Mar 8, 2022

Ting O’Connor of Merrill Lynch Pierce Fenner & Smith

DID TING XIE O’CONNOR CAUSE YOU INVESTMENT LOSSES? Ting O’Connor Of Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Ting O’Connor of Merrill Lynch Pierce Fenner & Smith? Ting O’Connor (CRD #3154358) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in San Jose, California is a subject of one of our many securities industry sales practice abuse investigations. Ting O’Connor Customer Complaint Ting O’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 misrepresentation and unsuitable investment recommendations. Ting O’Connor’s customer complaint was settled in favor of the investors. Ting O’Connor Red Flags & Your Rights As An Investor Of course, Ting O’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 Ting O’Connor at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Ting O’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 Ting O’Connor If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Ting O’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

Audrey Croft of Ameriprise Financial Services

DID AUDREY K. CROFT CAUSE YOU INVESTMENT LOSSES? Audrey Croft Of Ameriprise Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Audrey Croft of Ameriprise Financial Services? Audrey Croft (CRD #4178028) who is currently registered with Ameriprise Financial Services and located in Roswell, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Audrey Croft Customer Complaints Audrey Croft has been the subject of 3 customer complaints that we know about. Two of Audrey Croft’s 3 customer complaints were settled in favor of investors. One of Audrey Croft’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Audrey Croft 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 Audrey Croft misrepresented the surrender charges, premium payments and product type on a Variable Universal Life insurance policy purchased. Clients alleged Audrey Croft did not disclose surrender charges and full products details for VUL policies purchased. The client alleged Audrey Croft’s recommendation to purchase a variable universal life insurance was not suitable for their financial goals and objectives. Audrey Croft Red Flags & Your Rights As An Investor Of course, Audrey Croft 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 Audrey Croft at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Audrey Croft has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial 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 Ameriprise Financial Services Due To Audrey Croft If you have questions about Ameriprise Financial Services and/or Audrey Croft 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

Richard Passarelli of PNC Investments

DID RICHARD PASSARELLI CAUSE YOU INVESTMENT LOSSES? Richard Passarelli Of PNC Investments Has 2 Customer Complaints For Alleged Broker Misconduct Who is Richard Passarelli of PNC Investments? Richard Passarelli (CRD #1179077) who is currently registered with PNC Investments and located in Westchester, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Richard Passarelli Customer Complaints Richard Passarelli has been the subject of 2 customer complaints that we know about. Two of Richard Passarelli’s customers’ complaints were denied and the customers, to date, have not taken any further action. Allegations Against Richard Passarelli 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 improper funding via loans by Richard Passarelli. Regarding the purchase of a variable appreciable life insurance policy, the client alleged unauthorized transactions by Richard Passarelli. Richard Passarelli Red Flags & Your Rights As An Investor Of course, Richard Passarelli 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 Richard Passarelli at PNC Investments on alert to review carefully the activity and performance of their accounts and question whether Richard Passarelli has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PNC Investments also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At PNC Investments Due To Richard Passarelli If you have questions about PNC Investments and/or Richard Passarelli 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 Parker of Cantella Co.

DID MARK PARKER CAUSE YOU INVESTMENT LOSSES? Mark Parker Of Cantella Co., Inc. And Formerly With Raymond James & Associates Has One Customer Complaint For Alleged Broker Misconduct Who is Mark Parker of Cantella Co., Inc.? Mark Parker (CRD #720309) who is currently registered with Cantella Co., Inc. and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cantella Co., Inc., Mark Parker was associated with Raymond James & Associates and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Parker Customer Complaint Mark Parker 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 the investments were not suitable given client’s lack of investment experience. Mark Parker’s customer complaint was settled in favor of investors. Mark Parker Red Flags & Your Rights As An Investor Of course, Mark Parker 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 Parker at Cantella Co., Inc. and Raymond James & Associates on alert to review carefully the activity and performance of their accounts and question whether Mark Parker has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cantella Co., Inc. and Raymond James & Associates 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 Cantella Co., Inc. and Raymond James & Associates Due To Mark Parker If you have questions about Cantella Co., Inc., Raymond James & Associates, and/or Mark Parker 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

Marcus Parker of Wells Fargo Clearing Services

DID MARCUS PARKER CAUSE YOU INVESTMENT LOSSES? Marcus Parker Formerly With Wells Fargo Clearing Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Marcus Parker formerly with Wells Fargo Clearing Services, LLC? Marcus Parker (CRD #1031962) who was formerly registered with Wells Fargo Clearing Services, LLC and located in Santa Fe, New Mexico is a subject of one of our many securities industry sales practice abuse investigations. Marcus Parker has also been the subject of a FINRA investigation. In 2018, without admitting or denying the findings, Marcus Parker consented to a permanent bar from any further association with any member firm for refusing to respond to FINRAs request for documents and information in connection with its investigation of his termination of employment after he failed to appear for an interview and questioning about misappropriations in clients’ accounts. Marcus Parker Customer Complaints Marcus Parker has been the subject of 2 customer complaints that we know about. One of Marcus Parker’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against Wells Fargo Clearing Services, LLC for investment losses caused by Marcus Parker’s alleged misconduct. Allegations Against Marcus Parker 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 unsuitable investment recommendations by Marcus Parker. Plaintiff alleged that Marcus Parker made unauthorized transactions instead of managing the Plaintiff’s assets as expected. Marcus Parker Red Flags & Your Rights As An Investor Of course, Marcus Parker 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 Marcus Parker at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Marcus Parker has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC 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, LLC Due To Marcus Parker If you have questions about Wells Fargo Clearing Services, LLC and/or Marcus Parker 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

Michael Ovitt of RBC Capital Markets

DID MICHAEL OVITT CAUSE YOU INVESTMENT LOSSES? Michael Ovitt of RBC Capital Markets, LLC And Formerly With Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Michael Ovitt of RBC Capital Markets, LLC? Michael Ovitt (CRD #1012040) who is currently registered with RBC Capital Markets, LLC and located in Williamsville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, LLC, Michael Ovitt 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. Michael Ovitt Customer Complaints Michael Ovitt has been the subject of 2 customer complaints that we know about. One of Michael Ovitt’s 2 customer complaints was settled in favor of investors. One of Michael Ovitt’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Michael Ovitt A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleges he was misled by Michael Ovitt on 3 purchases that the principal amount of the purchases was guaranteed. Client verbally complained that there was an unauthorized sale and subsequent repurchase of Allied Motion stock (AMOT) allegedly by Michael Ovitt in their account. Michael Ovitt Red Flags & Your Rights As An Investor Of course, Michael Ovitt 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 Michael Ovitt at RBC Capital Markets, LLC and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Michael Ovitt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC 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 RBC Capital Markets, LLC and Wells Fargo Clearing Services  Due To Michael Ovitt If you have questions about RBC Capital Markets, LLC, Wells Fargo Clearing Services, and/or Michael Ovitt 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

Allen Ostrofe of LPL Financial

DID ALLEN OSTROFE CAUSE YOU INVESTMENT LOSSES? Allen Ostrofe Of LPL Financial LLC, Ostrofe Financial Consultants And Formerly With National Planning Has One Customer Complaint For Alleged Broker Misconduct Who is Allen Ostrofe of LPL Financial LLC? Allen Ostrofe (CRD #1247987) who is currently registered with LPL Financial LLC, Ostrofe Financial Consultants and located in Grass Valley, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Ostrofe Financial Consultants, Allen Ostrofe was associated with National Planning and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Allen Ostrofe Customer Complaint Allen Ostrofe 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 the claimant alleges breach of fiduciary duty, negligent failure to supervise and negligence on behalf of respondent LPL. The customer complaint filed against Allen Ostrofe’s current employer LPL Financial LLC for investment losses caused by the alleged misconduct is pending as of the date of this report. Allen Ostrofe Red Flags & Your Rights As An Investor Of course, Allen Ostrofe 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 Allen Ostrofe at LPL Financial LLC, Ostrofe Financial Consultants and National Planning on alert to review carefully the activity and performance of their accounts and question whether Allen Ostrofe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC, Ostrofe Financial Consultants and National Planning 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 LLC, Ostrofe Financial Consultants, and National Planning Due To Allen Ostrofe If you have questions about LPL Financial LLC, Ostrofe Financial Consultants, National Planning, and/or Allen Ostrofe 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

Robert Ostenberg of MSI Financial Services

DID ROBERT OSTENBERG CAUSE YOU INVESTMENT LOSSES? Robert Ostenberg Formerly With MSI Financial Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Robert Ostenberg formerly with MSI Financial Services, Inc.? Robert Ostenberg (CRD #1046788) who was formerly registered with MSI Financial Services and located in San Jose, California is a subject of one of our many securities industry sales practice abuse investigations. Robert Ostenberg Customer Complaints Robert Ostenberg has been the subject of 2 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. Both of Robert Ostenberg’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Robert Ostenberg 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 the variable annuity he purchased was not suitable for his financial health. Customer also alleges Robert Ostenberg did not explain the contract and the withdrawal penalties. The complainants’ alleged that Robert Ostenberg misrepresented three variable annuities they purchased. The complainants’ further allege that they were guaranteed their principal would always be safe, and passed on to their beneficiaries. Robert Ostenberg Red Flags & Your Rights As An Investor Of course, Robert Ostenberg 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 Robert Ostenberg at MSI Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Robert Ostenberg has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MSI Financial Services, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At MSI Financial Services, Inc. Due To Robert Ostenberg If you have questions about MSI Financial Services, Inc. and/or Robert Ostenberg 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

Regina Onkst of Ameriprise Financial Services

DID REGINA ONKST CAUSE YOU INVESTMENT LOSSES? Regina Onkst Of Ameriprise Financial Services, LLC And Formerly With UBS Financial Services Has 6 Customer Complaints For Alleged Broker Misconduct Who is Regina Onkst of Ameriprise Financial Services, LLC? Regina Onkst (CRD #1128989) who is currently registered with Ameriprise Financial Services, LLC and located in Louisville, Kentucky is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, LLC, Regina Onkst was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Regina Onkst Customer Complaints Regina Onkst has been the subject of 6 customer complaints that we know about. All of Regina Onkst’s 6 customer complaints were settled in favor of the investors. Allegations Against Regina Onkst 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 negligence, breach of contract and breach of fiduciary duty in the completion of a change of IRA beneficiary designation form by Regina Onkst. Client alleged that his investments in Flagster Bonds at PSI “was inappropriate as in IRA investment.” Multiple clients alleged unsuitability by Regina Onkst with respect to her purchase of Flagstar 11 ¼% bonds. Client alleged that her investments in Camelot stock and Flagstar bonds are not suitable investments for her. Regina Onkst Red Flags & Your Rights As An Investor Of course, Regina Onkst 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 Regina Onkst at Ameriprise Financial Services, LLC and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Regina Onkst has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC 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 Ameriprise Financial Services, LLC and UBS Financial Services Due To Regina Onkst If you have questions about Ameriprise Financial Services, LLC, UBS Financial Services, and/or Regina Onkst 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 Oberlin of Raymond James & Associates

DID MARK OBERLIN CAUSE YOU INVESTMENT LOSSES? Mark Oberlin Of Raymond James & Associates, Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Mark Oberlin of Raymond James & Associates, Inc.? Mark Oberlin (CRD #1239612) who is currently registered with Raymond James & Associates, Inc. and located in Grand Rapids, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Mark Oberlin Customer Complaint Mark Oberlin 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 client alleges the FA misrepresented the liquidity and safety of an investment. Mark Oberlin’s customer complaint was denied and the customers did not take any further action. Mark Oberlin Red Flags & Your Rights As An Investor Of course, Mark Oberlin 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 Oberlin at Raymond James & Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Oberlin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates, Inc. 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 Raymond James & Associates, Inc. Due To Mark Oberlin If you have questions about Raymond James & Associates, Inc. and/or Mark Oberlin 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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