Mar 8, 2022

Darla Amato formerly with IMS Securities

DID DARLA GAMMON D’AMATO CAUSE YOU INVESTMENT LOSSES? Darla Amato Formerly With IMS Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Darla Amato formerly with IMS Securities? Darla Amato (CRD #2432363) who was formerly registered with IMS Securities and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to IMS Securities, Darla Amato was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Darla Amato Customer Complaint Darla Amato 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 claimant alleges the financial advisor made investments that were illiquid and risky. The customer complaint filed against Grand Parkway Capital for investment losses caused by the alleged misconduct is pending as of the date of this report. Darla Amato Red Flags & Your Rights As An Investor Of course, Darla Amato 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 Darla Amato at IMS Securities on alert to review carefully the activity and performance of their accounts and question whether Darla Amato has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at IMS 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 IMS Securities Due To Darla Amato If you have questions about IMS Securities and/or Darla Amato 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

Robby Ammons of Pruco Securities

DID ROBBY EDWARD AMMONS CAUSE YOU INVESTMENT LOSSES? Robby Ammons Of Pruco Securities And Formerly With Bankers Life Securities and ProEquities Has A Customer Complaint For Alleged Broker Misconduct Who is Robby Ammons of Pruco Securities? Robby Ammons (CRD #4278581) who is currently registered with Pruco Securities and located in Hendersonville, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Pruco Securities, Robby Ammons was associated with Bankers Life Securities, ProEquities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robby Ammons Customer Complaint Robby Ammons 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 in a written complaint, addressed to Bankers Life and Casualty Company (BLC), an insurance company affiliate of the Bankers Life Securities.  In that complaint, the customer alleged that her registered representative, while then-associated with the firm and BLC, made an unsuitable recommendation to purchase a Guaranteed Life Income Annuity (GLIA). Customer alleged that the annuity would not be able to guarantee her lifetime income in retirement as it was established as an Inherited IRA and the Required Minimum Distributions would be greater that the guaranteed income and thus would deplete her principal. Customer asked to be released of the annuity without surrender fees. After reviewing the allegations in the complaint, BLC determined that the sale of the annuity was suitable, but as an accommodation allowed the client to surrender the policy without penalty. While the GLIA sold to Customer was not security and was issued by BLC, the Bankers Life Securities is reporting this complaint because the source of funding for the BLC annuity came from the sale of securities recommended by a former registered representative of the firm. Robby Ammons’ customer complaint was settled in favor of the investors. Robby Ammons Red Flags & Your Rights As An Investor Of course, Robby Ammons 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 Robby Ammons at Pruco Securities, Bankers Life Securities, and ProEquities on alert to review carefully the activity and performance of their accounts and question whether Robby Ammons has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities, Bankers Life Securities, and ProEquities 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 Pruco Securities Due To Robby Ammons If you have questions about Pruco Securities, Bankers Life Securities, ProEquities, and/or Robby Ammons 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

Mitchell Wolfe Formerly With Merrill Lynch Pierce Fenner & Smith

DID MITCHELL JAMES WOLFE CAUSE YOU INVESTMENT LOSSES? Mitchell Wolfe Formerly With Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Mitchell Wolfe formerly with Merrill Lynch Pierce Fenner & Smith? Mitchell Wolfe (CRD #1062945) who was formerly registered with Merrill Lynch Pierce Fenner & Smith and located in Duluth, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Mitchell Wolfe Customer Complaint Mitchell Wolfe 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 the customer alleges unsuitable investment recommendations. Mitchell Wolfe’s customer complaint was denied and, to date, the customers have not taken any further action. Mitchell Wolfe Red Flags & Your Rights As An Investor Of course, Mitchell Wolfe 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 Mitchell Wolfe at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Mitchell Wolfe 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 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 Due To Mitchell Wolfe If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Mitchell Wolfe 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

Kent Amos of Kovack Securities

DID KENT EDWARD AMOS CAUSE YOU INVESTMENT LOSSES? Kent Amos of Kovack Securities, Kovack Advisors Has 2 Customer Complaints For Alleged Broker Misconduct Who is Kent Amos of Kovack Securities? Kent Amos (CRD #1420455) who is currently registered with Kovack Advisors, Kovack Securities and located in Mobile, Alabama is a subject of one of our many securities industry sales practice abuse investigations. Kent Amos Customer Complaints Kent Amos has been the subject of 2 customer complaints that we know about. One of Kent Amos’ 2 customer complaints was settled in favor of investors. One of Kent Amos’ customer complaints was denied and the customers did not take any further action. Allegations Against Kent Amos A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client’s daughter alleges that a variable annuity that her mother purchased was unsuitable and resulted in high fees allegedly committed by Kent Amos. Kent Amos’ alleged failure to meet with customer prior to witnessing the client signature. Kent Amos Red Flags & Your Rights As An Investor Of course, Kent Amos 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 Kent Amos at Kovack Securities and Kovack Advisors on alert to review carefully the activity and performance of their accounts and question whether Kent Amos has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kovack Securities and Kovack 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 Kovack Securities Due To Kent Amos If you have questions about Kovack Securities, Kovack Advisors, and/or Kent Amos 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

Evan Wuhl Of Wells Fargo Clearing Services

DID EVAN RICHARD WUHL CAUSE YOU INVESTMENT LOSSES? Evan Wuhl Of Wells Fargo Clearing Services Has 16 Customer Complaints For Alleged Broker Misconduct Who is Evan Wuhl of Wells Fargo Clearing Services? Evan Wuhl (CRD #867812) who is currently registered with Wells Fargo Clearing Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Evan Wuhl Customer Complaints Evan Wuhl has been the subject of 16 customer complaints that we know about. Twelve of Evan Wuhl’s 16 customer complaints were settled in favor of investors. Four of Evan Wuhl’s customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against Evan Wuhl A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Evan Wuhl’s alleged unauthorized and unsuitable purchase of stock Claimants alleged that Evan Wuhl’s recommendations were unsuitable. Client complained that he is not willing to take big risks and his investments are down more than the percentage stated by the financial advisor. Claimant alleged that Evan Wuhl’s recommendations of leveraged ETFs were unsuitable. Claimant alleged that respondents and Evan Wuhl inappropriately repeatedly recommended the purchase of multiple share of an inverse-leveraged ETF and then liquidated the entire position in the ETF without her authorization. Claimant alleged unsuitability by Evan Wuhl in that respondents recommended the purchase of mutual funds, individual stocks and leveraged ETFs that were inconsistent with claimants’ investments objectives and financial circumstances. Claimant defined benefit plan alleged that Evan Wuhl’s recommendation of leveraged ETF was unsuitable and unauthorized. Claimants alleged unsuitable investment recommendations in both of two (2) accounts (even though one of these accounts was placed with a third-party money manager). The client alleged that Evan Wuhl placed trades in his account without his authority. The client further alleges the trade was unsuitable for his investment portfolio. The client alleged that Evan Wuhl purchased a security without his authorization. The client alleged that Evan Wuhl misrepresented his triple leveraged short EFT investments. Claimants alleged that Evan Wuhl allegedly recommended unsuitable investments, including both aggressive mutual funds and leveraged ETFs and engaged in unauthorized trading in claimants’ accounts. Evan Wuhl Red Flags & Your Rights As An Investor Of course, Evan Wuhl 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 Evan Wuhl at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Evan Wuhl has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing 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 Wells Fargo Clearing Services Due To Evan Wuhl If you have questions about Wells Fargo Clearing Services and/or Evan Wuhl 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 Anderson of Northwestern Mutual Investment Services

DID JAMES MICHAEL ANDERSON CAUSE YOU INVESTMENT LOSSES? James Anderson Of Northwestern Mutual Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is James Anderson of Northwestern Mutual Investment Services? James Anderson (CRD #4280008) who is currently registered with Northwestern Mutual Investment Services and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations. James Anderson Customer Complaint James Anderson 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 fixed deferred annuity he purchased is unsuitable and that the representative did not inform of the limitations and restrictions, including the illiquid nature of the product, at the time of sale. James Anderson’s customer complaint was denied and the customers did not take any further action. James Anderson Red Flags & Your Rights As An Investor Of course, James Anderson 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 Anderson at Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether James Anderson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment 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 Northwestern Mutual Investment Services Due To James Anderson If you have questions about Northwestern Mutual Investment Services and/or James Anderson 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 Anderson of Cetera Advisor Networks

DID JAMES DONALD ANDERSON CAUSE YOU INVESTMENT LOSSES? James Anderson Of Cetera Advisor Networks, CWM And Formerly With Northwestern Mutual Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is James Anderson of Cetera Advisor Networks? James Anderson (CRD #2636501) who is currently registered with CWM, Cetera Advisor Networks and located in Cedar Rapids, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisor Networks and CWM, James Anderson was associated with Northwestern Mutual Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Anderson Customer Complaint James Anderson 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 representative recommended and processed a 401(k) loan without ensuring the recommendations was appropriate and this resulted in losses due to penalties, sanctions, interest, and expenses. James Anderson’s customer complaint was settled in favor of the investors. James Anderson Red Flags & Your Rights As An Investor Of course, James Anderson 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 Anderson at CWM, Cetera Advisor Networks and Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether James Anderson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at CWM, Cetera Advisor Networks and Northwestern Mutual Investment 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 Cetera Advisor Networks Due To James Anderson If you have questions about CWM, Cetera Advisor Networks, Northwestern Mutual Investment Services, and/or James Anderson 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

Lawrence Anderson of Wells Fargo Advisors Financial Network

DID LAWRENCE JOSEPH ANDERSON CAUSE YOU INVESTMENT LOSSES? Lawrence Anderson Formerly With Wells Fargo Advisors Financial Network And Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Lawrence Anderson of Wells Fargo Advisors Financial Network? Lawrence Anderson (CRD #1445337) who was formerly registered with Wells Fargo Advisors Financial Network and located in Jackson Hole, Wyoming is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Advisors Financial Network, Lawrence Anderson 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. Lawrence Anderson Customer Complaint Lawrence Anderson 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 Lawrence Anderson failed to follow instructions to liquidate 50% of the claimants’ portfolio and none of a specific stock that the claimants’ had instructed Lawrence Anderson to liquidate all of the claimants’ holdings. The customer complaint filed against Lawrence Anderson’s former employer Wells Fargo Advisors Financial Network for investment losses caused by the alleged misconduct is pending as of the date of this report. Lawrence Anderson Red Flags & Your Rights As An Investor Of course, Lawrence Anderson 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 Lawrence Anderson at Wells Fargo Advisors Financial Network and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Lawrence Anderson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Advisors Financial Network 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 Wells Fargo Advisors Financial Network Due To Lawrence Anderson If you have questions about Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, and/or Lawrence Anderson 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

Terry Anderson of First Allied Securities

DID TERRY MORRIS ANDERSON CAUSE YOU INVESTMENT LOSSES? Terry Anderson Formerly With First Allied Securities Has 6 Customer Complaints For Alleged Broker Misconduct Who is Terry Anderson of First Allied Securities? Terry Anderson (CRD #2374045) who was formerly registered with First Allied Securities and located in Parker, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Allied Securities, Terry Anderson was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Terry Anderson Customer Complaints Terry Anderson has been the subject of 6 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of Terry Anderson’s 6 customer complaints were settled in favor of investors. Two of Terry Anderson’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Terry Anderson 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 Terry Anderson’s Provident Shale and Medical Capital investments were fraudulent. Allegations include negligence, breach of fiduciary duty, breach of contract, misrepresentation, unsuitability. Claimants allege unsuitability, failure to supervise, negligence and breach of contract by Terry Anderson. Client alleges that Terry Anderson failed to invest his money. Client alleges that they were seeking capital preservation and Terry Anderson allegedly put the client into a product that did not meet the client’s needs. The client claims the representative and his employer are responsible for the losses due to negligence and breach of fiduciary responsibility. In connection with the recommendation and sale of Medical Capital and Provident Shale, Claimants allege unsuitability, misrepresentation, breach of fiduciary duty and negligence by Terry Anderson. The Claimant alleges his variable annuity was set up incorrectly allegedly by Terry Anderson and does not reflect the correct guaranteed value. Terry Anderson Red Flags & Your Rights As An Investor Of course, Terry Anderson 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 Terry Anderson at First Allied Securities on alert to review carefully the activity and performance of their accounts and question whether Terry Anderson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Allied 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 Terry Anderson Due To Terry Anderson If you have questions about First Allied Securities and/or Terry Anderson 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

Joseph Andreoli of Raymond James & Associates

DID JOSEPH MARIE ANDREOLI CAUSE YOU INVESTMENT LOSSES? Joseph Andreoli Of Raymond James & Associates And Formerly With Wells Fargo Clearing Services Has 7 Customer Complaints For Alleged Broker Misconduct Who is Joseph Andreoli of Raymond James & Associates? Joseph Andreoli (CRD #1718688) who is currently registered with Raymond James & Associates and located in Hackensack, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James & Associates, Joseph Andreoli 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. Joseph Andreoli Customer Complaints Joseph Andreoli has been the subject of 7 customer complaints that we know about. One of Joseph Andreoli’s  7 customer complaints resulted in an arbitration award in favor of the investors. One of Joseph Andreoli’s 7 customer complaints was settled in favor of investors. Four of Joseph Andreoli’s customers complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Wells Fargo Clearing Services for investment losses caused by Joseph Andreoli’s alleged misconduct. Allegations Against Joseph Andreoli 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 unsuitability, negligence, breach of contract, breach of fiduciary duty, fraud, violation of industry rules, federal securities laws and Texas statutes regarding trading of treasury bonds on margin for capital gains allegedly committed by Joseph Andreoli. Claimant alleged that Joseph Andreoli made unsuitable investments. Claimant alleged, inter alia, that Joseph Andreoli made unsuitable investments in the claimant’s accounts. Client alleged Joseph Andreoli misrepresented details of investments. Damages unspecified. Client alleged funds were not invested conservatively and advice allegedly made by Joseph Andreoli was negligent. Client alleged unsuitable investments made by Joseph Andreoli. Client claims Joseph Andreoli allegedly told him preferreds were more like secured bonds and that income was completely safe. Joseph Andreoli Red Flags & Your Rights As An Investor Of course, Joseph Andreoli 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 Joseph Andreoli at Raymond James & Associates and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Joseph Andreoli has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates and Wells Fargo Clearing Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Raymond James & Associates Due To Joseph Andreoli If you have questions about Raymond James & Associates, Wells Fargo Clearing Services, and/or Joseph Andreoli 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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