Mar 8, 2022

Stephen Dellelo of NEXT Financial Group

DID STEPHEN DELLELO CAUSE YOU INVESTMENT LOSSES? Stephen Dellelo Of NEXT Financial Group, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Stephen Dellelo of NEXT Financial Group, Inc.? Stephen Dellelo (CRD #2170012) who is currently registered with NEXT Financial Group, Inc. and located in South Easton, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Stephen Dellelo Customer Complaints Stephen Dellelo has been the subject of 2 customer complaints that we know about. One of Stephen Dellelo’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against NEXT Financial Group, Inc. for investment losses caused by Stephen Dellelo’s alleged misconduct. Allegations Against Stephen Dellelo 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 that Stephen Dellelo failed to adhere to investment objectives and instructions; failed to implement an appropriate investment strategy, which included investing the bulk of Claimant’s assets in a whole life policy; made materially false and misleading statements; failed to advise diversification strategies and failed to follow industry rules and regulations. Customer alleged Stephen Dellelo invested funds in private and illiquid investments which were unsuitable and caused customer’s investment portfolio to suffer losses. Stephen Dellelo Red Flags & Your Rights As An Investor Of course, Stephen Dellelo 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 Stephen Dellelo at NEXT Financial Group, Inc. on alert to review carefully the activity and performance of their accounts and question whether Stephen Dellelo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NEXT Financial Group, 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 NEXT Financial Group, Inc. Due To Stephen Dellelo If you have questions about NEXT Financial Group, Inc. and/or Stephen Dellelo 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

Steven Dean of LPL Financial

DID STEVEN DEAN CAUSE YOU INVESTMENT LOSSES? Steven Dean Of LPL Financial LLC, Northeast Planning Associates Has 2 Customer Complaints For Alleged Broker Misconduct Who is Steven Dean of LPL Financial LLC? Steven Dean (CRD #2759263) who is currently registered with LPL Financial LLC, Northeast Planning Associates and located in Madison, Maine is a subject of one of our many securities industry sales practice abuse investigations. Steven Dean Customer Complaints Steven Dean 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. Both of Steven Dean’s 2 customers’ complaints were settled in favor of investors. Allegations Against Steven Dean 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 Steven Dean recommended he invest in an unsuitable Business Development Company that ultimately caused him damages. Claimant alleged the details and risks of the investment were misrepresented to him. The customer alleged unsuitable recommendation by Steven Dean. Steven Dean Red Flags & Your Rights As An Investor Of course, Steven Dean 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 Steven Dean at LPL Financial LLC and Northeast Planning Associates on alert to review carefully the activity and performance of their accounts and question whether Steven Dean has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Northeast Planning 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 LPL Financial LLC Due To Steven Dean If you have questions about LPL Financial LLC and Northeast Planning Associates, and/or Steven Dean 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 Davis of Raymond James Financial Services

DID JOHN DAVIS CAUSE YOU INVESTMENT LOSSES? John Davis Of Raymond James Financial Services, Inc., Raymond James Financial Services Advisors And Formerly With SunTrust Investment Services, SunTrust Advisory Services Has One Customer Complaint For Alleged Broker Misconduct Who is John Davis of Raymond James Financial Services, Inc.? John Davis (CRD #3028243) who is currently registered with Raymond James Financial Services, Inc., Raymond James Financial Services Advisors and located in Lenior, North Carolina 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, John Davis 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. John Davis Customer Complaint John Davis 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 client alleges that advisor solicited stock sale of inherited stock that caused her to lose a subsidy for health care benefit due to gains from the sale of stocks. Client claims that she specifically made advisor aware of this risk. John Davis’ customer complaint was denied and, to date, the customer has not taken any further action. John Davis Red Flags & Your Rights As An Investor Of course, John Davis 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 Davis at Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, SunTrust Investment Services, and SunTrust Advisory Services on alert to review carefully the activity and performance of their accounts and question whether John Davis 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, 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 Raymond James Financial Services, Inc. Due To John Davis If you have questions about Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, SunTrust Investment Services, SunTrust Advisory Services, and/or John Davis 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

Roger Davis of ProEquities

DID ROGER DAVIS CAUSE YOU INVESTMENT LOSSES? Roger Davis of ProEquities, Inc., WMG Financial Advisors And Formerly With Lincoln Financial Securities, SunTrust Advisory Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Roger Davis of ProEquities, Inc.? Roger Davis (CRD #2087383) who is currently registered with ProEquities, Inc., WMG Financial Advisors and located in Chattanooga, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Prior to ProEquities, Inc. and WMG Financial Advisors, Roger Davis was associated with Lincoln Financial Securities, SunTrust Advisory Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Roger Davis Customer Complaints Roger Davis has been the subject of 2 customer complaints that we know about. Both of Roger Davis’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Roger Davis 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 Roger Davis misled him regarding the performance and nature of his investments. He further alleges unsuitability, poor performance and lack of communication with regard to his portfolio. The client alleged she was told by Roger Davis she would never lose her initial investment amount. She was also concerned about the investment performance. Roger Davis Red Flags & Your Rights As An Investor Of course, Roger Davis 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 Roger Davis at ProEquities, Inc., WMG Financial Advisors, Lincoln Financial Securities, and SunTrust Advisory Services on alert to review carefully the activity and performance of their accounts and question whether Roger Davis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at ProEquities, Inc., WMG Financial Advisors, Lincoln Financial Securities, and SunTrust Advisory 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 ProEquities, Inc. Due To Roger Davis If you have questions about ProEquities, Inc., WMG Financial Advisors, Lincoln Financial Securities, SunTrust Advisory Services, and/or Roger Davis 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

Elise Davis of Morgan Stanley

DID ELISE DAVIS CAUSE YOU INVESTMENT LOSSES? Elise Davis Of Morgan Stanley Has One Customer Complaint For Alleged Broker Misconduct Who is Elise Davis of Morgan Stanley? Elise Davis (CRD #1565856) who is currently registered with Morgan Stanley and located in Santa Fe, New Mexico is a subject of one of our many securities industry sales practice abuse investigations. Elise Davis Customer Complaint Elise Davis 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 that clients allege, inter alia, that prepayment penalties applicable to liquidity access line were not disclosed to them. Elise Davis’ customer complaint was settled in favor of the investors. Elise Davis Red Flags & Your Rights As An Investor Of course, Elise Davis 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 Elise Davis at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Elise Davis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley 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 Morgan Stanley Due To Elise Davis If you have questions about Morgan Stanley and/or Elise Davis 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

Lois Davies of Royal Alliance Associates

DID LOIS DAVIES CAUSE YOU INVESTMENT LOSSES? Lois Davies Of Royal Alliance Associates, Inc. And Formerly With Signator Investors Has One Customer Complaint For Alleged Broker Misconduct Who is Lois Davies of Royal Alliance Associates, Inc.? Lois Davies (CRD #1738537) who is currently registered with Royal Alliance Associates, Inc. and located in Broadview Heights, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Royal Alliance Associates, Inc., Lois Davies was associated with Signator Investors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Lois Davies Customer Complaint Lois Davies 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 that the customer alleges that variable annuities purchased were misrepresented. Lois Davies’ customer complaint was denied and, to date, the customer has not taken any further action. Lois Davies Red Flags & Your Rights As An Investor Of course, Lois Davies 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 Lois Davies at Royal Alliance Associates, Inc. and Signator Investors on alert to review carefully the activity and performance of their accounts and question whether Lois Davies has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates and Signator Investors 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 Royal Alliance Associates, Inc. Due To Lois Davies If you have questions about Royal Alliance Associates, Inc., Signator Investors, and/or Lois Davies 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

Irwin Davidson of Wells Fargo Clearing Services

DID IRWIN DAVIDSON CAUSE YOU INVESTMENT LOSSES? Irwin Davidson Of Wells Fargo Clearing Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Irwin Davidson of Wells Fargo Clearing Services, LLC? Irwin Davidson (CRD #3067529) who is currently registered with Wells Fargo Clearing Services, LLC and located in Westfield, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Irwin Davidson Customer Complaints Irwin Davidson 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. Both of Irwin Davidson’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Irwin Davidson 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 Irwin Davidson did not recommend suitable securities to meet his conservative investment objectives. Client liquidated his securities and is requesting to be reimbursed for surrender penalties and tax liabilities. Client complained that Irwin Davidson allegedly did not fully explain the investment choices for his grandchildren’s 529 accounts, which resulted in unsuitable investments. Irwin Davidson Red Flags & Your Rights As An Investor Of course, Irwin Davidson 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 Irwin Davidson at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Irwin Davidson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing 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 Wells Fargo Clearing Services, LLC Due To Irwin Davidson If you have questions about Wells Fargo Clearing Services, LLC and/or Irwin Davidson 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 Davidson of Ameritas Investment

DID JAMES DAVIDSON CAUSE YOU INVESTMENT LOSSES? James Davidson of Ameritas Investment Company, Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is James Davidson of Ameritas Investment Company, Inc.? James Davidson (CRD #2460631) who is currently registered with Ameritas Investment Company, Inc. and located in Cypress, Texas is a subject of one of our many securities industry sales practice abuse investigations. James Davidson Customer Complaint James Davidson 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 breach of fiduciary duty and failure to supervise. James Davidson’s customer complaint was settled in favor of the investors. James Davidson Red Flags & Your Rights As An Investor Of course, James Davidson 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 Davidson at Ameritas Investment Company, Inc. on alert to review carefully the activity and performance of their accounts and question whether James Davidson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameritas Investment Company, 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 Ameritas Investment Company, Inc. Due To James Davidson If you have questions about Ameritas Investment Company, Inc. and/or James Davidson 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 Davenport of Liberty Partners Financial Services

DID JOHN DAVENPORT CAUSE YOU INVESTMENT LOSSES? John Davenport Of Liberty Partners Financial Services, LLC, Liberty Partners Capital Management And Formerly With Securities America, Securities America Advisors Has 3 Customer Complaints For Alleged Broker Misconduct Who is John Davenport of Liberty Partners Financial Services, LLC? John Davenport (CRD #1448999) who is currently registered with Liberty Partners Financial Services, LLC, Liberty Partners Capital Management and located in Norwalk, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Liberty Partners Financial Services, LLC and Liberty Partners Capital Management, John Davenport was associated with Securities America, Securities America Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Davenport is that his share of regulatory problems as well. In 2019, he was investigated by FINRA and consented to a two-month suspension and fine of $20,000 for allegedly sharing commissions with a registered representative of another brokerage firm without the knowledge and consent of by the firm in violation of FINRA’s Code of Conduct. John Davenport Customer Complaints John Davenport has been the subject of 3 customer complaints that we know about. One of John Davenport’s 3 customer complaints was settled in favor of investors. One of John Davenport’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 Liberty Partners Financial Services, LLC for investment losses caused by John Davenport’s alleged misconduct. Allegations Against John Davenport 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 John Davenport gave poor advice when he suggested client move his TRS account to a variable annuity. Client alleged they were not informed by John Davenport that contributions to a charitable remainder trust could not be subsequently withdrawn as a single sum payment. John Davenport’s  alleged violations of FINRA 2110, failure to observe high standards of commercial honor and just and equitable principles of trade, FINRA 2111 recommending and selling securities without adequate due diligence and without a reasonable basis; negligence, misrepresentation and omission of material fact, and breach of fiduciary duty. John Davenport Red Flags & Your Rights As An Investor Of course, John Davenport 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 Davenport at Liberty Partners Financial Services, LLC, Liberty Partners Capital Management, Securities America, and Securities America Advisors on alert to review carefully the activity and performance of their accounts and question whether John Davenport has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Liberty Partners Financial Services, LLC, Liberty Partners Capital Management, Securities America, and Securities America Advisors 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 Liberty Partners Financial Services, LLC Due To John Davenport If you have questions about Liberty Partners Financial Services, LLC, Liberty Partners Capital Management, Securities America, Securities America Advisors, and/or John Davenport 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

Stuart Daniels of Merrill Lynch Pierce Fenner & Smith

DID STUART DANIELS CAUSE YOU INVESTMENT LOSSES? Stuart Daniels Of Merrill Lynch Pierce Fenner & Smith Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Stuart Daniels of Merrill Lynch Pierce Fenner & Smith Inc.? Stuart Daniels (CRD #1510142) who is currently registered with Merrill Lynch Pierce Fenner & Smith Inc. and located in Florham Park, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Stuart Daniels Customer Complaints Stuart Daniels has been the subject of 2 customer complaints that we know about. One of Stuart Daniels’ customer complaints was settled in favor of investors. One of Stuart Daniels’ customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Stuart Daniels A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The customer alleged unsuitable investment recommendations by Stuart Daniels. The client alleged that she never requested trades, that she was not suitable for small cap stocks and the number of transactions by Stuart Daniels were excessive. Stuart Daniels Red Flags & Your Rights As An Investor Of course, Stuart Daniels 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 Stuart Daniels at Merrill Lynch Pierce Fenner & Smith Inc. on alert to review carefully the activity and performance of their accounts and question whether Stuart Daniels 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 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 Merrill Lynch Pierce Fenner & Smith Inc. Due To Stuart Daniels If you have questions about Merrill Lynch Pierce Fenner & Smith Inc. and/or Stuart Daniels 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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