Mar 8, 2022

Anthony Coyne of LPL Financial

DID ANTHONY MICHAEL COYNE CAUSE YOU INVESTMENT LOSSES? Anthony Coyne Of LPL Financial And Householder Group Estate Retirement Specialists Has 3 Customer Complaints For Alleged Broker Misconduct Who is Anthony Coyne of LPL Financial? Anthony Coyne (CRD #2398240) who is currently registered with LPL Financial, Householder Group Estate Retirement Specialists and located in Camarillo, California is a subject of one of our many securities industry sales practice abuse investigations. Anthony Coyne Customer Complaints Anthony Coyne 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.  All of Anthony Coyne’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Anthony Coyne 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 Anthony Coyne misrepresented the risk associated with her investment. Client’s attorney alleged the investment recommended by Anthony Coyne was not suitable. The attorney also alleged the fees and penalties associated with the investment purchase were not disclosed. Customer alleged unsuitable recommendation by Anthony Coyne. Anthony Coyne Red Flags & Your Rights As An Investor Of course, Anthony Coyne 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 Coyne at LPL Financial and Householder Group Estate Retirement Specialists on alert to review carefully the activity and performance of their accounts and question whether Anthony Coyne has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and Householder Group Estate Retirement Specialists 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 LPL Financial Due To Anthony Coyne If you have questions about LPL Financial, Householder Group Estate Retirement Specialists, and/or Anthony Coyne 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

Keith Connolly Formerly With Aegis Capital

DID KEITH LAWTON JAMES CONNOLLY CAUSE YOU INVESTMENT LOSSES? Keith Connolly Formerly With Aegis Capital And J.D. Nicholas & Associates Has 14 Customer Complaints For Alleged Broker Misconduct Who is Keith Connolly formerly with Aegis Capital? Keith Connolly (CRD #2667382) who was formerly registered with Aegis Capital and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Keith Connolly was associated with J.D. Nicholas & Associates and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Keith Connolly Customer Complaints Keith Connolly has been the subject of 13 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One arbitration award was entered against Vision Securities for Keith Connolly’s alleged misconduct causing investors losses. Eight of Keith Connolly’s 14 customer complaints were settled in favor of investors. Four of Keith Connolly’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 Aegis Capital for investment losses caused by Keith Connolly’s alleged misconduct. Allegations Against Keith Connolly A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged claims involve Keith Connolly’s churning, negligence, unsuitability, overconcentration, and failure to supervise. Claimant brought arbitration to recover losses incurred as a result of respondents’ alleged failure to adhere to their basic duties when opening, administering and supervising claimant’s brokerage accounts and Keith Connolly. Client claims one unauthorized trade allegedly by Keith Connolly. Client alleged unauthorized trading by Keith Connolly. Client is seeking to recoup all damages sustained from the mismanagement and control over his account, regarding unauthorized transactions, margin churning, omission of facts by Keith Connolly. Keith Connolly’s client alleged excessive commissions. Client alleged market losses attributed to active trading by Keith Connolly. Unauthorized trading allegedly by Keith Connolly. Keith Connolly’s alleged unauthorized trades, poor performance, suitability, failure to follow instructions, excessive commissions. Keith Connolly’s alleged unauthorized trades. Keith Connolly’s alleged unauthorized trading. Keith Connolly’s alleged unsuitable investment recommendations. Keith Connolly Red Flags & Your Rights As An Investor Of course, Keith Connolly 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 Keith Connolly at Aegis Capital and J.D. Nicholas & Associates on alert to review carefully the activity and performance of their accounts and question whether Keith Connolly has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital and J.D. Nicholas & 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 Aegis Capital Due To Keith Connolly If you have questions about Aegis Capital, J.D. Nicholas & Associates, and/or Keith Connolly and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Brian Connor of Merrill Lynch Pierce Fenner & Smith

DID BRIAN R O’CONNOR CAUSE YOU INVESTMENT LOSSES? Brian Connor Of Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Brian Connor of Merrill Lynch Pierce Fenner & Smith? Brian Connor (CRD #1910395) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Fairfield, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Brian Connor Customer Complaint Brian Connor 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. Brian Connor’s customer complaint was denied and, to date, the customer has not taken any further action. Brian Connor Red Flags & Your Rights As An Investor Of course, Brian Connor did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Brian Connor at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Brian Connor 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 Brian Connor If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Brian Connor 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

John Conroy Formerly With Andrew Garrett

DID JOHN JOSEPH CONROY CAUSE YOU INVESTMENT LOSSES? John Conroy Formerly With Andrew Garrett Has 6 Customer Complaints For Alleged Broker Misconduct Who is John Conroy formerly with Andrew Garrett? John Conroy (CRD #3008995) who was formerly registered with Andrew Garrett and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Joseph Conroy has also been the subject of three regulatory agency investigations by FINRA, New Jersey, and Iowa.  FINRA suspended him for 60 days and fined him $20,000. John Conroy Customer Complaints John Conroy has been the subject of 6 customer complaints that we know about. One arbitration award was entered against Benson York Group for John Conroy’s alleged misconduct causing investors losses. Four of John Conroy’s 6 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Andrew Garrett for investment losses caused by John Conroy’s alleged misconduct. Allegations Against John Conroy A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: John Conroy’s alleged churning, excessive commissions, unsuitable investments failure to supervise. John Conroy’s alleged churning. Client claims unauthorized transactions in his account were allegedly made by John Conroy. Unsuitable investments, unauthorized trading, and failure to supervise John Conroy. Unsuitable trades were allegedly made by John Conroy. Alleged allegations statutory and common law fraud, negligence, breach of contract breach of fiduciary duty by John Conroy. John Conroy Red Flags & Your Rights As An Investor Of course, John Conroy 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 John Conroy at Andrew Garrett on alert to review carefully the activity and performance of their accounts and question whether John Conroy has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Andrew Garrett 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 Andrew Garrett Due To John Conroy If you have questions about Andrew Garrett and/or John Conroy 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

Mark Conway of Wells Fargo Clearing Services

DID MARK AARON CONWAY CAUSE YOU INVESTMENT LOSSES? Mark Conway Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Mark Conway of Wells Fargo Clearing Services? Mark Conway (CRD #4257558) who is currently registered with Wells Fargo Clearing Services and located in Williamston, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Mark Conway Customer Complaint Mark Conway 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 that he was not made aware of the reduction in his death benefit or the potential tax consequences from taking a distribution from his annuity. Mark Conway’s customer complaint was denied and, to date, the customer has not taken any further action. Mark Conway Red Flags & Your Rights As An Investor Of course, Mark Conway 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 Mark Conway at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Mark Conway 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 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 Clearing Services Due To Mark Conway If you have questions about Wells Fargo Clearing Services and/or Mark Conway 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

Wesley Creese of Mid Atlantic Capital

DID WESLEY WILLIAM CREESE CAUSE YOU INVESTMENT LOSSES? Wesley Creese Of Mid Atlantic Capital, Riverstone Wealth Management And Formerly With Hefren-Tillotson Has A Customer Complaint For Alleged Broker Misconduct Who is Wesley Creese of Mid Atlantic Capital? Wesley Creese (CRD #2967082) who is currently registered with Mid Atlantic Capital, Riverstone Wealth Management and located in Wexford, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Mid Atlantic Capital, Riverstone Wealth Management, Wesley Creese was associated with Hefren-Tillotson and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wesley Creese Customer Complaint Wesley Creese 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 allegation of unsuitable recommendations on option strategy. The customer complaint filed against Wesley Creese’s former employer Hefron-Tillotson for investment losses caused by the alleged misconduct is pending as of the date of this report. Wesley Creese Red Flags & Your Rights As An Investor Of course, Wesley Creese 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 Wesley Creese at Mid Atlantic Capital, Riverstone Wealth Management and Hefren-Tillotson on alert to review carefully the activity and performance of their accounts and question whether Wesley Creese has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Mid Atlantic Capital, Riverstone Wealth Management and Hefren-Tillotson 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 Mid Atlantic Capital Due To Wesley Creese If you have questions about Mid Atlantic Capital, Riverstone Wealth Management, Hefren-Tillotson, and/or Wesley Creese 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

Stanley Cooper of RBC Capital Markets

DID STANLEY MORRISON COOPER CAUSE YOU INVESTMENT LOSSES? Stanley Cooper Of RBC Capital Markets Has 2 Customer Complaints For Alleged Broker Misconduct Who is Stanley Cooper of RBC Capital Markets? Stanley Cooper (CRD #1667427) who is currently registered with RBC Capital Markets and located in Fresno, California is a subject of one of our many securities industry sales practice abuse investigations. Stanley Cooper Customer Complaints Stanley Cooper has been the subject of 2 customer complaints that we know about.  Both of Stanley Cooper’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Stanley Cooper 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 Stanley Cooper’s REIT investment recommendation was not suitable as stated he only purchased conservative, low-yielding products. Trustee claimed Stanley Cooper’s strategy for the trust account has been unsuitable. Stanley Cooper Red Flags & Your Rights As An Investor Of course, Stanley Cooper 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 Stanley Cooper at RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Stanley Cooper has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets 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 RBC Capital Markets Due To Stanley Cooper If you have questions about RBC Capital Markets and/or Stanley Cooper 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 Crews of Merrill Lynch Pierce Fenner & Smith

DID JOSEPH LAWRENCE CREWS CAUSE YOU INVESTMENT LOSSES? Joseph Crews Of Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Joseph Crews of Merrill Lynch Pierce Fenner & Smith? Joseph Crews (CRD #4283558) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Alpharetta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Joseph Crews Customer Complaint Joseph Crews 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 the customer alleges misrepresentations when he purchased an annuity. Joseph Crews’ customer complaint was denied and, to date, the customer has not taken any further action. Joseph Crews Red Flags & Your Rights As An Investor Of course, Joseph Crews 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 Crews at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Joseph Crews 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 Joseph Crews If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Joseph Crews 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

Andrew Corbman formerly with Newbridge Securities and Kovack Securities

DID ANDREW SCOTT CORBMAN CAUSE YOU INVESTMENT LOSSES? Andrew Corbman Formerly With Newbridge Securities And Kovack Securities Has 19 Customer Complaints For Alleged Broker Misconduct Who is Andrew Corbman formerly with Newbridge Securities? Andrew Corbman (CRD #2513558) who was formerly registered with Newbridge Securities and located in Lansdowne, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Newbridge Securities, Andrew Corbman was associated with Kovack Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Andrew Corbman himself has been the subject of two FINRA investigations.  In 2016, he consented to a one-month suspension and entry of findings that he made recommendations that were unsuitable overconcentrations and certain securities that expose customers to a risk of loss that exceeded each customer’s risk tolerance investment objective.  Shortly after that case was resolved, he refused to cooperate in connection with another investigation and give on the record testimony requested by FINRA and was permanently barred from any further association with any member firm in any capacity. Andrew Corbman Customer Complaints Andrew Corbman has been the subject of 19 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Sixteen of Andrew Corbman’s 19 customer complaints were settled in favor of investors. Three of Andrew Corbman’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Andrew Corbman 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 Andrew Corbman’s breach of fiduciary duty, unsuitability and failure to supervise and violation statutes, regarding the sale of individual securities. Claimant alleged Andrew Corbman’s over-concentration of her account. Claimant alleged that Andrew Corbman sold unsuitable investments. Claimant alleged Andrew Corbman’s unsuitability, common law fraud, breach of contract, negligent supervision, breach of fiduciary duty, and overconcentration in connection with the purchase of stocks. Claimant alleged Andrew Corbman’s unsuitability, fraud, breach of contract, negligent supervision, breach of fiduciary duty, overconcentration, and violation of California’s Securities Act. Claimant alleged Andrew Corbman’s violations of Section 10(b)-5, common law fraud, negligence, unsuitability, unauthorized trading, churning, breach of fiduciary duty and breach of contract.. Claimants alleged Andrew Corbman’s unsuitability, common law fraud, breach of contract, breach of fiduciary duty, overconcentration. Claimants alleged Andrew Corbman’s unsuitability, common law fraud, breach of contract, negligent supervision, breach of fiduciary duty, and overconcentration, in relation to the purchases of shares of Augme Technologies Inc. stock. Client alleged losses in his accounts caused by Andrew Corbman. Client alleged Andrew Corbman’s negligence, unsuitability, failure to supervise related to stock purchases. Client alleged Andrew Corbman’s unsuitability of investments and misrepresentation. Client alleged Andrew Corbman’s unsuitable investments and poor performance. Customer alleged that Andrew Corbman failed to adequately diversify investments. Customer further alleged that broker did not fully disclose the fees and charges of B shares. Customer’s alleged Andrew Corbman had them purchase unsuitable and high risk investments. Andrew Corbman’s alleged suitability of investment, including over concentration in one fund. The claimants alleged that Andrew Corbman liquidated certain investments causing them to pay deferred sales charges and surrender fees and that he didn’t not combine purchases denying them mutual fund breakpoints and rights of accumulation. Andrew Corbman’s alleged unauthorized and unsuitable investments; failure to supervise. Andrew Corbman’s alleged unjust enrichment; misrepresentation and non-disclosure; negligence; breach of fiduciary duty; breach of contract; violation of state securities laws; violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Law; common law fraud; constructive fraud; breach of duty of fair dealing; violations of PA insurance law; churning; unauthorized trading; civil conspiracy. Violations of the Virginia Securities Act, Common Law Fraud, Securities Fraud, Breach of Fiduciary Duty, Unsuitability, Negligence, Breach of Contract were allegedly committed by Andrew Corbman. Andrew Corbman Red Flags & Your Rights As An Investor Of course, Andrew Corbman 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 Andrew Corbman at Newbridge Securities and Kovack Securities on alert to review carefully the activity and performance of their accounts and question whether Andrew Corbman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kovack Securities and Newbridge 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 Newbridge Securities Due To Andrew Corbman If you have questions about Newbridge Securities, Kovack Securities, and/or Andrew Corbman 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

Benedicto Crisologo of Morgan Stanley

DID BENEDICTO PICHAY CRISOLOGO CAUSE YOU INVESTMENT LOSSES? Benedicto Crisologo Of Morgan Stanley And Formerly With MML Investors Services Has A Customer Complaint For Alleged Broker Misconduct Who is Benedicto Crisologo of Morgan Stanley? Benedicto Crisologo (CRD #3004389) who is currently registered with Morgan Stanley and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Benedicto Crisologo was associated with MML Investors Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Benedicto Crisologo Customer Complaint Benedicto Crisologo 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 claims that he only wanted to discuss possible investment options with Benedicto Crisologo and that he did not authorize the purchase of a closed end fund. The customer complaint filed against Benedicto Crisologo’s current employer Morgan Stanley for investment losses caused by the alleged misconduct is pending as of the date of this report. Benedicto Crisologo Red Flags & Your Rights As An Investor Of course, Benedicto Crisologo 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 Benedicto Crisologo at Morgan Stanley and MML Investors Services on alert to review carefully the activity and performance of their accounts and question whether Benedicto Crisologo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and MML Investors 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 Morgan Stanley Due To Benedicto Crisologo If you have questions about Morgan Stanley, MML Investors Services, and/or Benedicto Crisologo 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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