Mar 8, 2022

Jerry Adam of The Leaders Group

DID JERRY CHARLES ADAM CAUSE YOU INVESTMENT LOSSES? Jerry Adam Of The Leaders Group And Formerly With Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Jerry Adam of The Leaders Group? Jerry Adam (CRD #2014689) who is currently registered with The Leaders Group and located in Littleton, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to The Leaders Group, Jerry Adam was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jerry Adam Customer Complaint Jerry Adam 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 purchase of variable life insurance policy was misrepresented. Jerry Adam’s customer complaint was settled in favor of the investors. Jerry Adam Red Flags & Your Rights As An Investor Of course, Jerry Adam 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 Jerry Adam at The Leaders Group and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Jerry Adam has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The Leaders Group and Wells Fargo Clearing 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 The Leaders Group and Wells Fargo Clearing Services Due To Jerry Adam If you have questions about The Leaders Group, Wells Fargo Clearing Services, and/or Jerry Adam 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

Peter Holler of Securities Service Network

DID PETER HOLLER CAUSE YOU INVESTMENT LOSSES? Peter Holler Formerly With Securities Service Network, Inc. Has 6 Customer Complaints For Alleged Broker Misconduct Who is Peter Holler formerly with Securities Service Network, Inc.? Peter Holler (CRD #838897) who was formerly registered with Securities Service Network, Inc. and located in Bristol, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securities Service Network, Inc., Peter Holler was associated with and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Peter Holler has also been the subject of investigation by regulators. In 2018, he was suspended for 2 years, ordered to pay restitution and fined for allegedly engaging in a series of private securities transactions without providing notice to his member firm. FINRA found that Peter Holler solicited investors to purchase over $1.3 million in promissory notes in a purported real estate investment fund. Peter Holler Customer Complaints Peter Holler has been the subject of 6 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. Six of Peter Holler’s 6 customer complaints were settled in favor of investors. Allegations Against Peter Holler 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 Peter Holler sold them fraudulent investments in the Woodbridge Mortgage Investment Fund 3A LLC. Claimants alleged that Peter Holler sold them fraudulent investments into the Woodbridge Mortgage Investment Funds 3 & 4. They allege these investments were not approved by Mr. Holler’s broker-dealer, Securities Service Network. Claimants alleged that Peter Holler sold them investments in an alleged fraudulent unregistered security called Woodbridge Mortgage Investment Fund 4 LLC. One of the investments actually occurred after Mr. Holler terminated from Securities Service Network, Inc. Client alleged that Peter Holler sold her fraudulent investments in the Woodbridge Mortgage Fund 1 LLC. Claimants alleged that Peter Holler recommended and sold to them investments in the Woodbridge Mortgage Fund promissory notes. The Claimants allege that the investments were not approved by his employer and were in-fact fraudulent investments. Peter Holler Red Flags & Your Rights As An Investor Of course, Peter Holler 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 Peter Holler at Securities Service Network, Inc. on alert to review carefully the activity and performance of their accounts and question whether Peter Holler has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities Service Network, 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 Securities Service Network, Inc. Due To Peter Holler If you have questions about Securities Service Network, Inc. and/or Peter Holler 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 Holt of Ameritas Investment

DID JOHN HOLT CAUSE YOU INVESTMENT LOSSES? John Holt Of Ameritas Investment Company, LLC Has One Customer Complaint For Alleged Broker Misconduct Who is John Holt of Ameritas Investment Company, LLC? John Holt (CRD #249223) who is currently registered with Ameritas Investment Company, LLC and located in Dalton, Georgia is a subject of one of our many securities industry sales practice abuse investigations. John Holt Customer Complaint John Holt 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 made in a civil action in which plaintiff alleges John Holt and Prudential deprived her of interest in the variable annuity by allowing defendant to continue to take withdrawals until the variable annuity was exhausted. The customer complaint filed against John Holt’s current employer Ameritas Investment Company, LLC for investment losses caused by the alleged misconduct is pending as of the date of this report. John Holt Red Flags & Your Rights As An Investor Of course, John Holt 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 Holt at Ameritas Investment Company, LLC on alert to review carefully the activity and performance of their accounts and question whether John Holt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameritas Investment Company, LLC 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 Ameritas Investment Company, LLC Due To John Holt If you have questions about Ameritas Investment Company, LLC and/or John Holt 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

Garland Homes of Merrill Lynch Pierce Fenner & Smith

DID GARLAND HOMES CAUSE YOU INVESTMENT LOSSES? Garland Homes Of Merrill Lynch Pierce Fenner & Smith Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Garland Homes of Merrill Lynch Pierce Fenner & Smith Inc.? Garland Homes (CRD #714042) who is currently registered with Merrill Lynch Pierce Fenner & Smith Inc. and located in Wilson, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Garland Homes Customer Complaint Garland Homes 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 the failure to follow instructions. Garland Homes’ customer complaint was denied and the customers did not take any further action. Garland Homes Red Flags & Your Rights As An Investor Of course, Garland Homes 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 Garland Homes at Merrill Lynch Pierce Fenner & Smith Inc. on alert to review carefully the activity and performance of their accounts and question whether Garland Homes has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith 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 Merrill Lynch Pierce Fenner & Smith Inc. Due To Garland Homes If you have questions about Merrill Lynch Pierce Fenner & Smith Inc. and/or Garland Homes 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 Horan of Ameriprise Financial Services

DID WILLIAM HORAN CAUSE YOU INVESTMENT LOSSES? William Horan Of Ameriprise Financial Services, LLC And Formerly With Davenport & Company and Wells Fargo Clearing Services Has One Customer Complaint For Alleged Broker Misconduct Who is William Horan of Ameriprise Financial Services, LLC? William Horan (CRD #1212086) who is currently registered with Ameriprise Financial Services, LLC and located in Richmond, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, LLC, William Horan was associated with Davenport & Company, Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Horan Customer Complaint William Horan 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 purchases in Waiter Holdings (WTHR) were unsuitable. Client additionally alleges the fee she agreed upon in her signed contract was more than discussed. William Horan’s customer complaint was settled in favor of the investors. William Horan Red Flags & Your Rights As An Investor Of course, William Horan 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 Horan at Ameriprise Financial Services, LLC, Davenport & Company, and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether William Horan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC, Davenport & Company, and Wells Fargo Clearing Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Ameriprise Financial Services, LLC Due To William Horan If you have questions about Ameriprise Financial Services, LLC, Davenport & Company, Wells Fargo Clearing Services, and/or William Horan and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Robert Hord of Oppenheimer & Co.

DID ROBERT HORD CAUSE YOU INVESTMENT LOSSES? Robert Hord of Oppenheimer & Co. Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Robert Hord of Oppenheimer & Co. Inc.? Robert Hord (CRD #830170) who is currently registered with Oppenheimer & Co. Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Robert Hord Customer Complaints Robert Hord has been the subject of 4 customer complaints that we know about. One of Robert Hord’s 4 customers’ complaints resulted in an arbitration award in favor of investors. Two of Robert Hord’s 4 customer complaints were settled in favor of investors. One of Robert Hord’s customers’ complaints was denied and the customers did not take any further action. Allegations Against Robert Hord A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants asserted claims of negligence, breach of contract, breach of fiduciary duty, negligent supervision and negligent misrepresentation concerning their alleged unsuitable investment in a federated mutual fund by Robert Hord. Robert Hord’s alleged failure to supervise. Robert Hord Red Flags & Your Rights As An Investor Of course, Robert Hord did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Robert Hord at Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Robert Hord has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. 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 Oppenheimer & Co. Inc. Due To Robert Hord If you have questions about Oppenheimer & Co. Inc. and/or Robert Hord and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Michael Adams of Lincoln Financial Securities

DID MICHAEL LEE ADAMS CAUSE YOU INVESTMENT LOSSES? Michael Adams Of Lincoln Financial Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Adams of Lincoln Financial Securities? Michael Adams (CRD #2684864) who is currently registered with Lincoln Financial Securities and located in Bath, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Michael Adams Customer Complaint Michael Adams 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 the registered representative processed trades in his American Funds account without his authorization in March of 2020. Michael Adams’ customer complaint was settled in favor of the investors. Michael Adams Red Flags & Your Rights As An Investor Of course, Michael Adams 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 Adams at Lincoln Financial Securities on alert to review carefully the activity and performance of their accounts and question whether Michael Adams has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lincoln Financial 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 Lincoln Financial Securities Due To Michael Adams If you have questions about Lincoln Financial Securities, and/or Michael Adams 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 Horseman of LPL Financial

DID JOHN HORSEMAN CAUSE YOU INVESTMENT LOSSES? John Horseman Of LPL Financial LLC And Formerly With National Planning Has 4 Customer Complaints For Alleged Broker Misconduct Who is John Horseman of LPL Financial LLC? John Horseman (CRD #851636) who is currently registered with LPL Financial LLC and located in St. Louis, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, John Horseman was associated with National Planning and 16 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Horseman Customer Complaints John Horseman has been the subject of 4 customer complaints that we know about. Two of John Horseman’s 4 customer complaints were settled in favor of investors. Two of John Horseman’s customers’ complaints were denied and the customers did not take any further action. Allegations Against John Horseman 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 poor recommendation by John Horseman resulting in poor performance and failure to disclose fees and commissions. Claimant alleged that he purchased variable annuities that declined in value after he moved investments to another brokerage firm allegedly made by John Horseman. Claimant alleged that two variable annuities John Horseman purchased were unsuitable. Customer alleged that REIT purchased had not performed as John Horseman had predicted, and sought recovery of some of his investment losses. John Horseman Red Flags & Your Rights As An Investor Of course, John Horseman 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 Horseman at LPL Financial LLC and National Planning on alert to review carefully the activity and performance of their accounts and question whether John Horseman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and National Planning 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 LLC Due To John Horseman If you have questions about LPL Financial LLC, National Planning and/or John Horseman 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

Samuel Humphreys of UBS Financial Services

DID SAMUEL HUMPHREYS CAUSE YOU INVESTMENT LOSSES? Samuel Humphreys Of UBS Financial Services Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Samuel Humphreys of UBS Financial Services? Samuel Humphreys (CRD #820181) who is currently registered with UBS Financial Services Inc. and located in Memphis, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Samuel Humphreys Customer Complaints Samuel Humphreys has been the subject of 3 customer complaints that we know about. One of Samuel Humphreys’ 3 customer complaints resulted in an arbitration award in favor of investors. Two of Samuel Humphreys’ customers’ complaints were denied and the customers did not take any further action. Allegations Against Samuel Humphreys 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 Samuel Humphreys informed him that no taxes would be required if he sold the zero coupon bonds that he owned and had been paying taxes on them each year since obtaining them. IRS informed client he had to report and is now charging interest and penalties. The client alleged Samuel Humphreys’ made misrepresentations to him on how the annuity works. Samuel Humphreys Red Flags & Your Rights As An Investor Of course, Samuel Humphreys 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 Samuel Humphreys at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Samuel Humphreys 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 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 Inc. Due To Samuel Humphreys If you have questions about UBS Financial Services Inc. and/or Samuel Humphreys 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

Thomas Hunt of LPL Financial

DID THOMAS HUNT CAUSE YOU INVESTMENT LOSSES? Thomas Hunt of LPL Financial LLC And Formerly With Wells Fargo Clearing Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Thomas Hunt of LPL Financial LLC? Thomas Hunt (CRD #1323743) who is currently registered with LPL Financial LLC and located in Twin Falls, Idaho is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Thomas Hunt was associated with Wells Fargo Clearing Services and 9 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Thomas Hunt Customer Complaints Thomas Hunt 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. All of Thomas Hunt’s customer complaints were settled in favor of investors. Allegations Against Thomas Hunt 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 unsuitable and unauthorized trading, breach of fiduciary duty and negligence by Thomas Hunt. Power of attorney for client complained that the securities in the client’s account allegedly made by Thomas Hunt were not suitable. The client alleged unsuitable investments; churning; unauthorized trading by Thomas Hunt. Thomas Hunt Red Flags & Your Rights As An Investor Of course, Thomas Hunt 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 Thomas Hunt at LPL Financial LLC and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Thomas Hunt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Wells Fargo Clearing Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Thomas Hunt If you have questions about LPL Financial LLC, Wells Fargo Clearing Services, and/or Thomas Hunt 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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