Mar 8, 2022

Donald Rich Of Wells Fargo Clearing Services

DID DONALD NORMAN RICH CAUSE YOU INVESTMENT LOSSES? Donald Rich Of Wells Fargo Clearing Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Donald Rich of Wells Fargo Clearing Services? Donald Rich (CRD #375398) who is currently registered with Wells Fargo Clearing Services and located in Old Greenwich, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Donald Rich Customer Complaints Donald Rich 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. One of Donald Rich’s 3 customer complaints was settled in favor of investors. One of Donald Rich’s customers’ complaints was denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Wells Fargo Clearing Services for investment losses caused by Donald Rich’s alleged misconduct. Allegations Against Donald Rich 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 that Donald Rich failed to follow his instructions. POA (Power Of Attorney) alleged that Donald Rich deposited insurance check for client into his personal account; recommended unsuitable investments; refused to return money to client; made unauthorized trades; and engaged in fraudulent deception. Donald Rich Red Flags & Your Rights As An Investor Of course, Donald Rich did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Donald Rich at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Donald Rich has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services Due To Donald Rich If you have questions about Wells Fargo Clearing Services and/or Donald Rich 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 Richardson Of Avantax Investment Services

DID WILLIAM FRANKLIN RICHARDSON CAUSE YOU INVESTMENT LOSSES? William Richardson Of Avantax Investment Services, Avantax Advisory Services And Formerly With Securities America, Securities America Advisors, and Investacorp Advisory Services Has 6 Customer Complaints For Alleged Broker Misconduct Who is William Richardson of Avantax Investment Services? William Richardson (CRD #721293) who is currently registered with Avantax Investment Services, Avantax Advisory Services and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Avantax Investment Services, Avantax Advisory Services, William Richardson was associated with Securities America, Securities America Advisors, and Investacorp Advisory Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Richardson Customer Complaints William Richardson has been the subject of 6 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of William Richardson’s 6 customer complaints were settled in favor of investors. Three of William Richardson’s customers complaints were denied and, to date, the customers had not taken any further action. There is currently one pending customer complaint filed against Investacorp for investment losses caused by William Richardson’s alleged misconduct. Allegations Against William Richardson 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 the investments were unsuitable at the time of sale. After electing to invest in REITs and BDCs, Claimant alleged that the investments made by William Richardson were unsuitable. Client alleged William Richardson was negligent in calculating RMD which resulted in resetting of annuity benefit amount. Client alleged that a variable annuity purchased was unsuitable and misrepresented by William Richardson. Client alleged that her age of 73 was overlooked by William Richardson and the investment is inappropriate for her. The client alleged the limited partnership investment he purchased from William Richardson was not suitable. William Richardson Red Flags & Your Rights As An Investor Of course, William Richardson 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 Richardson at Avantax Investment Services, Avantax Advisory Services, Securities America, Securities America Advisors, and Investacorp Advisory Services on alert to review carefully the activity and performance of their accounts and question whether William Richardson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Avantax Investment Services, Avantax Advisory Services, Securities America, Securities America Advisors, and Investacorp Advisory 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 Avantax Investment Services and Securities America Due To William Richardson If you have questions about Avantax Investment Services, Avantax Advisory Services, Securities America, Securities America Advisors, Investacorp Advisory Services, and/or William Richardson 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

Leonard Rickey Formerly With LPL Financial

DID LEONARD GLEN RICKEY CAUSE YOU INVESTMENT LOSSES? Leonard Rickey Formerly With LPL Financial Has 2 Customer Complaints For Alleged Broker Misconduct Who is Leonard Rickey formerly with LPL Financial? Leonard Rickey (CRD #832906) who was formerly registered with LPL Financial and located in Yakima, Washington is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Leonard Rickey was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Leonard Rickey Customer Complaints Leonard Rickey has been the subject of 2 customer complaints that we know about. Two of Leonard Rickey’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Leonard Rickey A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customers allege that Leonard Rickey failed to liquidate account assets after customers expressed a desire to do so. The customer alleged that she was not adequately informed or educated about the product by Leonard Rickey prior to her purchase. Leonard Rickey Red Flags & Your Rights As An Investor Of course, Leonard Rickey 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 Leonard Rickey at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Leonard Rickey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 LPL Financial Due To Leonard Rickey If you have questions about LPL Financial and/or Leonard Rickey 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

Vinton Ritchey Of Pruco Securities

DID VINTON EARL RITCHEY CAUSE YOU INVESTMENT LOSSES? Vinton Ritchey Of Pruco Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Vinton Ritchey of Pruco Securities? Vinton Ritchey (CRD #1180221) who is currently registered with Pruco Securities and located in Naperville, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Vinton Ritchey Customer Complaint Vinton Ritchey 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 at the time of sale the representative showed me a projection that the policy would pay for itself. Vinton Ritchey’s customer complaint was denied and, to date, the customers have not taken any further action. Vinton Ritchey Red Flags & Your Rights As An Investor Of course, Vinton Ritchey 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 Vinton Ritchey at Pruco Securities on alert to review carefully the activity and performance of their accounts and question whether Vinton Ritchey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco 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 Pruco Securities Due To Vinton Ritchey If you have questions about Pruco Securities and/or Vinton Ritchey 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 Sanders Of WestPark Capital

DID JOSEPH LEONARD SANDERS CAUSE YOU INVESTMENT LOSSES? Joseph Sanders Of WestPark Capital And Formerly With Newport Coast Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Joseph Sanders of WestPark Capital? Joseph Sanders (CRD #1177680) who is currently registered with WestPark Capitaland located in Newport Beach, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to WestPark Capital, Joseph Sanders was associated with Newport Coast Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joseph Sanders Customer Complaints Joseph Sanders has been the subject of at least 2 customer complaint that we know about, which was filed in the last year to recover investment losses.  One customer complaint for unsuitability, breach of fiduciary duty, misrepresentation, and violation of the blue sky laws of Michigan was settled. The allegations made in the other FINRA reported customer complaint for investment losses were unsuitable recommendations, breach of fiduciary duty and misrepresentation.  The other customer complaint was filed against Joseph Sanders’ current employer WestPark Capital for investment losses caused by the alleged misconduct is pending as of the date of this report. Joseph Sanders Red Flags & Your Rights As An Investor Of course, Joseph Sanders 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 Sanders at WestPark Capital and Newport Coast Securities on alert to review carefully the activity and performance of their accounts and question whether Joseph Sanders has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at WestPark Capital and Newport Coast 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 WestPark Capital and Newport Coast Securities Due To Joseph Sanders If you have questions about WestPark Capital, Newport Coast Securities, and/or Joseph Sanders 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

George Schmidt Formerly With Lincoln Financial Advisors

DID GEORGE ANTHONY SCHMIDT CAUSE YOU INVESTMENT LOSSES? George Schmidt Formerly With Lincoln Financial Advisors Has 4 Customer Complaints For Alleged Broker Misconduct Who is George Schmidt formerly with Lincoln Financial Advisors? George Schmidt (CRD #1082936) who was formerly registered with Lincoln Financial Advisors and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. George Schmidt has also been the subject of a FINRA investigation and refused to respond to FINRA’s request for information.  Consequently, he was permanently barred from association with any member firm in any capacity. George Schmidt Customer Complaints George Schmidt has been the subject of 4 customer complaints that we know about. Two of George Schmidt’s 4 customer complaints were settled in favor of investors. One of George Schmidt’s customers’ complaints was denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Lincoln Financial Advisors for investment losses caused by George Schmidt’s alleged misconduct. Allegations Against George Schmidt A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Arbitration names PMG Securities as a respondent. Claimants alleged, however, that George Schmidt held himself out as a registered representative properly licensed with PMG Securities and who handled the claimant’s investments. The claimants allege, among other things, that PMG, through its unlicensed agent Mr. Schmidt, represented to claimants that they would have a fixed annuity for a period of one year and then would have an opportunity to determine how to invest the funds with the variable annuity component thereafter. Respondent PMG ignored claimants’ wishes and embarked on a plan to transfer funds to the variable annuity component almost immediately. The funds were allocated to sub accounts consisting of high-risk aggressive growth mutual funds totally unsuitable for the claimants and more importantly, were unauthorized. Claimants further alleged that PMG through George Schmidt prepared false and fraudulent documentation and engaged in forgeries of the claimants and also of Denise Fleming, another agent of PMG. Note that the alleged compensatory damages are disclosed as zero. Claimant alleged LFA and George Schmidt breached their fiduciary duties in regard to an account and George Schmidt made unauthorized withdrawals from two annuities. Client alleged he purchased a variable life insurance policy based on George Schmidt’s representation that he would pay scheduled annual premiums on this policy for six years, at which time no further money would be due. Client alleged he has now been advised that the policy lapsed and he would have to pay an additional $80,000 to keep the policy in force. Client is requesting the firm to either put the policy back into effect or that all money applied to this policy be returned. Client alleged that the variable annuity that she purchased (by a transfer from an annuity within an IRA from another carrier) was unsuitable given her age, financial condition, investment experience and overall risk tolerance. George Schmidt Red Flags & Your Rights As An Investor Of course, George Schmidt 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 George Schmidt at Lincoln Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether George Schmidt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lincoln Financial Advisors also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Lincoln Financial Advisors Due To George Schmidt If you have questions about Lincoln Financial Advisors and/or George Schmidt 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

Harold Schwartz Of DMK Advisor Group and Formerly with The Leaders Group

DID HAROLD ALAN SCHWARTZ CAUSE YOU INVESTMENT LOSSES? Harold Schwartz Of DMK Advisor Group And Formerly With New Century Financial Group, Royal Alliance Associates, TLG Advisors, and The Leaders Group Has 3 Customer Complaints For Alleged Broker Misconduct Who is Harold Schwartz of DMK Advisor Group? Harold Schwartz (CRD #841225) who is currently registered with DMK Advisor Group and located in Jacksonville, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to DMK Advisor Group, Harold Schwartz was associated with New Century Financial Group, Royal Alliance Associates, TLG Advisors, The Leaders Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Harold Schwartz Customer Complaints Harold Schwartz 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. Two of Harold Schwartz’s 3 customer complaints were settled in favor of investors. One of Harold Schwartz’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Harold Schwartz 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 Harold Schwartz guaranteed the money would double in 10 years, but the income base is what doubled in 10 years. Customer alleged Harold Schwartz’s issues of suitability in recommended investment strategy. Harold Schwartz Red Flags & Your Rights As An Investor Of course, Harold Schwartz 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 Harold Schwartz at DMK Advisor Group, New Century Financial Group, Royal Alliance Associates, TLG Advisors, and The Leaders Group on alert to review carefully the activity and performance of their accounts and question whether Harold Schwartz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at DMK Advisor Group, New Century Financial Group, Royal Alliance Associates, TLG Advisors, and The Leaders Group 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 DMK Advisor Group Due To Harold Schwartz If you have questions about DMK Advisor Group, New Century Financial Group, Royal Alliance Associates, TLG Advisors, The Leaders Group, and/or Harold Schwartz 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

Stephen Schwartz Of Herbert J. Sims & Co

DID STEPHEN ROGER SCHWARTZ CAUSE YOU INVESTMENT LOSSES? Stephen Schwartz Of Herbert J. Sims & Co Has 5 Customer Complaints For Alleged Broker Misconduct Who is Stephen Schwartz of Herbert J. Sims & Co? Stephen Schwartz (CRD #869346) who is currently registered with Herbert J. Sims & Co and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Stephen Schwartz Customer Complaints Stephen Schwartz has been the subject of 5 customer complaints that we know about. One of Stephen Schwartz’s 5 customer complaints resulted in an arbitration award in favor of the investors. Four of Stephen Schwartz’s 5 customer complaints were settled in favor of investors. Allegations Against Stephen Schwartz A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Stephen Schwartz’s alleged breach of fiduciary duty to recommend appropriate investment strategy to preserve principal, suitability violations. Claimant is alleging unsuitability by Stephen Schwartz. Clamant allege Stephen Schwartz’s over-concentration, unsuitability, lack of KYC. Stephen Schwartz Red Flags & Your Rights As An Investor Of course, Stephen Schwartz 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 Stephen Schwartz at Herbert J. Sims & Co on alert to review carefully the activity and performance of their accounts and question whether Stephen Schwartz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Herbert J. Sims & Co 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 Herbert J. Sims & Co Due To Stephen Schwartz If you have questions about Herbert J. Sims & Co and/or Stephen Schwartz 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

Stephen Schwarzman Of Blackstone Securities Partners L.P.

DID STEPHEN ALLEN SCHWARZMAN CAUSE YOU INVESTMENT LOSSES? Stephen Schwarzman Of Blackstone Securities Partners L.P. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Stephen Schwarzman of Blackstone Securities Partners L.P.? Stephen Schwarzman (CRD #861435) who is currently registered with Blackstone Securities Partners L.P. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Stephen Schwarzman Customer Complaints Stephen Schwarzman has been the subject of 2 customer complaints that we know about, one of which was filed in the last year to recover investment losses. The state court lawsuits concern Kentucky Retirement Systems’ investment in a Blackstone-managed fund and allege a variety of state law claims allegedly committed by Stephen Schwarzman.  Both of the customers’ complaints filed against Stephen Schwarzman’s former employer The Blackstone Group L.P. for investment losses caused by the alleged misconduct are pending as of the date of this report. Stephen Schwarzman Red Flags & Your Rights As An Investor Of course, Stephen Schwarzman 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 Stephen Schwarzman at Blackstone Securities Partners L.P. on alert to review carefully the activity and performance of their accounts and question whether Stephen Schwarzman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Blackstone Securities Partners L.P. 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 Blackstone Securities Partners L.P. Due To Stephen Schwarzman If you have questions about Blackstone Securities Partners L.P. and/or Stephen Schwarzman 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 Schwitz Of Allstate Financial Services

DID MARK FRANKLIN SCHWITZ CAUSE YOU INVESTMENT LOSSES? Mark Schwitz of Allstate Financial Services Has 4 Customer Complaints For Alleged Broker Misconduct Who is Mark Schwitz of Allstate Financial Services? Mark Schwitz (CRD #1380018) who is currently registered with Allstate Financial Services and located in Mishawaka, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Mark Schwitz Customer Complaints Mark Schwitz has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of Mark Schwitz’s 4 customer complaints were settled in favor of investors. One of Mark Schwitz’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Mark Schwitz A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged that Mark Schwitz replaced his first policy with a second policy and he does not think that he signed the application for life insurance or policy change. Customer alleged suitability, premium flexibility, internal replacement and funding via full/partial surrender committed by Mark Schwitz. The client alleged Mark Schwitz’s misrepresentation concerning the value of the insurance policy. Mark Schwitz Red Flags & Your Rights As An Investor Of course, Mark Schwitz 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 Schwitz at Allstate Financial Services on alert to review carefully the activity and performance of their accounts and question whether Mark Schwitz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Allstate 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 Allstate Financial Services Due To Mark Schwitz If you have questions about Allstate Financial Services and/or Mark Schwitz 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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