Financial Advisors Due To Ramsey Khattab If you have questions about Lincoln Financial Advisors and/or Ramsey Khattab 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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