Mar 8, 2022

Donald Baker of Kestra Investment Services

DID DONALD GREGORY BAKER CAUSE YOU INVESTMENT LOSSES? Donald Baker of Kestra Investment Services, Kestra Advisory Services Has A Customer Complaint For Alleged Broker Misconduct Who is Donald Baker of Kestra Invesstment Services? Donald Baker (CRD #2369255) who is currently registered with Kestra Investment Services and Kestra Advisory Services and located in Southfield, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Donald Baker Customer Complaint Donald Baker 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 claimant alleges the representative failed to follow instruction to reinvest assets in the client’s pension fund. Donald Baker’s customer complaint was denied and, to date, the customers have not taken any further action. Donald Baker Red Flags & Your Rights As An Investor Of course, Donald Baker 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 Baker at Kestra Advisory Services and Kestra Investment Services on alert to review carefully the activity and performance of their accounts and question whether Donald Baker has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kestra Investment Services and Kestra Advisory 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 Kestra Investment Services Due To Donald Baker If you have questions about Kestra Advisory Services, Kestra Investment Services, and/or Donald Baker 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 Aldi Of Wells Fargo Clearing Services

DID JOSEPH ANTHONY ALDI CAUSE YOU INVESTMENT LOSSES? Joseph Aldi Of Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joseph Aldi of Wells Fargo Clearing Services? Joseph Aldi (CRD #2558960) who is currently registered with Wells Fargo Clearing Services and located in Bound Brook, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Joseph Aldi Customer Complaints Joseph Aldi has been the subject of 2 customer complaints that we know about. Two of Joseph Aldi’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Joseph Aldi 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 a GNMA and a Disney and a Ford corporate bonds allegedly made by Joseph Aldi were not suitable for them. Client complained that Joseph Aldi allegedly told him his investment would grow 5% per year for four years which, according to the client was untrue. Joseph Aldi Red Flags & Your Rights As An Investor Of course, Joseph Aldi 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 Aldi at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Joseph Aldi 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 Joseph Aldi If you have questions about Wells Fargo Clearing Services and/or Joseph Aldi 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

Leslie Baker of J.W. Cole Financial

DID LESLIE RUTH BAKER CAUSE YOU INVESTMENT LOSSES? Leslie Baker Of J.W. Cole Financial, J.W. Cole Advisors And Formerly With Money Concepts Capital Has A Customer Complaint For Alleged Broker Misconduct Who is Leslie Baker of J.W. Cole Financial? Leslie Baker (CRD #4073080) who is currently registered with J.W. Cole Financial, J.W. Cole Advisors and located in Cleveland, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to J.W. Cole Financial and J.W. Cole Advisors, Leslie Baker was associated with Money Concepts Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Leslie Baker Customer Complaint Leslie Baker 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 Leslie Baker purchased a variable annuity that was not suitable. Leslie Baker’s customer complaint was denied and the customers did not take any further action. Leslie Baker Red Flags & Your Rights As An Investor Of course, Leslie Baker 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 Leslie Baker at J.W. Cole Advisors, J.W. Cole Financial and Money Concepts Capital on alert to review carefully the activity and performance of their accounts and question whether Leslie Baker has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.W. Cole Financial, J.W. Cole Advisors, and Money Concepts Capital 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.W. Cole Financial Due To Leslie Baker If you have questions about J.W. Cole Financial, J.W. Cole Advisors, Money Concepts Capital, and/or Leslie Baker 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 Bakun formerly with Cetera Advisors

DID JAMES EDWARD BAKUN CAUSE YOU INVESTMENT LOSSES? James Bakun Formerly With Cetera Advisors And Investors Capital Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Bakun formerly with Cetera Advisors? James Bakun (CRD #2376801) who was formerly registered with Cetera Advisors and located in Newburgh, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors, James Bakun was associated with Investors Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Bakun Customer Complaints James Bakun 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 James Bakun’s customers’ complaints was denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Cetera Advisors for investment losses caused by James Bakun’s alleged misconduct. Allegations Against James Bakun A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Conversion, common law fraud, breach of contract, and breach of fiduciary duty allegedly committed by James Bakun. Unauthorized trading allegedly by James Bakun. James Bakun Red Flags & Your Rights As An Investor Of course, James Bakun 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 Bakun at Cetera Advisors and Investors Capital on alert to review carefully the activity and performance of their accounts and question whether James Bakun has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors and Investors Capital 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 Cetera Advisors Due To James Bakun If you have questions about Cetera Advisors, Investors Capital, and/or James Bakun 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

Monica Baldwin of Raymond James Financial Services

DID MONICA MARY BALDWIN CAUSE YOU INVESTMENT LOSSES? Monica Baldwin Of Raymond James Financial Services, Raymond James Financial Services Advisors Has 2 Customer Complaints For Alleged Broker Misconduct Who is Monica Baldwin of Raymond James Financial Services? Monica Baldwin (CRD #1410593) who is currently registered with Raymond James Financial Services, Raymond James Financial Services Advisors and located in Longmont, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Monica Baldwin Customer Complaints Monica Baldwin has been the subject of 2 customer complaints that we know about. One of Monica Baldwin’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Raymond James Financial Services for investment losses caused by Monica Baldwin’s alleged misconduct. Allegations Against Monica Baldwin A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer filed a mediation request through FINRA seeking damages related to a Whole Life Insurance Policy used to fund a Life Insurance Trust she purchased allegedly through Monica Baldwin while Ms. Baldwin was at a prior firm. Monica Baldwin’s alleged Negligence, Failure to Supervise, Breach of Contract, Breach of the Duty of Good Faith and Fair Dealing, Breach of Fiduciary Duty, Suitability and Overconcentration. Monica Baldwin Red Flags & Your Rights As An Investor Of course, Monica Baldwin 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 Monica Baldwin at Raymond James Financial Services and Raymond James Financial Services Advisors on alert to review carefully the activity and performance of their accounts and question whether Monica Baldwin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services and Raymond James Financial Services Advisors 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 Financial Services Due To Monica Baldwin If you have questions about Raymond James Financial Services, Raymond James Financial Services Advisors, and/or Monica Baldwin 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

Juan Alejos Formerly With Spartan Capital Securities

DID JUAN C. ALEJOS CAUSE YOU INVESTMENT LOSSES? Juan Alejos Formerly With Spartan Capital Securities Has 5 Customer Complaints For Alleged Broker Misconduct Who is Juan Alejos formerly with Spartan Capital Securities? Juan Alejos (CRD #4108723) who was formerly registered with Spartan Capital Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Juan Alejos has been the subject of several regulatory investigations, including, FINRA, and its predecessor, NASD, states of Illinois and Utah.  Most recent regulatory investigation by FINRA resulted in a permanent bar association with any member firm in any capacity for failure to respond to FINRA’s request for information. Juan Alejos Customer Complaints Juan Alejos has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Juan Alejos’ 5 customer complaints were settled in favor of investors. One of Juan Alejos’ customers’ complaints was denied and, to date, the customers had not taken any further action. There are currently two pending customer complaints filed against Spartan Capital Securities for investment losses caused by Juan Alejos’ alleged misconduct. Allegations Against Juan Alejos 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 unauthorized trading by Juan Alejos. Customer alleged that Juan Alejos’ purchase of 2000 shares of CSUN was unauthorized. Customer asserts that Juan Alejos’ alleged purchase of 2000 shares China Development Group was unauthorized. Unsuitable investment recommendations allegedly made by Juan Alejos. Juan Alejos Red Flags & Your Rights As An Investor Of course, Juan Alejos 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 Juan Alejos at Spartan Capital Securities on alert to review carefully the activity and performance of their accounts and question whether Juan Alejos has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 Spartan Capital Securities Due To Juan Alejos If you have questions about Spartan Capital Securities and/or Juan Alejos and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Timothy Baldwin of Infinity Financial Services

DID TIMOTHY WAYNE BALDWIN CAUSE YOU INVESTMENT LOSSES? Timothy Baldwin Of Infinity Financial Services And Formerly With EDI Financial Has 7 Customer Complaints For Alleged Broker Misconduct Who is Timothy Baldwin of Infinity Financial Services? Timothy Baldwin (CRD #2191835) who is currently registered with Infinity Financial Services and located in Ft. Myers, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Infinity Financial Services, Timothy Baldwin was associated with EDI Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Timothy Baldwin Customer Complaints Timothy Baldwin has been the subject of 7 customer complaints that we know about. Five of Timothy Baldwin’s 7 customer complaints were settled in favor of investors. Two of Timothy Baldwin’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Timothy Baldwin A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged Timothy Baldwin purchased an annuity without her consent and made other unauthorized stock transactions as well. Client alleged that Timothy Baldwin executed trades in his accounts without his authorization. Client alleged that Timothy Baldwin engaged in unauthorized trading, specifically with regards to losses in Worldcom. Client states many trades were allegedly being made without her knowledge or approval” by Timothy Baldwin. Clients alleged Timothy Baldwin executed trades at an alarming rate in their account. Additionally, clients allege that trades using the majority of their account balance in one transaction were inappropriate. Clients also allege that they were not notified in advance of most transactions in their account. Allegedly, Timothy Baldwin sold a low cost basis stock that created a short term capital gain and long term capital gain in a concentrated portfolio. Timothy Baldwin Red Flags & Your Rights As An Investor Of course, Timothy Baldwin did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Timothy Baldwin at Infinity Financial Services and EDI Financial on alert to review carefully the activity and performance of their accounts and question whether Timothy Baldwin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Infinity Financial Services and EDI 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 Infinity Financial Services Due To Timothy Baldwin If you have questions about Infinity Financial Services, EDI Financial, and/or Timothy Baldwin 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

Jerrold Angel formerly with Waddell & Reed

DID JERROLD ROGER ANGEL CAUSE YOU INVESTMENT LOSSES? Jerrold Angel Formerly With Waddell & Reed, Signator Investors, and Transamerica Financial Advisors Has 3 Customer Complaints For Alleged Broker Misconduct Who is Jerrold Angel formerly with Waddell & Reed? Jerrold Angel (CRD #1466898) who was formerly registered with Waddell & Reed and located in Tampa, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Waddell & Reed, Jerrold Angel was associated with Signator Investors, Transamerica Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jerrold Angel Customer Complaints Jerrold Angel has been the subject of 3 customer complaints that we know about. Two of Jerrold Angel’s 3 customer complaints were settled in favor of investors. One of Jerrold Angel’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Jerrold Angel 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 Jerrold Angel disregarded Claimant’s investment objectives and improperly recommended high risk and unsuitable investments. Regarding two variable annuities purchased, the customer alleged she has lost a fortune on her savings because she was not fully informed of the risks that came with investments allegedly made by Jerrold Angel. The heirs of the customer estate alleged that customer was not advised by Jerrold Angel, at the time of sale, or prior to the “annuity date”, that the death benefit would terminate when the annuity annuitized, knowing customer’s desire to maintain a death benefit for his heirs. Jerrold Angel Red Flags & Your Rights As An Investor Of course, Jerrold Angel 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 Jerrold Angel at Waddell & Reed, Signator Investors, and Transamerica Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Jerrold Angel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Waddell & Reed, Signator Investors, and Transamerica Financial Advisors 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 Waddell & Reed Signator Investors and Transamerica Financial Advisors Due To Jerrold Angel If you have questions about Waddell & Reed, Signator Investors, Transamerica Financial Advisors, and/or Jerrold Angel 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

Salvatore Aprile of Royal Alliance Associates

DID SALVATORE STEPHEN APRILE CAUSE YOU INVESTMENT LOSSES? Salvatore Aprile Of Royal Alliance Associates And Formerly With Signator Investors Has A Customer Complaint For Alleged Broker Misconduct Who is Salvatore Aprile of Royal Alliance Associates? Salvatore Aprile (CRD #2197270) who is currently registered with Royal Alliance Associates and located in Commack, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Royal Alliance Associates, Salvatore Aprile was associated with Signator Investors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Salvatore Aprile Customer Complaint Salvatore Aprile 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 customer alleges that variable universal life policy purchased was unsuitable. Salvatore Aprile’s customer complaint was denied and the customers did not take any further action. Salvatore Aprile Red Flags & Your Rights As An Investor Of course, Salvatore Aprile 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 Salvatore Aprile at Royal Alliance Associates and Signator Investors on alert to review carefully the activity and performance of their accounts and question whether Salvatore Aprile has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates and Signator Investors 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 Royal Alliance Associates and Signator Investors Due To Salvatore Aprile If you have questions about Royal Alliance Associates, Signator Investors, and/or Salvatore Aprile 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 Aristizabal of Fidelity Brokerage Services

DID WILLIAM ARISTIZABAL CAUSE YOU INVESTMENT LOSSES? William Aristizabal Formerly With Fidelity Brokerage Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is William Aristizabal of Fidelity Brokerage Services? William Aristizabal (CRD #2854033) who is currently registered with Fidelity Brokerage Services and located in Stamford, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Fidelity Brokerage Services, William Aristizabal was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Aristizabal Customer Complaints William Aristizabal has been the subject of 2 customer complaints that we know about. Two of William Aristizabal’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against William Aristizabal 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 William Aristizabal made an unsuitable bond investment recommendations. The customers allege that William Aristizabal recommended unsuitable stock and mutual funds, investments. William Aristizabal Red Flags & Your Rights As An Investor Of course, William Aristizabal 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 Aristizabal at Fidelity Brokerage Services on alert to review carefully the activity and performance of their accounts and question whether William Aristizabal has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage 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 Fidelity Brokerage Services Due To William Aristizabal If you have questions about Fidelity Brokerage Services and/or William Aristizabal 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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