Mar 8, 2022

Gregory Adams Of Vanguard Marketing

DID GREGORY JOHN ADAMS CAUSE YOU INVESTMENT LOSSES? Gregory Adams of Vanguard Marketing, Vanguard Advisers Has A Customer Complaint For Alleged Broker Misconduct Who is Gregory Adams of Vanguard Marketing? Gregory Adams (CRD #3074801) 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. Gregory Adams Customer Complaint Gregory Adams 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 advisor did not follow through with her request to purchase gold. The customer complaint filed against Gregory Adams’ current employer Vanguard Marketing for investment losses caused by the alleged misconduct is pending as of the date of this report. Gregory Adams Red Flags & Your Rights As An Investor Of course, Gregory Adams 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 Gregory Adams at Vanguard Marketing, Vanguard Advisers on alert to review carefully the activity and performance of their accounts and question whether Gregory Adams has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vanguard Marketing, 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 Gregory Adams If you have questions about Vanguard Marketing, Vanguard Advisers, and/or Gregory Adams 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

Joshua Adler Of Merrill Lynch Pierce Fenner & Smith

DID JOSHUA MICHAEL ADLER CAUSE YOU INVESTMENT LOSSES? Joshua Adler of Merrill Lynch Pierce Fenner & Smith And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Joshua Adler of Merrill Lynch Pierce Fenner & Smith? Joshua Adler (CRD #3154013) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Joshua Adler was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joshua Adler Customer Complaint Joshua Adler 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 unauthorized trading. Joshua Adler’s customer complaint was settled in favor of the investors. Joshua Adler Red Flags & Your Rights As An Investor Of course, Joshua Adler 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 Joshua Adler at Merrill Lynch Pierce Fenner & Smith and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Joshua Adler 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 and UBS Financial 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 Merrill Lynch Pierce Fenner & Smith and UBS Financial Services Due To Joshua Adler If you have questions about Merrill Lynch Pierce Fenner & Smith, UBS Financial Services, and/or Joshua Adler 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

Pratul Agnihotri Of SW Financial

DID PRATUL VICTOR AGNIHOTRI CAUSE YOU INVESTMENT LOSSES? Pratul Agnihotri Formerly With SW Financial, Spartan Capital Securities, Aegis Capital Has 3 Customer Complaints For Alleged Broker Misconduct Who is Pratul Agnihotri of SW Financial? Pratul Agnihotri (CRD #4031797) who is currently registered with SW Financial and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to SW Financial, Pratul Agnihotri was associated with Aegis Capital, Spartan Capital Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Pratul Agnihotri has also been the subject of a FINRA investigation which resulted in a 12 month suspension and the $7,500 fine for allegedly engaging in outside business activities without notifying his employer in violation of the FINRA code of conduct. Pratul Agnihotri Customer Complaints Pratul Agnihotri has been the subject of 3 customer complaints that we know about. One of Pratul Agnihotri’s 3 customer complaints was settled in favor of investors. One of Pratul Agnihotri’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against Aegis Capital for investment losses caused by Pratul Agnihotri’s alleged misconduct. Allegations Against Pratul Agnihotri 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 Pratul Agnihotri engaged in unauthorized trading. Claimant alleged Pratul Agnihotri’s unauthorized trading, failure to follow instructions, negligence, selling away, breach of fiduciary duty. Claimant alleged Pratul Agnihotri engaged in unauthorized trading, excessive commissions. Pratul Agnihotri Red Flags & Your Rights As An Investor Of course, Pratul Agnihotri 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 Pratul Agnihotri at SW Financial, Aegis Capital, and Spartan Capital Securities on alert to review carefully the activity and performance of their accounts and question whether Pratul Agnihotri has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SW Financial, Aegis Capital, and Spartan Capital 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 SW Financial Due To Pratul Agnihotri If you have questions about SW Financial, Aegis Capital, Spartan Capital Securities, and/or Pratul Agnihotri 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

Dan Avery of Waddell & Reed

DID DAN LEROY AVERY CAUSE YOU INVESTMENT LOSSES? Dan Avery Of Waddell & Reed Has A Customer Complaint For Alleged Broker Misconduct Who is Dan Avery of Waddell & Reed? Dan Avery (CRD #2967385) who is currently registered with Waddell & Reed and located in Ionia, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Dan Avery Customer Complaint Dan Avery 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, contrary to representations and assurances, the Dan Avery did not execute sell orders, resulting in loses to their accounts. Dan Avery’s customer complaint was settled in favor of the investors. Dan Avery Red Flags & Your Rights As An Investor Of course, Dan Avery 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 Dan Avery at Waddell & Reed on alert to review carefully the activity and performance of their accounts and question whether Dan Avery has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Waddell & Reed 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 Waddell & Reed Due To Dan Avery If you have questions about Waddell & Reed and/or Dan Avery 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

Troy Axelson of SagePoint Financial

DID TROY MALON AXELSON CAUSE YOU INVESTMENT LOSSES? Troy Axelson Of SagePoint Financial And Formerly With AIG Capital Services Has A Customer Complaint For Alleged Broker Misconduct Who is Troy Axelson of SagePoint Financial? Troy Axelson (CRD #2405148) who is currently registered with SagePoint Financial and located in White Bear Lake, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Prior to SagePoint Financial, Troy Axelson was associated with AIG Capital Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Troy Axelson Customer Complaint Troy Axelson 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 Troy Axelson purchased Credit Suisse exchange traded notes that were unsuitable. Troy Axelson’s customer complaint was settled in favor of the investors. Troy Axelson Red Flags & Your Rights As An Investor Of course, Troy Axelson 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 Troy Axelson at SagePoint Financial and AIG Capital Services on alert to review carefully the activity and performance of their accounts and question whether Troy Axelson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SagePoint Financial and AIG Capital 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 SagePoint Financial Due To Troy Axelson If you have questions about SagePoint Financial, AIG Capital Services, and/or Troy Axelson 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 Aiello of Sigma Financial

DID JOSEPH EDWARD AIELLO CAUSE YOU INVESTMENT LOSSES? Joseph Aiello of Sigma Financial, SPC Has A Customer Complaint For Alleged Broker Misconduct Who is Joseph Aiello of Sigma Financial? Joseph Aiello (CRD #1624046) who is currently registered with Sigma Financial, SPC and located in Troy, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Joseph Aiello Customer Complaint Joseph Aiello 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 client purchased annuity contracts and alleges the fees were misrepresented at the time of sale. Joseph Aiello Red Flags & Your Rights As An Investor Of course, Joseph Aiello 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 Aiello at Sigma Financial and SPC on alert to review carefully the activity and performance of their accounts and question whether Joseph Aiello has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sigma Financial and SPC 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 Sigma Financial Due To Joseph Aiello If you have questions about Sigma Financial, SPC, and/or Joseph Aiello 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

Thomas Badgett of TradingBlock

DID THOMAS WYMAN BADGETT CAUSE YOU INVESTMENT LOSSES? Thomas Badgett of TradingBlock Has A Customer Complaint For Alleged Broker Misconduct Who is Thomas Badgett of TradingBlock? Thomas Badgett (CRD #4297851) who is currently registered with TradingBlock and located in Baytown, Texas is a subject of one of our many securities industry sales practice abuse investigations. Thomas Badgett Customer Complaint Thomas Badgett 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 unsuitable investment recommendations and churning. An arbitration award was entered against TradingBlock for Thomas Badgett’s alleged misconduct causing investors losses. Thomas Badgett Red Flags & Your Rights As An Investor Of course, Thomas Badgett 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 Thomas Badgett at TradingBlock on alert to review carefully the activity and performance of their accounts and question whether Thomas Badgett has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TradingBlock 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 TradingBlock Due To Thomas Badgett If you have questions about TradingBlock and/or Thomas Badgett 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 Akridge Formerly With MWA Financial Services

DID FRANK O. AKRIDGE CAUSE YOU INVESTMENT LOSSES? Frank Akridge Formerly With MWA Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Frank Akridge Formerly With MWA Financial Services? Frank Akridge (CRD #4242013) who was formerly registered with MWA Financial Services and located in LaFayette, Louisiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to MWA Financial Services, Frank Akridge was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Frank Akridge Customer Complaint Frank Akridge 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 complaint alleges breach of fiduciary duty and negligence in connection with the sale of an indexed universal life insurance product. The customer complaint filed against Optimized Ria for investment losses caused by the alleged misconduct is pending as of the date of this report. Frank Akridge Red Flags & Your Rights As An Investor Of course, Frank Akridge 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 Akridge at MWA Financial Services on alert to review carefully the activity and performance of their accounts and question whether Frank Akridge has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MWA Financial 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 MWA Financial Services Due To Frank Akridge If you have questions about MWA Financial Services and/or Frank Akridge 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

Patrick Albrecht Of Calton & Associates

DID PATRICK WILLIAM ALBRECHT CAUSE YOU INVESTMENT LOSSES? Patrick Albrecht of Calton & Associates Has 3 Customer Complaints For Alleged Broker Misconduct Who is Patrick Albrecht of Calton & Associates? Patrick Albrecht (CRD #1437137) who is currently registered with Calton & Associates and located in Prescott, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Patrick Albrecht Customer Complaints Patrick Albrecht 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. One of Patrick Albrecht’s 3 customer complaints was settled in favor of investors. Two of Patrick Albrecht’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Patrick Albrecht A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Patrick Albrecht’s alleged failure to conduct adequate due diligence, negligence, misrepresentation, breach of fiduciary duty. Unsuitable investment recommendations and breach of fiduciary duties  allegedly by Patrick Albrecht. Patrick Albrecht Red Flags & Your Rights As An Investor Of course, Patrick Albrecht 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 Patrick Albrecht at Calton & Associates on alert to review carefully the activity and performance of their accounts and question whether Patrick Albrecht has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Calton & Associates 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 Calton & Associates Due To Patrick Albrecht If you have questions about Calton & Associates and/or Patrick Albrecht 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

Ted Albrecht Of LPL Financial

DID TED ERIC ALBRECHT CAUSE YOU INVESTMENT LOSSES? Ted Albrecht Of LPL Financial And Formerly With J.P. Morgan Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Ted Albrecht of LPL Financial? Ted Albrecht (CRD #4150771) who is currently registered with LPL Financial and located in Tampa, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Ted Albrecht was associated with J.P. Morgan Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ted Albrecht Customer Complaint Ted Albrecht 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 client alleges suitability regarding managed account investment. Ted Albrecht’s customer complaint was denied and, to date, the customers have not taken any further action. Ted Albrecht Red Flags & Your Rights As An Investor Of course, Ted Albrecht 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 Ted Albrecht at LPL Financial and J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Ted Albrecht has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and 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 LPL Financial and J.P. Morgan Securities Due To Ted Albrecht If you have questions about LPL Financial, J.P. Morgan Securities, and/or Ted Albrecht 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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