Mar 8, 2022

Larry Porter of Morgan Stanley

DID LARRY PORTER CAUSE YOU INVESTMENT LOSSES? Larry Porter Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Larry Porter formerly with Morgan Stanley? Larry Porter (CRD #366024) who was formerly registered with Morgan Stanley and located in Monarch Beach, California is a subject of one of our many securities industry sales practice abuse investigations. Larry Porter Customer Complaints Larry Porter 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. Larry Porter’s 2 customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Larry Porter 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 misrepresentation by Larry Porter with respect to variable annuity investment. Client alleges Larry Porter recommended unsuitable investments. Larry Porter Red Flags & Your Rights As An Investor Of course, Larry Porter 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 Larry Porter at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Larry Porter has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley 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 Morgan Stanley Due To Larry Porter If you have questions about Morgan Stanley and/or Larry Porter 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 Pettyjohn of Client One Securities

DID MARK CHARLES PETTYJOHN CAUSE YOU INVESTMENT LOSSES? Mark Pettyjohn Of Client One Securities LLC And Formerly With Oak Grove Investment Services Has One Customer Complaint For Alleged Broker Misconduct Who is Mark Pettyjohn of Client One Securities LLC? Mark Pettyjohn (CRD #1141552) who is currently registered with Client One Securities LLC and located in Rochester, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Client One Securities LLC, Mark Pettyjohn was associated with Oak Grove Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Pettyjohn Customer Complaint Mark Pettyjohn 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 agent Steven Wandrie contracted under a broker-dealer (Oak Grove) he was president of, accused of convincing client to withdraw funds from his bank account as cash, and give to Wandrie for an investment in a marijuana growing facility. The customer complaint filed against Mark Pettyjohn’s current employer Oak Grove Investment Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Mark Pettyjohn Red Flags & Your Rights As An Investor Of course, Mark Pettyjohn 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 Pettyjohn at Client One Securities LLC and Oak Grove Investment Services on alert to review carefully the activity and performance of their accounts and question whether Mark Pettyjohn has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Client One Securities LLC and Oak Grove Investment 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 Client One Securities LLC and Oak Grove Investment Services Due To Mark Pettyjohn If you have questions about Client One Securities LLC, Oak Grove Investment Services, and/or Mark Pettyjohn 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 Pettit of Ameriprise Financial Services

DID JAMES PETTIT CAUSE YOU INVESTMENT LOSSES? James Pettit Formerly With Ameriprise Financial Services, Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is James Pettit formerly with Ameriprise Financial Services, Inc.? James Pettit (CRD #733916) who was formerly registered with Ameriprise Financial Services, Inc. and located in Suffield, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. James Pettit has had his own share of regulatory problems and investigations. He has been the subject of 2 investigations by FINRA and one pending investigation by the State of Connecticut. FINRA has permanently barred him in all capacities for failure to respond to its requests for information in connection with an investigation. The State of Connecticut’s regulatory action is pending and he is accused of engaging in certain improprieties rising to the level of dishonest or unethical practices in the securities business, including the borrowing of money from an account of a customer without the customer’s prior consent and engaging in an outside business activity involving a firm client without any notice or approval of his employer. James Pettit Customer Complaint James Pettit 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 former Connecticut client alleges that former James Pettit improperly engaged her in activity with regards to a private business dealing and recommended unsuitable investments. The customer complaint filed against James Pettit’s former employer Janney Montgomery Scott for investment losses caused by the alleged misconduct is pending as of the date of this report. James Pettit Red Flags & Your Rights As An Investor Of course, James Pettit 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 Pettit at Ameriprise Financial Services, Inc. and Janney Montgomery Scott on alert to review carefully the activity and performance of their accounts and question whether James Pettit has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, Inc. and Janney Montgomery Scott 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, Inc. Due To James Pettit If you have questions about Ameriprise Financial Services, Inc., Janney Montgomery Scott, and/or James Pettit 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

Mike Persia of UBS Financial Services

DID MIKE PERSIA CAUSE YOU INVESTMENT LOSSES? Mike Persia Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Mike Persia of UBS Financial Services Inc.? Mike Persia (CRD #712234) who is currently registered with UBS Financial Services Inc. and located in Beaumont, Texas is a subject of one of our many securities industry sales practice abuse investigations. Mike Persia Customer Complaints Mike Persia has been the subject of 2 customer complaints that we know about. Mike Persia’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Mike Persia A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client alleges the strategy by Mike Persia was not suitable based on his conservative risk tolerance. Client alleges that he was unaware that he purchased a variable annuity contract and that he was not advised of the contingent deferred sales charge applicable to that contract by Mike Persia. Client requests to surrender the contract without imposition of a contingent deferred sales charge. Mike Persia Red Flags & Your Rights As An Investor Of course, Mike Persia 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 Mike Persia at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Mike Persia has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services 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 UBS Financial Services Inc. Due To Mike Persia If you have questions about UBS Financial Services Inc. and/or Mike Persia 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

Susan Penney of Kovack Securities

DID SUSAN PENNEY CAUSE YOU INVESTMENT LOSSES? Susan Penney of Kovack Securities Inc., And Kovack Advisors Has One Customer Complaint For Alleged Broker Misconduct Who is Susan Penney of Kovack Securities Inc.? Susan Penney (CRD #1238195) who is currently registered with Kovack Securities Inc., Kovack Advisors and located in Oklahoma City, Oklahoma is a subject of one of our many securities industry sales practice abuse investigations. Susan Penney has also been the subject of a FINRA f/k/a NASD investigation that has been settled without admitting or denying the allegations that she exercised discretionary trading Authority customer brokerage accounts without prior written customer authorization and without speaking to the customers on the day of the trades in violation of the member firm’s policies and procedures. She was suspended by FINRA for 10 days in all capacities and fined $5, 000 for the allegedly violation of NASD rules. Susan Penney Customer Complaint Susan Penney 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 that representative sold unsuitable investments resulting in losses. Susan Penney’s customer complaint was settled in favor of the investors. Susan Penney Red Flags & Your Rights As An Investor Of course, Susan Penney 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 Susan Penney at Kovack Securities Inc. and Kovack Advisors on alert to review carefully the activity and performance of their accounts and question whether Susan Penney has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kovack Securities Inc. and Kovack 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 Kovack Securities Inc. and Kovack Advisors Due To Susan Penney If you have questions about Kovack Securities Inc., Kovack Advisors, and/or Susan Penney 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 Peace of FSC Securities

DID RICHARD PEACE CAUSE YOU INVESTMENT LOSSES? Richard Peace Formerly With FSC Securities Corp. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Richard Peace formerly with FSC Securities Corp.? Richard Peace (CRD #1052457) who was formerly registered with FSC Securities Corp. and located in Colorado Springs, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Richard Peace Customer Complaints Richard Peace has been the subject of 4 customer complaints that we know about. One of Richard Peace’s 4 customer complaints was settled in favor of investors. Three of Richard Peace’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Richard Peace 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 two variable annuities purchased were misrepresented by Richard Peace. The customer alleged Richard Peace misrepresented the living benefit portion of the annuity he purchased. The plaintiff alleged Richard Peace made unsuitable and unauthorized trades and high-risk bonds and limited partnerships. The client alleged that Richard Peace misrepresented his real-time trading capabilities and poor execution of trades. Richard Peace Red Flags & Your Rights As An Investor Of course, Richard Peace 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 Peace at FSC Securities Corp. on alert to review carefully the activity and performance of their accounts and question whether Richard Peace has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at FSC Securities 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 FSC Securities Corp. Due To Richard Peace If you have questions about FSC Securities Corp. and/or Richard Peace 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 Cucinotta of Woodbury Financial Services

DID JOSEPH MICHAEL CUCINOTTA CAUSE YOU INVESTMENT LOSSES? Joseph Cucinotta Of Woodbury Financial Services And Formerly With Questar Capital Corporation Has A Customer Complaint For Alleged Broker Misconduct Who is Joseph Cucinotta of Woodbury Financial Services? Joseph Cucinotta (CRD #4321614) who is currently registered with Woodbury Financial Services and located in Radnor, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Woodbury Financial Services, Joseph Cucinotta was associated with Questar Capital Corporation and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joseph Cucinotta Customer Complaint Joseph Cucinotta 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 customer alleges variable annuity purchase was misrepresented. Joseph Cucinotta’s customer complaint was denied and, to date, the customer has not taken any further action. Joseph Cucinotta Red Flags & Your Rights As An Investor Of course, Joseph Cucinotta 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 Cucinotta at Woodbury Financial Services and Questar Capital Corporation on alert to review carefully the activity and performance of their accounts and question whether Joseph Cucinotta has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Woodbury Financial Services and Questar Capital Corporation 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 Woodbury Financial Services Due To Joseph Cucinotta If you have questions about Woodbury Financial Services, Questar Capital Corporation, and/or Joseph Cucinotta 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 Cueter of Comerica Securities

DID CHRISTOPHER JAMES CUETER CAUSE YOU INVESTMENT LOSSES? Christopher Cueter Of Comerica Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Christopher Cueter of Comerica Securities? Christopher Cueter (CRD #1571102) who is currently registered with Comerica Securities and located in Grosse Pointe Woods, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Christopher Cueter Customer Complaint Christopher Cueter has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were client alleges that she overpaid for her mutual fund investments by purchasing and holding Class C shares, from various purchase dates, versus lower cost share alternatives. Christopher Cueter’s customer complaint was settled in favor of the investors. Christopher Cueter Red Flags & Your Rights As An Investor Of course, Christopher Cueter 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 Cueter at Comerica Securities on alert to review carefully the activity and performance of their accounts and question whether Christopher Cueter has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Comerica Securities also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Comerica Securities Due To Christopher Cueter If you have questions about Comerica Securities and/or Christopher Cueter 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 Culp of Capital Investment Group

DID JOHN MARSHALL CULP CAUSE YOU INVESTMENT LOSSES? John Culp Of Capital Investment Group, Capital Investment Advisory Services And Formerly With Triad Advisors, Advisory Services Network Has A Customer Complaint For Alleged Broker Misconduct Who is John Culp of Capital Investment Group? John Culp (CRD #2636902) who is currently registered with Capital Investment Group, Capital Investment Advisory Services and located in Raleigh, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Capital Investment Group and Capital Investment Advisory Services, John Culp was associated with Triad Advisors, Advisory Services Network and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Culp Customer Complaint John Culp 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 customers purchased $50,000 of GPB Automotive Portfolio, LP. John Culp’s customer complaint was settled in favor of the investors. John Culp Red Flags & Your Rights As An Investor Of course, John Culp 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 Culp at Capital Investment Group, Capital Investment Advisory Services, Triad Advisors and Advisory Services Network on alert to review carefully the activity and performance of their accounts and question whether John Culp has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Capital Investment Group, Capital Investment Advisory Services, Triad Advisors and Advisory Services Network 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 Capital Investment Group Due To John Culp If you have questions about Capital Investment Group, Capital Investment Advisory Services, Triad Advisors, Advisory Services Network, and/or John Culp 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

Gregg Cummings of Morgan Stanley

DID GREGG MATTHEW CUMMINGS CAUSE YOU INVESTMENT LOSSES? Gregg Cummings Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Gregg Cummings of Morgan Stanley? Gregg Cummings (CRD #4093046) who is currently registered with Morgan Stanley and located in St. Paul, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Gregg Cummings Customer Complaint Gregg Cummings 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, inter alia, misrepresentation with respect to liquidity asset line. Gregg Cummings’ customer complaint was denied and, to date, the customer has not taken any further action. Gregg Cummings Red Flags & Your Rights As An Investor Of course, Gregg Cummings 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 Gregg Cummings at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Gregg Cummings has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley 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 Gregg Cummings If you have questions about Morgan Stanley and/or Gregg Cummings 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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