Mar 8, 2022

Timothy Notaro of Wintrust Investments

DID TIMOTHY NOTARO CAUSE YOU INVESTMENT LOSSES? Timothy Notaro Of Wintrust Investments LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Timothy Notaro of Wintrust Investments LLC? Timothy Notaro (CRD #1355563) who is currently registered with Wintrust Investments LLC and located in Libertyville, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Timothy Notaro Customer Complaints Timothy Notaro has been the subject of 3 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of Timothy Notaro’s 3 customer complaints was settled in favor of investors. Two of Timothy Notaro’s customers complaints were denied and the customers, to date, have not taken any further action. Allegations Against Timothy Notaro 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 her investments are too risky for her investment objective.  Customer alleged that Representative Tim Notaro’s email to her was inaccurate and as a result she took a loss in the 1035 exchange and cannot cancel it without penalty whereas she could have sold her old annuity with no surrender charge. Northern Trust Securities received a verbal complaint in from the client. Client was upset about the poor performance of the mutual funds in the account allegedly by Tim Notaro. Northern trust securities settled with the client for $20,000 to avoid the cost and uncertainty of potential arbitration. Timothy Notaro Red Flags & Your Rights As An Investor Of course, Timothy Notaro 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 Notaro at Wintrust Investments LLC on alert to review carefully the activity and performance of their accounts and question whether Timothy Notaro has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wintrust Investments 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 Wintrust Investments LLC Due To Timothy Notaro If you have questions about Wintrust Investments LLC and/or Timothy Notaro 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

Malcolm Norris of Ameriprise Financial Services

It is very important for all to know as much as possible about the individuals with whom we trust with our finances. There are a variety of resources where you can discover information about background, including, past employment history, regulatory disciplinary proceedings, and customer complaints. This important information may lead to questions about Malcolm Norris and investment losses you suffered. We will do our best to answer those questions. DID MALCOLM NORRIS CAUSE YOU INVESTMENT LOSSES? Malcolm Norris Formerly With Ameriprise Financial Services, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Malcolm Norris formerly with Ameriprise Financial Services, Inc.? Malcolm Norris (CRD #349264) who was formerly registered with Ameriprise Financial Services, Inc. and located in North, South Carolina is a subject of one of our many securities industry sales practice abuse investigations. Malcolm Norris Customer Complaints Malcolm Norris has been the subject of 4 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of Malcolm Norris’ 4 customer complaints was settled in favor of investors. Three of Malcolm Norris’ customers’ complaints were denied and the customers did not take any further action. Allegations Against Malcolm Norris A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants allege respondents recommended variable annuities, non-traded real estate investment trusts and non-traded business development companies and the investments were unsuitable for them. Claimants’ causes of action are breach of fiduciary duty and negligence allegedly committed by Malcolm Norris. The client alleged her purchase of CNL Lifestyle Properties was misrepresented by Malcolm Norris. The client alleged that the illiquid nature of Corporate Capital Trust was not disclosed at the time of her purchase by Malcolm Norris. The client’s attorney alleged that the purchase of a business development company was unsuitable and that the illiquid nature and associated risks were not disclosed by Malcolm Norris. Malcolm Norris Red Flags & Your Rights As An Investor Of course, Malcolm Norris 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 Malcolm Norris at Ameriprise Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Malcolm Norris has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise 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 Ameriprise Financial Services, Inc. Due To Malcolm Norris If you have questions about Ameriprise Financial Services, Inc. and/or Malcolm Norris 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

Dennis Nakamura of McNally Financial Services

DID DENNIS NAKAMURA CAUSE YOU INVESTMENT LOSSES? Dennis Nakamura Formerly With McNally Financial Services Corp. Has 6 Customer Complaints For Alleged Broker Misconduct Who is Dennis Nakamura formerly with McNally Financial Services Corp.? Dennis Nakamura (CRD #819626) who was formerly registered with McNally Financial Services Corp. and located in Moraga, California is a subject of one of our many securities industry sales practice abuse investigations. Dennis Nakamura has also had his regulatory problems with FINRA. In November 2019, FINRA permanently barred him from any further association with any member firm in any capacity for refusing to appear and provide on-the-record testimony requested by FINRA in connection with its investigation into whether he violated the FINRA rules by making unsuitable investment recommendations to customers. Dennis Nakamura Customer Complaints Dennis Nakamura has been the subject of 6 customer complaints that we know about. Five of Dennis Nakamura’s 6 customer complaints were settled in favor of investors. One of Dennis Nakamura’s customers’ complaints was denied and the customers did not take any further action. Allegations Against Dennis Nakamura 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 Dennis Nakamura’s failure to disclose extent of risk, unauthorized trading, recommending unsuitable investments, breach of fiduciary duty, failure to supervise, churning, breach of contract and elder abuse. Dennis Nakamura allegedly over charged in commission for various mutual fund transactions. Unspecified amount of damage. Dennis Nakamura’ allegedly made unsuitable investment recommendations. Dennis Nakamura Red Flags & Your Rights As An Investor Of course, Dennis Nakamura 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 Dennis Nakamura at McNally Financial Services Corp. on alert to review carefully the activity and performance of their accounts and question whether Dennis Nakamura has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at McNally Financial Services Corp. 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 McNally Financial Services Corp. Due To Dennis Nakamura If you have questions about McNally Financial Services Corp. and/or Dennis Nakamura 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 Morrow of Concorde Investment Services

DID WILLIAM MORROW CAUSE YOU INVESTMENT LOSSES? William Morrow of Concorde Investment Services, LLC, Concorde Asset Management And Formerly With Independent Financial Group And Financial Designs Ltd. Has 13 Customer Complaints For Alleged Broker Misconduct Who is William Morrow of Concorde Investment Services, LLC? William Morrow (CRD #836500) who is currently registered with Concorde Investment Services, LLC, Concorde Asset Management and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Concorde Investment Services, LLC, Concorde Asset Management, William Morrow was associated with Independent Financial Group, Financial Designs Ltd. and 10 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Morrow Customer Complaints William Morrow 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. Two of William Morrow’s 13 customer complaints resulted in arbitration awards in favor of investors. Ten of William Morrow’s 13 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Independent Financial Group for investment losses caused by William Morrow’s alleged misconduct. Allegations Against William Morrow A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: William Morrow’s breach of contract, negligence, negligent misrepresentation, breach of fiduciary duty related to real estate investments. William Morrow’s breach of fiduciary duty, fraud, misrepresentation, professional negligence & violation of suitability rules in connection with a tenant in common investment. William Morrow’s misrepresentation; omissions; unsuitable recommendations; sale of unregistered securities in connection with 2 TIC investments. William Morrow’s alleged breach of fiduciary duty, negligence, fraudulent misrepresentations, omissions, and unsuitable recommendation. Breach of fiduciary duty; misrepresentation; negligence; violations of California Corporate Code in connection with 2 tenant in common investments allegedly committed by William Morrow. Claimant alleged unsuitability; negligence; breach of fiduciary duty; breach of contract and failure to supervise in connection with 1031 exchange/TIC investments by William Morrow. Claimant alleged that her investment in an unsecured Note of Docuvision was unsuitable by William Morrow. Claimant alleged William Morrow’s unsuitability; breach of fiduciary duty; common law fraud; breach of contract; violation of California Securities Act; negligent supervision; sale of unregistered securities in connection with tenant in common (TIC) investments. Claimant alleged William Morrow’s violation of Federal & State Securities Laws; negligence; unsuitable recommendation; breach of fiduciary duty in connection with 2 tenant in common investments. Claimant alleged that investments were high risk and not in line with their stated objectives and risk tolerance by William Morrow. Unsuitable transactions; omissions; misrepresentation; breach of contractual and fiduciary duties allegedly by William Morrow. William Morrow Red Flags & Your Rights As An Investor Of course, William Morrow 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 Morrow at Concorde Investment Services, Inc., Concorde Asset Management, Independent Financial Group and Financial Designs Ltd. on alert to review carefully the activity and performance of their accounts and question whether William Morrow has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Concorde Investment Services, Inc., Concorde Asset Management, Independent Financial Group and Financial Designs Ltd. 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 Concorde Investment Services, Inc. Due To William Morrow If you have questions about Concorde Investment Services, Inc., Concorde Asset Management, Independent Financial Group, Financial Designs Ltd., and/or William Morrow 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

Christopher Monahan of RBC Capital Markets

DID CHRISTOPHER MONAHAN CAUSE YOU INVESTMENT LOSSES? Christopher Monahan Of RBC Capital Markets, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Christopher Monahan of RBC Capital Markets, LLC? Christopher Monahan (CRD #1104708) who is currently registered with RBC Capital Markets, LLC and located in Westport, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Christopher Monahan Customer Complaints Christopher Monahan 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. One of Christopher Monahan’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against RBC Capital Markets, LLC for investment losses caused by Christopher Monahan’s alleged misconduct. Allegations Against Christopher Monahan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged that Christopher Monahan understood that they did not want to take unnecessary risks with their savings. RBC recommended high risk, concentrated investments in Puerto Rico bonds. Mr. Monahan described the investments as safe income producing vehicles. As a result, the claimants suffered principal losses. Clients believe that the Puerto Rico bonds they purchased over the past six years do not meet their investment objectives allegedly made by Christopher Monahan. Christopher Monahan Red Flags & Your Rights As An Investor Of course, Christopher Monahan 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 Christopher Monahan at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Christopher Monahan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, 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 RBC Capital Markets, LLC Due To Christopher Monahan If you have questions about RBC Capital Markets, LLC and/or Christopher Monahan 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

Kathleen Morton of Raymond James Financial Services

DID KATHLEEN MORTON CAUSE YOU INVESTMENT LOSSES? Kathleen Morton Of Raymond James Financial Services, Inc., Raymond James Financial Services Advisors Has One Customer Complaint For Alleged Broker Misconduct Who is Kathleen Morton of Raymond James Financial Services, Inc.? Kathleen Morton (CRD #1386970) who is currently registered with Raymond James Financial Services, Inc., Raymond James Financial Services Advisors and located in Geneva, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Kathleen Morton Customer Complaint Kathleen Morton 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 alleged an annuity was misrepresented at the time of sale. Kathleen Morton’s customer complaint was denied and the customers did not take any further action. Kathleen Morton Red Flags & Your Rights As An Investor Of course, Kathleen Morton 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 Kathleen Morton at Raymond James Financial Services, Inc., Raymond James Financial Services Advisors on alert to review carefully the activity and performance of their accounts and question whether Kathleen Morton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, Inc., Raymond James Financial Services Advisors also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Raymond James Financial Services, Inc. Due To Kathleen Morton If you have questions about Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, and/or Kathleen Morton 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

Edgar Mock of Trustmont Financial Group

DID EDGAR MOCK CAUSE YOU INVESTMENT LOSSES? Edgar Mock Of Trustmont Financial Group, Inc., And Money Management Advisory Has One Customer Complaint For Alleged Broker Misconduct Who is Edgar Mock of Trustmont Financial Group, Inc.? Edgar Mock (CRD #1309680) who is currently registered with Trustmont Financial Group, Inc., Money Management Advisory and located in Feasterville, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Edgar Mock has had his own problems with the regulators. Both FINRA and the State of Maryland investigated and sanctioned him. Maryland sanctioned him for transacting business as an unregistered investment adviser. FINRA alleged that Edgar Mock prepared false documents and suspended him from acting as a principal of any firm for one year in addition to a fine. Edgar Mock Customer Complaint Edgar Mock 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 alleged unsuitable securities, common law fraud, breach of fiduciary duty, unjust enrichment, the failure to supervise, and violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Law. The customer complaint filed against Edgar Mock’s current employer Money Management Advisory for investment losses caused by the alleged misconduct is pending as of the date of this report. Edgar Mock Red Flags & Your Rights As An Investor Of course, Edgar Mock 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 Edgar Mock at Trustmont Financial Group, Inc. and Money Management Advisory on alert to review carefully the activity and performance of their accounts and question whether Edgar Mock has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Trustmont Financial Group, Inc. and Money Management Advisory 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 Trustmont Financial Group, Inc. Due To Edgar Mock If you have questions about Trustmont Financial Group, Inc., Money Management Advisory, and/or Edgar Mock 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

Dean Mings of The Tavenner

DID DEAN MINGS CAUSE YOU INVESTMENT LOSSES? Dean Mings Formerly With The Tavenner Company Has 2 Customer Complaints For Alleged Broker Misconduct Who is Dean Mings formerly with The Tavenner Company? Dean Mings (CRD #1197212) who was formerly registered with The Tavenner Company and located in Springfield, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Dean Mings Customer Complaints Dean Mings has been the subject of 2 customer complaints that we know about. One of Dean Mings’ customers’ complaints was denied and the customer did not take any further action. There is currently one pending customer complaint filed against The Tavenner Company for investment losses caused by Dean Mings’ alleged misconduct. Allegations Against Dean Mings 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 he did not know of the 82 basis point fund managers fee many years after the investment. The representative Dean Mings allegedly did not explain this fact or supply him with a prospectus. Claimant alleged unsuitable recommendations related to the purchase of both annuities and life insurance, forgery of customer’s signature by registered representative, unethical and improper conduct by representative, Dean Mings by having power of attorney over customer and being named partial beneficiary of a variable annuity held by customer, and “Selling away” by assisting the customer with purchase of private security not approved by the firm. Dean Mings Red Flags & Your Rights As An Investor Of course, Dean Mings 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 Dean Mings at The Tavenner Company on alert to review carefully the activity and performance of their accounts and question whether Dean Mings has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The Tavenner Company 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 The Tavenner Company Due To Dean Mings If you have questions about The Tavenner Company and/or Dean Mings 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 Neese of Indiana Securities

DID FRANK NEESE CAUSE YOU INVESTMENT LOSSES? Frank Neese of Indiana Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Frank Neese of Indiana Securities, LLC? Frank Neese (CRD #871154) who is currently registered with Indiana Securities, LLC and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Frank Neese Customer Complaints Frank Neese has been the subject of 2 customer complaints that we know about. Two of Frank Neese’s 2 customer complaints were settled in favor of investors. Allegations Against Frank Neese A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Frank Neese allegedly made a recommendation of an inappropriate investment. Customer claims breach of contract and breach of duties allegedly by Frank Neese owed to a client connection with the purchase of corporate debt. Frank Neese Red Flags & Your Rights As An Investor Of course, Frank Neese 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 Neese at Indiana Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Frank Neese has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Indiana Securities, 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 Indiana Securities, LLC Due To Frank Neese If you have questions about Indiana Securities, LLC and/or Frank Neese 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 Randall of Cambridge Investment Research

DID WILLIAM RANDALL CAUSE YOU INVESTMENT LOSSES? William Randall Of Cambridge Investment Research, Inc., Cambridge Investment Research Advisors And Formerly With LPL Financial Has 2 Customer Complaints For Alleged Broker Misconduct Who is William Randall of Cambridge Investment Research, Inc.? William Randall (CRD #1392233) who is currently registered with Cambridge Investment Research, Inc., Cambridge Investment Research Advisors and located in Rockford, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, William Randall was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Randall Customer Complaints William Randall 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 William Randall’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against LPL Financial for investment losses caused by William Randall’s alleged misconduct. Allegations Against William Randall A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged that William Randall made unsuitable investments in their accounts. Claimants alleged they desired to purchase low-risk investments, but were encouraged to invest in two unsuitable investments, which caused them to sustain damages under theories of breach of fiduciary duty and breach of contract. William Randall Red Flags & Your Rights As An Investor Of course, William Randall 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 Randall at Cambridge Investment Research, Inc., Cambridge Investment Research Advisors and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether William Randall has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research, Inc., Cambridge Investment Research Advisors and LPL 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 Cambridge Investment Research, Inc. and LPL Financial Due To William Randall If you have questions about Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, LPL Financial, and/or William Randall 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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