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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Mar 8, 2022

John Donnelly of Merrill Lynch Pierce Fenner & Smith

DID JOHN DONNELLY CAUSE YOU INVESTMENT LOSSES? John Donnelly Of Merrill Lynch Pierce Fenner & Smith Inc. Has 6 Customer Complaints For Alleged Broker Misconduct Who is John Donnelly of Merrill Lynch Pierce Fenner & Smith Inc.? John Donnelly (CRD #2374887) who is currently registered with Merrill Lynch Pierce Fenner & Smith Inc. and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. John Donnelly Customer Complaints John Donnelly has been the subject of 6 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. Two of John Donnelly’s 6 customer complaints were settled in favor of investors. Three of John Donnelly’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 Merrill Lynch Pierce Fenner & Smith Inc. for investment losses caused by John Donnelly’s alleged misconduct. Allegations Against John Donnelly 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 John Donnelly’s investment was unsuitable. Damages unspecified. Customer alleged he did not authorize John Donnelly’s purchase of a FHLMC bond. Upon further investigation, CST determined that the customer did authorize the purchase of the investment, but he did not fully understand its features. Customer alleged that John Donnelly improperly solicited transactions in customer’s account. No specific damage claim made. Customer alleged that John Donnelly sold her unsuitable investments. No specific damage claim made. The customer alleged that John Donnelly failed to update the Beneficiary Designation Form, which inaccurately left all assets to unintended beneficiaries. John Donnelly Red Flags & Your Rights As An Investor Of course, John Donnelly did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of John Donnelly at Merrill Lynch Pierce Fenner & Smith Inc. on alert to review carefully the activity and performance of their accounts and question whether John Donnelly 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 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 Merrill Lynch Pierce Fenner & Smith Inc. Due To John Donnelly If you have questions about Merrill Lynch Pierce Fenner & Smith Inc. and/or John Donnelly 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

Patrick Donnelly of Raymond James Financial Services

DID PATRICK DONNELLY CAUSE YOU INVESTMENT LOSSES? Patrick Donnelly Of Raymond James Financial Services, Inc., Raymond James Financial Services Advisors And Formerly With UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Patrick Donnelly of Raymond James Financial Services, Inc.? Patrick Donnelly (CRD #2056698) who is currently registered with Raymond James Financial Services, Inc., Raymond James Financial Services Advisors and located in Springfield, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, Patrick Donnelly was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Patrick Donnelly Customer Complaints Patrick Donnelly has been the subject of 3 customer complaints that we know about. Two of Patrick Donnelly’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by Patrick Donnelly’s alleged misconduct. Allegations Against Patrick Donnelly 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 Patrick Donnelly’s unsuitable trading and unauthorized use of margin. Patrick Donnelly’ alleged failure to execute orders; breach of fiduciary duty; misrepresentation; omission of facts; breach of contract; and negligence. Claimant trustee alleged breach of fiduciary duty in connection with unauthorized transfer of account assets by Patrick Donnelly. Patrick Donnelly Red Flags & Your Rights As An Investor Of course, Patrick Donnelly 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 Patrick Donnelly at Raymond James Financial Services, Inc., Raymond James Financial Services Advisors and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Patrick Donnelly has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, Inc., Raymond James Financial Services Advisors and 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 Raymond James Financial Services, Inc. Due To Patrick Donnelly If you have questions about Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, UBS Financial Services, and/or Patrick Donnelly 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

Hardee Jerrels of Charles Schwab Co.

DID HARDEE DAVID JERRELS CAUSE YOU INVESTMENT LOSSES? Hardee Jerrels Of Charles Schwab Co. And Formerly With Allstate Financial Services, Allstate Financial Advisors And BFC Planning Has A Customer Complaint For Alleged Broker Misconduct Who is Hardee Jerrels of Charles Schwab Co.? Hardee Jerrels (CRD #4128571) who is currently registered with Charles Schwab Co. and located in Little Rock, Arkansas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Charles Schwab Co., Hardee Jerrels was associated with Allstate Financial Services, Allstate Financial Advisors, BFC Planning and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Hardee Jerrels Customer Complaint Hardee Jerrels 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 the investments he purchased were unsuitable and misrepresented to him by Hardee Jerrels. The client also alleged the firm failed to supervise the actions of the representative and failed to conduct adequate due diligence. The customer complaint filed against Securities Management & Research for investment losses caused by Hardee Jerrels’ alleged misconduct is pending as of the date of this report. Hardee Jerrels Red Flags & Your Rights As An Investor Of course, Hardee Jerrels 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 Hardee Jerrels at Charles Schwab Co., Allstate Financial Services, Allstate Financial Advisors, and BFC Planning on alert to review carefully the activity and performance of their accounts and question whether Hardee Jerrels has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab Co., Allstate Financial Services, Allstate Financial Advisors, and BFC Planning 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 Charles Schwab Co. Due To Hardee Jerrels If you have questions about Charles Schwab Co., Allstate Financial Services, Allstate Financial Advisors, BFC Planning, and/or Hardee Jerrels 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

Kenneth Harter of Calton & Associates

DID KENNETH RICHARD HARTER CAUSE YOU INVESTMENT LOSSES? Kenneth Harter Of Calton & Associates Has 2 Customer Complaints For Alleged Broker Misconduct Who is Kenneth Harter of Calton & Associates? Kenneth Harter (CRD #1448027) who is currently registered with Calton & Associates and located in Little Rock, Arkansas is a subject of one of our many securities industry sales practice abuse investigations. Kenneth Harter Customer Complaints Kenneth Harter has been the subject of 2 customer complaints that we know about. One of Kenneth Harter’s 2 customer complaints was settled in favor of investors. The customer complaint filed against Kenneth Harter’s current employer Calton & Associates for investment losses caused by the alleged misconduct is pending as of the date of this report. Allegations Against Kenneth Harter A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Kenneth Harter’s alleged suitability, fraudulent statement on liquidity of investments. In the class action suit relating to Citi-Equity Group, the allegations against the defendants are misrepresentation and omission of material facts, negligence and breach of fiduciary duty. Kenneth Harter Red Flags & Your Rights As An Investor Of course, Kenneth Harter 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 Kenneth Harter at Calton & Associates on alert to review carefully the activity and performance of their accounts and question whether Kenneth Harter has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Calton & 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 Calton & Associates Due To Kenneth Harter If you have questions about Calton & Associates and/or Kenneth Harter 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

Christina Johnson of PFS Investments

DID CHRISTINA MARIE JOHNSON CAUSE YOU INVESTMENT LOSSES? Christina Johnson Of PFS Investments Has A Customer Complaint For Alleged Broker Misconduct Who is Christina Johnson of PFS Investments? Christina Johnson (CRD #1588619) who is currently registered with PFS Investments and located in Oakland, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Christina Johnson Customer Complaint Christina Johnson 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 customer alleged that she was not informed that her funds would be subject to market volatility. Christina Johnson’s customer complaint was denied and, to date, the customer has not taken any further action. Christina Johnson Red Flags & Your Rights As An Investor Of course, Christina Johnson 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 Christina Johnson at PFS Investments on alert to review carefully the activity and performance of their accounts and question whether Christina Johnson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PFS Investments 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 PFS Investments Due To Christina Johnson If you have questions about PFS Investments and/or Christina Johnson 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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