Mar 8, 2022

John Daley of Lincoln Financial Advisors

DID JOHN DALEY CAUSE YOU INVESTMENT LOSSES? John Daley Of Lincoln Financial Advisors Corp. Has One Customer Complaint For Alleged Broker Misconduct Who is John Daley of Lincoln Financial Advisors Corp.? John Daley (CRD #2282750) who is currently registered with Lincoln Financial Advisors Corp. and located in McDonald, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. John Daley has also been the subject of Van investigation by the Commonwealth of Pennsylvania for allegedly misrepresenting the terms and conditions of insurance policies, failing to provide clients with written disclosure of the terms and conditions of their policies and/or failure to adequately disclose the basic cost information about the product being sold. The matter was settled by consent to a cease-and-desist order and monetary fine. John Daley Customer Complaint John Daley 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 the clients alleged that John Daley misrepresented the variable annuity products he sold and they were poor recommendations for their needs. John Daley’s customer complaint was denied and, to date, the customers have not taken any further action. John Daley Red Flags & Your Rights As An Investor Of course, John Daley 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 Daley at Lincoln Financial Advisors Corp. on alert to review carefully the activity and performance of their accounts and question whether John Daley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lincoln Financial Advisors 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 Advisors Corp. Due To John Daley If you have questions about Lincoln Financial Advisors Corp. and/or John Daley 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 David of Cetera Advisor Networks

DID MICHAEL DAVID CAUSE YOU INVESTMENT LOSSES? Michael David Of Cetera Advisor Networks, LLC, CWM And Formerly With LPL Financial Has One Customer Complaint For Alleged Broker Misconduct Who is Michael David of Cetera Advisor Networks, LLC? Michael David (CRD #2880609) who is currently registered with Cetera Advisor Networks, LLC, CWM and located in Amarillo, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisor Networks, LLC and CWM, Michael David was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael David Customer Complaint Michael David 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 claimant was allegedly induced into purchasing at least three alternative products- two BDCs and one REIT – which she allegedly did not understand and were allegedly misrepresented to her. Claimant alleges the investments were unsuitable. The customer complaint filed against Michael David’s current employer LPL Financial for investment losses caused by the alleged misconduct is pending as of the date of this report. Michael David Red Flags & Your Rights As An Investor Of course, Michael David 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 David at Cetera Advisor Networks, LLC, CWM and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Michael David has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks, LLC, CWM, and LPL Financial also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Cetera Advisor Networks, LLC Due To Michael David If you have questions about Cetera Advisor Networks, LLC, CWM, LPL Financial, and/or Michael David 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

Gage Dahmann of Fidelity Brokerage Services

DID GAGE DAHMANN CAUSE YOU INVESTMENT LOSSES? Gage Dahmann Of Fidelity Brokerage Services LLC, Fidelity Personal And Workplace Advisors And Formerly With Strategic Advisers Has One Customer Complaint For Alleged Broker Misconduct Who is Gage Dahmann of Fidelity Brokerage Services LLC? Gage Dahmann (CRD #2849989) who is currently registered with Fidelity Brokerage Services LLC, Fidelity Personal And Workplace Advisors and located in Austin, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Fidelity Brokerage Services LLC, Fidelity Personal And Workplace Advisors, Gage Dahmann was associated with Strategic Advisers and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gage Dahmann Customer Complaint Gage Dahmann 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 customer alleged that the registered representative recommended a managed product that was not in line with the customer’s risk tolerance. The customer complaint filed against Gage Dahmann’s current employer Fidelity Brokerage Services LLC for investment losses caused by the alleged misconduct is pending as of the date of this report. Gage Dahmann Red Flags & Your Rights As An Investor Of course, Gage Dahmann 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 Gage Dahmann at Fidelity Brokerage Services LLC, Fidelity Personal And Workplace Advisors and Strategic Advisers on alert to review carefully the activity and performance of their accounts and question whether Gage Dahmann has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage Services LLC, Fidelity Personal And Workplace Advisors and Strategic Advisers 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 Fidelity Brokerage Services LLC Due To Gage Dahmann If you have questions about Fidelity Brokerage Services LLC, Fidelity Personal And Workplace Advisors, Strategic Advisers, and/or Gage Dahmann 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

Gary Knadle of The GMS Group

DID GARY KNADLE CAUSE YOU INVESTMENT LOSSES? Gary Knadle Of The GMS Group Has 3 Customer Complaints For Alleged Broker Misconduct Who is Gary Knadle of The GMS Group? Gary Knadle (CRD #837250) who is currently registered with The GMS Group and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Gary Knadle Customer Complaints Gary Knadle has been the subject of3 customer complaints that we know about. Two of Gary Knadle’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against The GMS Group for investment losses caused by Gary Knadle’s alleged misconduct. Allegations Against Gary Knadle A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Gary Knadle’s alleged unsuitable recommendations and misrepresentation of investment in certain corporate bonds. Client alleges Gary Knadle’s unsuitable recommendations, Breach of fiduciary duty, negligence, fraud, breach of contract, violation of Securities Exchange Act, section 10(b) and Rule 10b-5. The amount of potential risk involved in the purchases of corporate debt in Lehman Brothers and Citigroup bonds allegedly by Gary Knadle was not disclosed properly. Gary Knadle Red Flags & Your Rights As An Investor Of course, Gary Knadle 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 Gary Knadle at The GMS Group on alert to review carefully the activity and performance of their accounts and question whether Gary Knadle has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The GMS Group 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 The GMS Group Due To Gary Knadle If you have questions about The GMS Group and/or Gary Knadle 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 Klimpt of Cetera Investment Services

DID RICHARD KLIMPT CAUSE YOU INVESTMENT LOSSES? Richard Klimpt Of Cetera Investment Services LLC, Cetera Investment Advisers And Formerly With PNC Investments Has One Customer Complaint For Alleged Broker Misconduct Who is Richard Klimpt of Cetera Investment Services LLC? Richard Klimpt (CRD #1264574) who is currently registered with Cetera Investment Services LLC, Cetera Investment Advisers and located in Homewood, Alabama is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Investment Services LLC, Cetera Investment Advisers, Richard Klimpt was associated with PNC Investments and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Klimpt Customer Complaint Richard Klimpt 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 client alleges that it was her understanding that she was investing in a certificate of deposit and not an annuity. Richard Klimpt’s customer complaint was denied and the customers did not take any further action. Richard Klimpt Red Flags & Your Rights As An Investor Of course, Richard Klimpt 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 Klimpt at Cetera Investment Services LLC, Cetera Investment Advisers, and PNC Investments on alert to review carefully the activity and performance of their accounts and question whether Richard Klimpt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Investment Services LLC, Cetera Investment Advisers, and PNC 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 Cetera Investment Services LLC Due To Richard Klimpt If you have questions about Cetera Investment Services LLC, Cetera Investment Advisers, PNC Investments, and/or Richard Klimpt 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

Robert Klein of J.P. Morgan Securities

DID ROBERT KLEIN CAUSE YOU INVESTMENT LOSSES? Robert Klein Formerly With J.P. Morgan Securities LLC Has 12 Customer Complaints For Alleged Broker Misconduct Who is Robert Klein formerly with J.P. Morgan Securities LLC? Robert Klein (CRD #1254422) who was formerly registered with J.P. Morgan Securities LLC and located in Newport Beach, California is a subject of one of our many securities industry sales practice abuse investigations. Robert Klein Customer Complaints Robert Klein has been the subject of12 customer complaints that we know about. One arbitration award was entered against J.P. Morgan Securities LLC for Robert Klein’s alleged misconduct in favor of the investor in the amount of over $1.1 million plus interest. Nine of Robert Klein’s 12 customer complaints were settled in favor of investors. One of Robert Klein’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against J.P. Morgan Securities LLC for investment losses caused by Robert Klein’s alleged misconduct. Allegations Against Robert Klein 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 Robert Klein was negligent and breached his fiduciary duty as a result of improper levels of concentration, leverage and short selling associated with the managed account investment strategy. Client alleged fraud, negligence, misrepresentation, breach of contract and breach of fiduciary duty by Robert Klein. Client alleged that Robert Klein misrepresented the level of risk and use of margin and leverage in managed account. Client alleged breach of fiduciary duty, breach of contract, negligence and misrepresentation of risk associated with Robert Klein’s alleged investment strategy, and that specific investments were too aggressive and over concentrated. Client alleged Robert Klein’s breach of fiduciary duty, breach of contract, negligence and misrepresentation of risk in connection with alleged unsuitable investments and the Portfolio Manager’s investment strategy. Client alleged Robert Klein’s breach of fiduciary duty, breach of contract, negligence, unauthorized margin transactions and misrepresentation of the risk associated with investment strategy and that the selected investments were unsuitable for the account. Client alleged overconcentration of account in short treasury bonds by Robert Klein. Client alleged that account was invested too aggressively and an overconcentration of account in short treasury bonds by Robert Klein. Client alleged that in connection with the portfolio manager’s investment strategy, Robert Klein allegedly misrepresented the risk of that strategy and breached his fiduciary duties by directing unsuitable and over concentrated investments and failing to follow instructions. Client alleged unsuitability regarding managed account investments by Robert Klein. Clients allegd Robert Klein’s misrepresentation, omissions and breach of fiduciary duty in connection with alleged unsuitable investments and improper allocation of assets as part of an investment strategy in a managed account. Robert Klein’s alleged breach of fiduciary duty, breach of written and oral contract, constructive fraud, fraud by misrepresentation and omission, and violation of state and federal securities laws. Robert Klein Red Flags & Your Rights As An Investor Of course, Robert Klein 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 Robert Klein at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Robert Klein has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities 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 J.P. Morgan Securities LLC Due To Robert Klein If you have questions about J.P. Morgan Securities LLC and/or Robert Klein 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

Mansoor Kisat of M.S. Howells

DID MANSOOR KISAT CAUSE YOU INVESTMENT LOSSES? Mansoor Kisat Of M. S. Howells & Co, Aljian Capital Management And Formerly With Morgan Stanley Has One Customer Complaint For Alleged Broker Misconduct Who is Mansoor Kisat of M. S. Howells & Co? Mansoor Kisat (CRD #1392148) who is currently registered with M. S. Howells & Co, Aljian Capital Managementand located in Henderson, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Prior to M. S. Howells & Co, Aljian Capital Management, Mansoor Kisat was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mansoor Kisat Customer Complaint Mansoor Kisat 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 500 shares of a stock were sold without authorization. Mansoor Kisat’s customer complaint was denied and the customers did not take any further action. Mansoor Kisat Red Flags & Your Rights As An Investor Of course, Mansoor Kisat 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 Mansoor Kisat at M. S. Howells & Co, Aljian Capital Management, and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Mansoor Kisat has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at M. S. Howells & Co, Aljian Capital Management, and Morgan Stanley 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 M. S. Howells & Co Due To Mansoor Kisat If you have questions about M. S. Howells & Co, Aljian Capital Management, Morgan Stanley, and/or Mansoor Kisat 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

Robert Keyser of Dawson James Securities

DID ROBERT KEYSER CAUSE YOU INVESTMENT LOSSES? Robert Keyser Of Dawson James Securities, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Robert Keyser of Dawson James Securities, Inc.? Robert Keyser (CRD #1291503) who is currently registered with Dawson James Securities, Inc. and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Robert Keyser Customer Complaint Robert Keyser has been the subject of 2 customer complaints that we know about, one of which was filed in the last year to recover investment losses. One of Robert Keyser’s 2 customer complaints was settled in favor of investors. The customer complaint filed against Robert Keyser’s current employer Dawson James Securities, Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Allegations Against Robert Keyser A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Robert Keyser’s alleged breach of fiduciary responsibility. Robert Keyser’s alleged failure to execute. Robert Keyser Red Flags & Your Rights As An Investor Of course, Robert Keyser 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 Robert Keyser at Dawson James Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Robert Keyser has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Dawson James Securities, 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 Dawson James Securities, Inc. Due To Robert Keyser If you have questions about Dawson James Securities, Inc. and/or Robert Keyser 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 Kidwell of LPL Financial

DID JAMES KIDWELL CAUSE YOU INVESTMENT LOSSES? James Kidwell Of LPL Financial LLC, Private Advisor Group Has One Customer Complaint For Alleged Broker Misconduct Who is James Kidwell of LPL Financial LLC? James Kidwell (CRD #1284843) who is currently registered with LPL Financial LLC, Private Advisor Group and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. James Kidwell Customer Complaint James Kidwell 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 stock positions were sold contrary to instructions to liquidate only ETFs. James Kidwell’s customer complaint was settled in favor of investors. James Kidwell Red Flags & Your Rights As An Investor Of course, James Kidwell 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 Kidwell at LPL Financial LLC and Private Advisor Group on alert to review carefully the activity and performance of their accounts and question whether James Kidwell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Private Advisor Group 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 James Kidwell If you have questions about LPL Financial LLC, Private Advisor Group, and/or James Kidwell 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

Timothy Kenyon of Triad Advisors

DID TIMOTHY KENYON CAUSE YOU INVESTMENT LOSSES? Timothy Kenyon Of Triad Advisors LLC And Formerly With GWN Securities Has 3 Customer Complaints For Alleged Broker Misconduct Who is Timothy Kenyon of Triad Advisors LLC? Timothy Kenyon (CRD #1324495) who is currently registered with Triad Advisors LLC and located in Somerville, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Triad Advisors LLC, Timothy Kenyon was associated with GWN Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Timothy Kenyon Customer Complaints Timothy Kenyon has been the subject of 3 customer complaints that we know about. One of Timothy Kenyon’s 3 customer complaints was settled in favor of investors. Two of Timothy Kenyon’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Timothy Kenyon 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 Timothy Kenyon made unauthorized trades within his account. The customers’ son, acting as the attorney for his father’s estate and for his mother, alleges an unsuitable investment strategy and complains of associated portfolio losses allegedly committed by Timothy Kenyon. Timothy Kenyon Red Flags & Your Rights As An Investor Of course, Timothy Kenyon 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 Timothy Kenyon at Triad Advisors LLC and GWN Securities on alert to review carefully the activity and performance of their accounts and question whether Timothy Kenyon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Triad Advisors LLC and GWN 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 Triad Advisors LLC Due To Timothy Kenyon If you have questions about Triad Advisors LLC, GWN Securities, and/or Timothy Kenyon 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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