Mar 8, 2022

Edgar Mock of Trustmont Financial Group

DID EDGAR MOCK CAUSE YOU INVESTMENT LOSSES? Edgar Mock Of Trustmont Financial Group, Inc., And Money Management Advisory Has One Customer Complaint For Alleged Broker Misconduct Who is Edgar Mock of Trustmont Financial Group, Inc.? Edgar Mock (CRD #1309680) who is currently registered with Trustmont Financial Group, Inc., Money Management Advisory and located in Feasterville, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Edgar Mock has had his own problems with the regulators. Both FINRA and the State of Maryland investigated and sanctioned him. Maryland sanctioned him for transacting business as an unregistered investment adviser. FINRA alleged that Edgar Mock prepared false documents and suspended him from acting as a principal of any firm for one year in addition to a fine. Edgar Mock Customer Complaint Edgar Mock 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 alleged unsuitable securities, common law fraud, breach of fiduciary duty, unjust enrichment, the failure to supervise, and violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Law. The customer complaint filed against Edgar Mock’s current employer Money Management Advisory for investment losses caused by the alleged misconduct is pending as of the date of this report. Edgar Mock Red Flags & Your Rights As An Investor Of course, Edgar Mock 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 Edgar Mock at Trustmont Financial Group, Inc. and Money Management Advisory on alert to review carefully the activity and performance of their accounts and question whether Edgar Mock has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Trustmont Financial Group, Inc. and Money Management Advisory 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 Trustmont Financial Group, Inc. Due To Edgar Mock If you have questions about Trustmont Financial Group, Inc., Money Management Advisory, and/or Edgar Mock 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

Dean Mings of The Tavenner

DID DEAN MINGS CAUSE YOU INVESTMENT LOSSES? Dean Mings Formerly With The Tavenner Company Has 2 Customer Complaints For Alleged Broker Misconduct Who is Dean Mings formerly with The Tavenner Company? Dean Mings (CRD #1197212) who was formerly registered with The Tavenner Company and located in Springfield, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Dean Mings Customer Complaints Dean Mings has been the subject of 2 customer complaints that we know about. One of Dean Mings’ customers’ complaints was denied and the customer did not take any further action. There is currently one pending customer complaint filed against The Tavenner Company for investment losses caused by Dean Mings’ alleged misconduct. Allegations Against Dean Mings 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 that he did not know of the 82 basis point fund managers fee many years after the investment. The representative Dean Mings allegedly did not explain this fact or supply him with a prospectus. Claimant alleged unsuitable recommendations related to the purchase of both annuities and life insurance, forgery of customer’s signature by registered representative, unethical and improper conduct by representative, Dean Mings by having power of attorney over customer and being named partial beneficiary of a variable annuity held by customer, and “Selling away” by assisting the customer with purchase of private security not approved by the firm. Dean Mings Red Flags & Your Rights As An Investor Of course, Dean Mings 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 Dean Mings at The Tavenner Company on alert to review carefully the activity and performance of their accounts and question whether Dean Mings has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The Tavenner Company also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At The Tavenner Company Due To Dean Mings If you have questions about The Tavenner Company and/or Dean Mings 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

Frank Neese of Indiana Securities

DID FRANK NEESE CAUSE YOU INVESTMENT LOSSES? Frank Neese of Indiana Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Frank Neese of Indiana Securities, LLC? Frank Neese (CRD #871154) who is currently registered with Indiana Securities, LLC and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Frank Neese Customer Complaints Frank Neese has been the subject of 2 customer complaints that we know about. Two of Frank Neese’s 2 customer complaints were settled in favor of investors. Allegations Against Frank Neese A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Frank Neese allegedly made a recommendation of an inappropriate investment. Customer claims breach of contract and breach of duties allegedly by Frank Neese owed to a client connection with the purchase of corporate debt. Frank Neese Red Flags & Your Rights As An Investor Of course, Frank Neese 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 Frank Neese at Indiana Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Frank Neese has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Indiana 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 Indiana Securities, LLC Due To Frank Neese If you have questions about Indiana Securities, LLC and/or Frank Neese 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 Randall of Cambridge Investment Research

DID WILLIAM RANDALL CAUSE YOU INVESTMENT LOSSES? William Randall Of Cambridge Investment Research, Inc., Cambridge Investment Research Advisors And Formerly With LPL Financial Has 2 Customer Complaints For Alleged Broker Misconduct Who is William Randall of Cambridge Investment Research, Inc.? William Randall (CRD #1392233) who is currently registered with Cambridge Investment Research, Inc., Cambridge Investment Research Advisors and located in Rockford, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, William Randall was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Randall Customer Complaints William Randall 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 William Randall’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against LPL Financial for investment losses caused by William Randall’s alleged misconduct. Allegations Against William Randall A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged that William Randall made unsuitable investments in their accounts. Claimants alleged they desired to purchase low-risk investments, but were encouraged to invest in two unsuitable investments, which caused them to sustain damages under theories of breach of fiduciary duty and breach of contract. William Randall Red Flags & Your Rights As An Investor Of course, William Randall 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 Randall at Cambridge Investment Research, Inc., Cambridge Investment Research Advisors and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether William Randall has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research, Inc., Cambridge Investment Research Advisors and LPL Financial 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 Cambridge Investment Research, Inc. and LPL Financial Due To William Randall If you have questions about Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, LPL Financial, and/or William Randall 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

Neil Raisanen of Raymond James Financial Services

DID NEIL RAISANEN CAUSE YOU INVESTMENT LOSSES? Neil Raisanen Of Raymond James Financial Services, Inc. And Raymond James Financial Services Advisors Has One Customer Complaint For Alleged Broker Misconduct Who is Neil Raisanen of Raymond James Financial Services, Inc.? Neil Raisanen (CRD #1111266) who is currently registered with Raymond James Financial Services, Inc., Raymond James Financial Services Advisors and located in South St. Paul, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Neil Raisanen Customer Complaint Neil Raisanen 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 advisor withheld information needed to perform fiduciary duties as trustee. Neil Raisanen’s customer complaint was denied and, to date, the customers have not taken any further action. Neil Raisanen Red Flags & Your Rights As An Investor Of course, Neil Raisanen 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 Neil Raisanen at Raymond James Financial Services, Inc., Raymond James Financial Services Advisors on alert to review carefully the activity and performance of their accounts and question whether Neil Raisanen 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 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 Neil Raisanen If you have questions about Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, and/or Neil Raisanen 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 Radli of Raymond James Associates

DID ROBERT RADLI CAUSE YOU INVESTMENT LOSSES? Robert Radli Of Raymond James Associates, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Robert Radli of Raymond James Associates, Inc.? Robert Radli (CRD #1076710) who is currently registered with Raymond James Associates, Inc. and located in Palm Beach Gardens, Florida is a subject of one of our many securities industry sales practice abuse investigations. Robert Radli Customer Complaints Robert Radli has been the subject of 2 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of Robert Radli’s 2 customer complaints was settled in favor of investors. One of Robert Radli’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Robert Radli 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 unsuitable investment recommendations by Robert Radli. Client alleged unsuitable makeup of investments which resulted in losses by Robert Radli. Robert Radli Red Flags & Your Rights As An Investor Of course, Robert Radli 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 Radli at Raymond James Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Robert Radli has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Associates, 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 Raymond James Associates, Inc. Due To Robert Radli If you have questions about Raymond James Associates, Inc. and/or Robert Radli 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

Randall Raciti of Securian Financial Services

DID RANDALL RACITI CAUSE YOU INVESTMENT LOSSES? Randall Raciti Of Securian Financial Services, Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Randall Raciti of Securian Financial Services? Randall Raciti (CRD #1191411) who is currently registered with Securian Financial Services, Inc. and located in South Bend, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Randall Raciti Customer Complaint Randall Raciti 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 funds were not reallocated as intended after their partial rollovers from their 403(b) accounts were done. Randall Raciti’s customer complaint was settled in favor of investors. Randall Raciti Red Flags & Your Rights As An Investor Of course, Randall Raciti 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 Randall Raciti at Securian Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Randall Raciti has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securian Financial Services, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Securian Financial Services, Inc. Due To Randall Raciti If you have questions about Securian Financial Services, Inc. and/or Randall Raciti 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 Quall of Raymond James Financial Services

DID MATTHEW QUALL CAUSE YOU INVESTMENT LOSSES? Matthew Quall Formerly With Raymond James Financial Services, Inc. And Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Matthew Quall formerly with Raymond James Financial Services, Inc.? Matthew Quall (CRD #1333109) who was formerly registered with Raymond James Financial Services, Inc., Raymond James Financial Services Advisors and located in Northfield, Illinois 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, Matthew Quall was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Matthew Quall Customer Complaints Matthew Quall has been the subject of 2 customer complaints that we know about. One of Matthew Quall’s 2 customer complaints resulted in an arbitration award in favor of the investors. One of Matthew Quall’s customer complaint was denied and, to date, the customers have not taken any further action. Allegations Against Matthew Quall A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client alleged his financial information was inflated on his account application which led to his ability to make riskier trades than he otherwise would have qualified for which led to losses. The client also alleged the inflated financial information led to an inequitable divorce settlement. The client also alleged that the Matthew Quall did not always confirm transactions. Customers alleged against Matthew Quall: misrepresentation; breach of fiduciary duty; account related-negligence; executions-limit v. market order; unsuitable investment recommendations. Matthew Quall Red Flags & Your Rights As An Investor Of course, Matthew Quall 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 Quall at Raymond James Financial Services, Inc., Raymond James Financial Services Advisors and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Matthew Quall 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 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 Raymond James Financial Services, Inc. and Wells Fargo Clearing Services Due To Matthew Quall If you have questions about Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, Wells Fargo Clearing Services, and/or Matthew Quall 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

Lisa Press of Robert W. Baird Co.

DID LISA PRESS CAUSE YOU INVESTMENT LOSSES? Lisa Press Of Robert W. Baird Co. Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Lisa Press of Robert W. Baird Co. Inc.? Lisa Press (CRD #1001173) who is currently registered with Robert W. Baird Co. Inc. and located in Sarasota, Florida is a subject of one of our many securities industry sales practice abuse investigations. Lisa Press Customer Complaint Lisa Press 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 he failed to receive documentation notifying him that there were problems with a municipal bond he owned, causing him a loss. Lisa Press’ customer complaint was settled in favor of the investors. Lisa Press Red Flags & Your Rights As An Investor Of course, Lisa Press 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 Lisa Press at Robert W. Baird Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Lisa Press has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Robert W. Baird Co. 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 Robert W. Baird Co. Inc. Due To Lisa Press If you have questions about Robert W. Baird Co. Inc. and/or Lisa Press 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

Brian Presley of FSC Securities

DID BRIAN PRESLEY CAUSE YOU INVESTMENT LOSSES? Brian Presley Formerly With FSC Securities Corp. Has 9 Customer Complaints For Alleged Broker Misconduct Who is Brian Presley formerly with FSC Securities Corp.? Brian Presley (CRD #1077118) who was formerly registered with FSC Securities Corp. and located in Punta Gorda, Florida is a subject of one of our many securities industry sales practice abuse investigations. We are not the only ones who investigated Brian Presley. The NASD n/k/a FINRA launched two investigations and sanctioned him for broker misconduct. Brian Presley Customer Complaints Brian Presley has been the subject of 9 customer complaints that we know about. Seven of Brian Presley’s 9 customer complaints were settled in favor of investors. Two of Brian Presley’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Brian Presley A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Breach of various duties in sale of two investments allegedly made by Brian Presley. Claimant alleged unsuitable investment recommendations by Brian Presley. Claimants alleged misrepresentations, negligence and breach of fiduciary duties relative to their accounts committed by Brian Presley. Claimants alleged unsuitable investments recommendations by Brian Presley. Client alleged Brian Presley’s misrepresentation in exchange of a variable universal life policy to a universal life policy. Clients alleged that the Behringer Harvard REIT investment was an unsuitable investment recommendations made by Brian Presley. Customer alleged that Brian Presley represented that the investment was liquid and it is not. Customers alleged Brian Presley’s $50,000 purchase of a Behringer Harvard REIT was unsuitable for them. Misrepresentation, negligence, and sale of unsuitable securities allegedly by Brian Presley. Brian Presley Red Flags & Your Rights As An Investor Of course, Brian Presley 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 Brian Presley at FSC Securities Corp. on alert to review carefully the activity and performance of their accounts and question whether Brian Presley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at FSC Securities Corp. 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 FSC Securities Corp. Due To Brian Presley If you have questions about FSC Securities Corp. and/or Brian Presley 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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