Mar 8, 2022

Kenneth Chung of J.P. Morgan Securities

DID KENNETH HWAN CHUNG CAUSE YOU INVESTMENT LOSSES? Kenneth Chung Of J.P. Morgan Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Kenneth Chung of J.P. Morgan Securities? Kenneth Chung (CRD #2980181) who is currently registered with J.P. Morgan Securities and located in Cerritos, California is a subject of one of our many securities industry sales practice abuse investigations. Kenneth Chung Customer Complaint Kenneth Chung 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 client alleges poor advice regarding managed account investment. Kenneth Chung’s customer complaint was denied and, to date, the customer has not taken any further action. Kenneth Chung Red Flags & Your Rights As An Investor Of course, Kenneth Chung 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 Chung at J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Kenneth Chung has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At J.P. Morgan Securities Due To Kenneth Chung If you have questions about J.P. Morgan Securities and/or Kenneth Chung 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

Larry Cohen of Aegis Capital

DID LARRY OVADIA COHEN CAUSE YOU INVESTMENT LOSSES? Larry Cohen Of Aegis Capital And Formerly With Osprey Partners And Paulson Investment Company Has 2 Customer Complaints For Alleged Broker Misconduct Who is Larry Cohen of Aegis Capital? Larry Cohen (CRD #3191796) who is currently registered with Aegis Capitaland located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Larry Cohen was associated with Osprey Partners, Paulson Investment Company and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Larry Cohen Customer Complaints Larry Cohen has been the subject of 2 customer complaints that we know about. One of Larry Cohen’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Osprey Partners for investment losses caused by Larry Cohen’s alleged misconduct. Allegations Against Larry Cohen A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: A group of claimants alleged that Larry Cohen failed to make material disclosures regarding the claimants’ investments in two real estate projects. Client alleged that Larry Cohen executed trades in his account without his authorization. Larry Cohen Red Flags & Your Rights As An Investor Of course, Larry Cohen 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 Larry Cohen at Aegis Capital, Osprey Partners, and Paulson Investment Company on alert to review carefully the activity and performance of their accounts and question whether Larry Cohen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital, Osprey Partners, and Paulson Investment 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 Aegis Capital Due To Larry Cohen If you have questions about Aegis Capital, Osprey Partners, Paulson Investment Company, and/or Larry Cohen 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

Philip Coleman of Vanguard Marketing

DID PHILIP ANDREW COLEMAN CAUSE YOU INVESTMENT LOSSES? Philip Coleman Of Vanguard Marketing And Vanguard Advisers Has A Customer Complaint For Alleged Broker Misconduct Who is Philip Coleman of Vanguard Marketing? Philip Coleman (CRD #3207465) who is currently registered with Vanguard Marketing, Vanguard Advisers and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Philip Coleman Customer Complaint Philip Coleman 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 Philip Coleman failed to follow instructions in a timely manner. Philip Coleman Red Flags & Your Rights As An Investor Of course, Philip Coleman 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 Philip Coleman at Vanguard Marketing and Vanguard Advisers on alert to review carefully the activity and performance of their accounts and question whether Philip Coleman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vanguard Marketing and Vanguard 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 Vanguard Marketing Due To Philip Coleman If you have questions about Vanguard Marketing, Vanguard Advisers, and/or Philip Coleman 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

Bruce Larsen formerly with Forta Financial Group, Inc.

DID BRUCE ALLEN LARSEN CAUSE YOU INVESTMENT LOSSES? Bruce Larsen Formerly With Forta Financial Group, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Bruce Larsen formerly with Forta Financial Group, Inc.? Bruce Larsen (CRD #3172376) who was formerly registered with Forta Financial Group, Inc. and located in Colorado Springs, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Bruce Larsen Customer Complaints Bruce Larsen has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. There are currently 2 pending customer complaints filed against Bruce Larsen’s former employer Forta Financial Group, Inc. for investment losses caused by the alleged misconduct. Allegations Against Bruce Larsen A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendations and fraud related to non-traded, business development company investments. Misrepresentations related to non-traded, business development company investments. Bruce Larsen Red Flags & Your Rights As An Investor Of course, Bruce Larsen 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 Bruce Larsen at Forta Financial Group, Inc. on alert to review carefully the activity and performance of their accounts and question whether Bruce Larsen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Forta 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 Forta Financial Group, Inc. Due To Bruce Larsen If you have questions about Forta Financial Group, Inc. and/or Bruce Larsen 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

Stephen Whittaker Formerly With First Financial Equity

DID STEPHEN LEROY WHITTAKER CAUSE YOU INVESTMENT LOSSES? Stephen Whittaker Formerly With First Financial Equity Has 2 Customer Complaints For Alleged Broker Misconduct Who is Stephen Whittaker formerly with First Financial Equity? Stephen Whittaker (CRD #831764) who was formerly registered with First Financial Equity and located in Surprise, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Stephen Whittaker has also been the subject of a FINRA investigation which was settled by consent with a 3 month suspension and $5,000 fine for allegedly engaging in outside business activities without the firm’s approval. Stephen Whittaker Customer Complaints Stephen Whittaker has been the subject of 2 customer complaints that we know about. One of Stephen Whittaker’s 2 customer complaints was settled in favor of investors.  One of Stephen Whittaker’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Stephen Whittaker A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Stephen Whittaker’s unauthorized trades and suitability. Customer alleged she was not told of potential tax liability by Stephen Whittaker when liquidating an annuity and not redepositing within 60 days. Stephen Whittaker Red Flags & Your Rights As An Investor Of course, Stephen Whittaker 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 Whittaker at First Financial Equity on alert to review carefully the activity and performance of their accounts and question whether Stephen Whittaker has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Financial Equity 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 First Financial Equity Due To Stephen Whittaker If you have questions about First Financial Equity and/or Stephen Whittaker 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

Christopher Willett Of Janney Montgomery Scott

DID CHRISTOPHER GODWIN WILLETT CAUSE YOU INVESTMENT LOSSES? Christopher Willett Of Janney Montgomery Scott Has 3 Customer Complaints For Alleged Broker Misconduct Who is Christopher Willett of Janney Montgomery Scott? Christopher Willett (CRD #1064583) who is currently registered with Janney Montgomery Scott and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Christopher Willett Customer Complaints Christopher Willett has been the subject of 3 customer complaints that we know about.  All of Christopher Willett’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Christopher Willett 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 Christopher Willett did not invest the client’s assets as instructed which resulted in losses in the client’s accounts. Written complaint submitted by customer, beneficiary of the IRA of customer and on behalf of third party, beneficiary of the IRA of customer, alleges Christopher Willett’s excessive trading, unauthorized trading, unsuitability and misrepresentation of various transactions. Further allegations include unauthorized trading in her father’s IRA account. Written complaint contains allegations including Christopher Willett’s excessive trading, unauthorized trading, unsuitability and misrepresentation with regard to transactions. Client further alleges trades were placed in her deceased father’s account prior to and near his passing without consent. Christopher Willett Red Flags & Your Rights As An Investor Of course, Christopher Willett 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 Christopher Willett at Janney Montgomery Scott on alert to review carefully the activity and performance of their accounts and question whether Christopher Willett has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Janney Montgomery Scott also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Janney Montgomery Scott Due To Christopher Willett If you have questions about Janney Montgomery Scott and/or Christopher Willett 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

Anthony Williams Formerly With Merrill Lynch Pierce Fenner & Smith

DID ANTHONY WAYNE WILLIAMS CAUSE YOU INVESTMENT LOSSES? Anthony Williams Formerly With Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Anthony Williams formerly with Merrill Lynch Pierce Fenner & Smith? Anthony Williams (CRD #710963) who was formerly registered with Merrill Lynch Pierce Fenner & Smith and located in Huntington, West Virginia is a subject of one of our many securities industry sales practice abuse investigations. Stephen Whittaker Customer Complaints Anthony Williams has been the subject of 2 customer complaints that we know about. One of Anthony Williams’ 2 customer complaints was settled in favor of investors. One of Anthony Williams’ customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Anthony Williams 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 claims that he wanted a “safe” portfolio and Anthony Williams allegedly did not follow his directions. The customer’s attorney alleged Anthony Williams’ excessive trading. Anthony Williams Red Flags & Your Rights As An Investor Of course, Anthony Williams 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 Anthony Williams at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Anthony Williams has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Merrill Lynch Pierce Fenner & Smith Due To Anthony Williams If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Anthony Williams 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

Marc Alport of Wells Fargo Clearing Services

DID MARC HARRIS ALPORT CAUSE YOU INVESTMENT LOSSES? Marc Alport Of Wells Fargo Clearing Services And Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Marc Alport of Wells Fargo Clearing Services? Marc Alport (CRD #1567225) who is currently registered with Wells Fargo Clearing Services and located in Portland, Oregon is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Marc Alport was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Marc Alport Customer Complaints Marc Alport has been the subject of 2 customer complaints that we know about. One of Marc Alport’s 2 customer complaints was settled in favor of investors. One of Marc Alport’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Marc Alport 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 Marc Alport did not make her requested account changes at the time he was instructed. Client alleges that “I did not put in a sell on Zoltec and that Marc Alport , therefore, engage in unauthorized trading. Marc Alport Red Flags & Your Rights As An Investor Of course, Marc Alport 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 Marc Alport at Wells Fargo Clearing Services and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Marc Alport has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services 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 Wells Fargo Clearing Services Due To Marc Alport If you have questions about Wells Fargo Clearing Services, Morgan Stanley, and/or Marc Alport 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

Donald Wojnowski Of Paulson Investment Company

DID DONALD ANTHONY WOJNOWSKI CAUSE YOU INVESTMENT LOSSES? Donald Wojnowski Of Paulson Investment Company And Formerly With Halen Capital and Newport Coast Securities Has 3 Customer Complaints For Alleged Broker Misconduct Who is Donald Wojnowski of Paulson Investment Company? Donald Wojnowski (CRD #1037990) who is currently registered with Paulson Investment Company and located in St. Petersburg, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Paulson Investment Company, Donald Wojnowski was associated with Halen Capital, Newport Coast Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Donald Wojnowski Customer Complaints Donald Wojnowski has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two arbitration awards were entered against Empire Financial Group, Jesup & Lamont Securities, and Paulson Investment Company for Donald Wojnowski’s alleged misconduct causing investors losses.  One of Donald Wojnowski’s customer complaints was settled in favor of investors. Allegations Against Donald Wojnowski A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Donald Wojnowski’s alleged failure to supervise. Mr. Miz alleges that he was unable to sell a security for a loss to offset gains for tax year allegedly made by Donald Wojnowski. Donald Wojnowski Red Flags & Your Rights As An Investor Of course, Donald Wojnowski 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 Donald Wojnowski at Paulson Investment Company, Halen Capital, and Newport Coast Securities on alert to review carefully the activity and performance of their accounts and question whether Donald Wojnowski has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Paulson Investment Company, Halen Capital, and Newport Coast 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 Paulson Investment Company Due To Donald Wojnowski If you have questions about Paulson Investment Company, Halen Capital, Newport Coast Securities, and/or Donald Wojnowski 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

Ryan Alvarez of Lion Street Financial

DID RYAN ROBERT ALVAREZ CAUSE YOU INVESTMENT LOSSES? Ryan Alvarez of Lion Street Financial, Lion Street Advisors, And Formerly With Wayne Hummer Investments Has 3 Customer Complaints For Alleged Broker Misconduct Who is Ryan Alvarez of Lion Street Financial? Ryan Alvarez (CRD #4266877) who is currently registered with Lion Street Financial, Lion Street Advisors,and located in Naperville, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Lion Street Financial, Lion Street Advisors, Ryan Alvarez was associated with Wayne Hummer Investments and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ryan Alvarez Customer Complaints Ryan Alvarez has been the subject of 3 customer complaints that we know about. Three of Ryan Alvarez’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Ryan Alvarez 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 Ryan Alvarez improperly completed the variable annuity application resulting in the lifetime income benefit rider being based on client life only and not with the Spousal Continuation Benefit as the client desired. Client purchased Jackson National Life variable annuity and alleged that he did not have any knowledge regarding the Jackson variable annuity transaction made by Ryan Alvarez and it was unsuitable. Clients claim mutual fund allegedly made by Ryan Alvarez not suitable. Ryan Alvarez Red Flags & Your Rights As An Investor Of course, Ryan Alvarez 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 Ryan Alvarez at Lion Street Financial, Lion Street Advisors, and Wayne Hummer Investments on alert to review carefully the activity and performance of their accounts and question whether Ryan Alvarez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lion Street Financial, Lion Street Advisors, and Wayne Hummer Investments 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 Lion Street Financial Due To Ryan Alvarez If you have questions about Lion Street Financial, Lion Street Advisors, Wayne Hummer Investments, and/or Ryan Alvarez 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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