Mar 8, 2022

Michael Aschberger of Voya Financial Advisors

DID MICHAEL ANTHONY ASCHBERGER CAUSE YOU INVESTMENT LOSSES? Michael Aschberger Of Voya Financial Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Aschberger of Voya Financial Advisors? Michael Aschberger (CRD #2827129) who is currently registered with Voya Financial Advisors and located in Franklin, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Michael Aschberger Customer Complaint Michael Aschberger 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 customer alleged loss and dividends this year less than half of what they were last year due to terrible investment and recommendation. Michael Aschberger’s customer complaint was denied and the customers did not take any further action. Michael Aschberger Red Flags & Your Rights As An Investor Of course, Michael Aschberger 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 Aschberger at Voya Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Michael Aschberger has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Voya Financial 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 Voya Financial Advisors Due To Michael Aschberger If you have questions about Voya Financial Advisors and/or Michael Aschberger 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

Kenneth Ashe Formerly With Ameriprise Financial Services

DID KENNETH JOSEPH ASHE CAUSE YOU INVESTMENT LOSSES? Kenneth Ashe Formerly With Ameriprise Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Kenneth Ashe formerly with Ameriprise Financial Services? Kenneth Ashe (CRD #3122625) who was formerly registered with Ameriprise Financial Services and located in Nashville, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Kenneth Ashe Customer Complaints Kenneth Ashe 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 Kenneth Ashe’s 2 customer complaints was settled in favor of investors. One of Kenneth Ashe’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Kenneth Ashe 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 Kenneth Ashe did not disclose the provisions of the REIT purchased. The client alleged Kenneth Ashe misrepresented a variable universal life insurance policy regarding the death benefit payout to be received when the insured reached age 100. Kenneth Ashe Red Flags & Your Rights As An Investor Of course, Kenneth Ashe 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 Kenneth Ashe at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Kenneth Ashe 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 Kenneth Ashe If you have questions about Ameriprise Financial Services and/or Kenneth Ashe 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

Tracy Aufleger of Ameriprise Financial Services

DID TRACY GOUGHNOUR AUFLEGER CAUSE YOU INVESTMENT LOSSES? Tracy Aufleger of Ameriprise Financial Services Has 5 Customer Complaints For Alleged Broker Misconduct Who is Tracy Aufleger of Ameriprise Financial Services? Tracy Aufleger (CRD #2317989) who is currently registered with Ameriprise Financial Services and located in Suwanee, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Tracy Aufleger Customer Complaints Tracy Aufleger has been the subject of 5 customer complaints that we know about. One of Tracy Aufleger’s 5 customer complaints were settled in favor of investors. Four of Tracy Aufleger’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Tracy Aufleger 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 Tracy Aufleger provided a poor recommendation to purchase a variable annuity, as she did not need an additional income stream in retirement. Clients alleged they requested their CD to be placed in their cash account at maturity, instead it was placed into a uninsured cash sweep account (US Gov Reserve) without their authorization causing them loss and no access to their cash allegedly made by Tracy Aufleger. The client alleged Tracy Aufleger failed to follow specific written instructions regarding his accounts, resulting in losses to his portfolio. The clients alleged that they were not informed of the commissions associated with the investments recommended by Tracy Aufleger. Additionally, the clients claim the recommendation of variable universal life insurance was not appropriate for their financial circumstances. Tracy Aufleger Red Flags & Your Rights As An Investor Of course, Tracy Aufleger 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 Tracy Aufleger at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Tracy Aufleger 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 Tracy Aufleger If you have questions about Ameriprise Financial Services and/or Tracy Aufleger 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

Alexia Ball of Cambridge Investment Research

DID ALEXIA LEA BALL CAUSE YOU INVESTMENT LOSSES? Alexia Ball Of Cambridge Investment Research, Cambridge Investment Research Advisors And Formerly With First Command Advisory Services, and First Command Financial Planning Has A Customer Complaint For Alleged Broker Misconduct Who is Alexia Ball of Cambridge Investment Research? Alexia Ball (CRD #4162008) who is currently registered with Cambridge Investment Research, Cambridge Investment Research Advisors and located in Huntsville, Alabama is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cambridge Investment Research, Cambridge Investment Research Advisors, Alexia Ball was associated with First Command Advisory Services, First Command Financial Planning and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Alexia Ball Customer Complaint Alexia Ball 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 misrepresentation and excessive trading. Alexia Ball’s customer complaint was denied and the customers did not take any further action. Alexia Ball Red Flags & Your Rights As An Investor Of course, Alexia Ball 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 Alexia Ball at Cambridge Investment Research, Cambridge Investment Research Advisors, First Command Advisory Services, and First Command Financial Planning on alert to review carefully the activity and performance of their accounts and question whether Alexia Ball has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research, Cambridge Investment Research Advisors, First Command Advisory Services, and First Command Financial 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 Cambridge Investment Research Due To Alexia Ball If you have questions about Cambridge Investment Research, Cambridge Investment Research Advisors, First Command Advisory Services, First Command Financial Planning, and/or Alexia Ball and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Brian Ballard of UBS Financial Services

DID BRIAN THOMAS BALLARD CAUSE YOU INVESTMENT LOSSES? Brian Ballard Of UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Brian Ballard of UBS Financial Services? Brian Ballard (CRD #2131677) who is currently registered with UBS Financial Services and located in South Ogden, Utah is a subject of one of our many securities industry sales practice abuse investigations. Brian Ballard Customer Complaints Brian Ballard has been the subject of 2 customer complaints that we know about.  Both of Brian Ballard’s 2 customer complaints were settled in favor of investors. Allegations Against Brian Ballard 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, inter alia, that Brian Ballard recommended unsuitable Lehman stock. Claimant alleged Brian Ballard failed to execute her instructions to liquidate positions in her PACE Select funds held in her IRA and Trust accounts. Brian Ballard Red Flags & Your Rights As An Investor Of course, Brian Ballard did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Brian Ballard at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Brian Ballard has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS 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 UBS Financial Services Due To Brian Ballard If you have questions about UBS Financial Services and/or Brian Ballard 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

Willis Barnes of Allstate Financial Services

DID WILLIS DON BARNES CAUSE YOU INVESTMENT LOSSES? Willis Barnes Of Allstate Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Willis Barnes of Allstate Financial Services? Willis Barnes (CRD #2735083) who is currently registered with Allstate Financial Services and located in Olympia, Washington is a subject of one of our many securities industry sales practice abuse investigations. Willis Barnes Customer Complaint Willis Barnes 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 customer alleged that policy was re-written into a variable universal life and this is not what they wanted. Their policy is in jeopardy of lapsing and customer has requested all monies back that were put into the policy. Willis Barnes’ customer complaint was denied and date, the customers have not taken any further action. Willis Barnes Red Flags & Your Rights As An Investor Of course, Willis Barnes 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 Willis Barnes at Allstate Financial Services on alert to review carefully the activity and performance of their accounts and question whether Willis Barnes 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 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 Allstate Financial Services Due To Willis Barnes If you have questions about Allstate Financial Services and/or Willis Barnes 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

Eric Baron of Spartan Capital Securities

DID ERIC SCOTT BARON CAUSE YOU INVESTMENT LOSSES? Eric Baron Of Spartan Capital Securities And Formerly With Laidlaw Company (UK) Ltd. and SW Financial Has 4 Customer Complaints For Alleged Broker Misconduct Who is Eric Baron of Spartan Capital Securities? Eric Baron (CRD #2758724) who is currently registered with Spartan Capital Securities and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Spartan Capital Securities, Eric Baron was associated with Laidlaw Company (UK) Ltd., SW Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Eric Baron Customer Complaints Eric Baron has been the subject of 4 customer complaints that we know about.  All of Eric Baron’s 4 customer complaints were settled in favor of investors. Allegations Against Eric Baron A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Eric Baron allegedly engaged in churning and made unsuitable investment recommendations. Churning, negligence, unsuitability, unauthorized trading, breach of contract allegedly by Eric Baron. Claimant alleged excessive trading and unsuitable transactions, negligence, breach of contract and fiduciary duty by Eric Baron. Eric Baron Red Flags & Your Rights As An Investor Of course, Eric Baron 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 Eric Baron at Spartan Capital Securities, Laidlaw Company (UK) Ltd., and SW Financial on alert to review carefully the activity and performance of their accounts and question whether Eric Baron has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities, Laidlaw Company (UK) Ltd., and SW 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 Spartan Capital Securities Due To Eric Baron If you have questions about Spartan Capital Securities, Laidlaw Company (UK) Ltd., SW Financial, and/or Eric Baron 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

Ryan Barradas of Kestra Investment Services

DID RYAN FRANCIS BARRADAS CAUSE YOU INVESTMENT LOSSES? Ryan Barradas Of Kestra Investment Services, Kestra Advisory Services And Formerly With M Holdings Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Ryan Barradas of Kestra Investment Services? Ryan Barradas (CRD #2979630) who is currently registered with Kestra Investment Services, Kestra Advisory Services and located in Phoenix, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kestra Investment Services and Kestra Advisory Services, Ryan Barradas was associated with M Holdings Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ryan Barradas Customer Complaint Ryan Barradas 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 Ryan Barradas breached his fiduciary duty by recommending repeated replacements of existing multi-million dollar life insurance policies. Claimant further accuses Ryan Barradas of making misrepresentations about the necessity of replacing the policies with new products that were inconsistent with the claimants stated goals. The customer complaint filed against Ryan Barradas’ former employer M Holdings Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Ryan Barradas Red Flags & Your Rights As An Investor Of course, Ryan Barradas 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 Ryan Barradas at Kestra Investment Services, Kestra Advisory Services and M Holdings Securities on alert to review carefully the activity and performance of their accounts and question whether Ryan Barradas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kestra Investment Services, Kestra Advisory Services and M Holdings 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 Kestra Investment Services Due To Ryan Barradas If you have questions about Kestra Investment Services, Kestra Advisory Services, M Holdings Securities, and/or Ryan Barradas 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

Nicolas Barrios Formerly With UBS Financial Services

DID NICOLAS JESUS BARRIOS CAUSE YOU INVESTMENT LOSSES? Nicolas Barrios Formerly With UBS Financial Services Has 4 Customer Complaints For Alleged Broker Misconduct Who is Nicolas Barrios formerly with UBS Financial Services? Nicolas Barrios (CRD #2122824) who was formerly registered with UBS Financial Services and located in Winter Haven, Florida is a subject of one of our many securities industry sales practice abuse investigations. Nicolas Barrios was also the subject of a FINRA investigation into allegations that he mismanaged and committed fraud in customer’s account.  He allegedly failed to provide FINRA with the requested documents and information in connection with its investigation and was subsequently permanently barred from membership with any FINRA firm in any capacity. Nicolas Barrios Customer Complaints Nicolas Barrios has been the subject of 4 customer complaints that we know about. Three of Nicolas Barrios’ 4 customers’ complaints were denied and the customers did not take any further action. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by Nicolas Barrios’ alleged misconduct. Allegations Against Nicolas Barrios A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Florida resident writes that he should have been placed in safer investment allegedly by Nicolas Barrios. The client’s beneficiaries allege Nicolas Barrios invested in risky stocks for her age. She further alleges the FA stated he took her money and traded it outside of UBS. She finally alleges the client did not authorize stock trades and thought her money was safe. Nicolas Barrios Red Flags & Your Rights As An Investor Of course, Nicolas Barrios 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 Nicolas Barrios at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Nicolas Barrios has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS 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 UBS Financial Services Due To Nicolas Barrios If you have questions about UBS Financial Services and/or Nicolas Barrios 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

Gregory Bennington Of Kestra Investment Services

DID GREGORY EUGENE BENNINGTON CAUSE YOU INVESTMENT LOSSES? Gregory Bennington Of Kestra Investment Services, Kestra Advisory Services Has A Customer Complaint For Alleged Broker Misconduct Who is Gregory Bennington of Kestra Investment Services? Gregory Bennington (CRD #2663629) who is currently registered with Kestra Investment Services, Kestra Advisory Services and located in Jeffersonville, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Gregory Bennington Customer Complaint Gregory Bennington 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 failure to follow instructions. Gregory Bennington’s customer complaint was settled in favor of the investors. Gregory Bennington Red Flags & Your Rights As An Investor Of course, Gregory Bennington 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 Gregory Bennington at Kestra Investment Services and Kestra Advisory Services on alert to review carefully the activity and performance of their accounts and question whether Gregory Bennington has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kestra Investment Services and Kestra Advisory 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 Kestra Investment Services Due To Gregory Bennington If you have questions about Kestra Investment Services, Kestra Advisory Services, and/or Gregory Bennington 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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