Mar 8, 2022

Randall Bothwell formerly with NYLIFE Securities

DID RANDALL LEE BOTHWELL CAUSE YOU INVESTMENT LOSSES? Randall Bothwell Formerly With NYLIFE Securities Has 3 Customer Complaints For Alleged Broker Misconduct Who is Randall Bothwell formerly with NYLIFE Securities? Randall Bothwell (CRD #2177320) who was formerly registered with NYLIFE Securities and located in Sioux Falls, South Dakota is a subject of one of our many securities industry sales practice abuse investigations. Randall Bothwell Customer Complaints Randall Bothwell has been the subject of 3 customer complaints that we know about. One of Randall Bothwell’s 3 customer complaints was settled in favor of investors. Two of Randall Bothwell’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Randall Bothwell 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 alleged Randall Bothwell provided poor advice by investing her assets too risky causing losses. The clients alleged Randall Bothwell’s investment amount was guaranteed at death. However, the annuity only paid out $19,010.77 of a $30,000.00 investment at the time of death. With respect to two variable annuities that were issued, the customers felt that they were misinformed allegedly by Randall Bothwell with regard to the contracts’ fees and requested a waiver of surrender charges. Randall Bothwell Red Flags & Your Rights As An Investor Of course, Randall Bothwell 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 Randall Bothwell at NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Randall Bothwell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLIFE Securities 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 NYLIFE Securities Due To Randall Bothwell If you have questions about NYLIFE Securities and/or Randall Bothwell 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 Boucher formerly with Raymond James Financial Services

DID MARK JOSEPH BOUCHER CAUSE YOU INVESTMENT LOSSES? Mark Boucher Formerly With Raymond James Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Mark Boucher formerly with Raymond James Financial Services? Mark Boucher (CRD #2187695) who was formerly registered with Raymond James Financial Services and located in Carlsbad, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Financial Services, Mark Boucher was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Boucher has also been investigated and is in the middle of a prosecution by the United States Securities and Exchange Commission for allegedly misappropriating over $2 million from the advisory and bank accounts of 3 of his investment advisory clients, including the widow and her 60s in a trust of the deceased clients.  The civil suit as of the date of this blog is still pending. Mark Boucher Customer Complaint Mark Boucher has also been the subject 2 customer complaints that we know about, one of the complaints was filed in the last year to recover investment losses. One of Mark Boucher’s customer complaints for alleges theft and forgery was settled in favor of the investors.  The other one of Mark Boucher’s customers’ complaints was denied and, to date, the customers have not taken any further action. Mark Boucher Red Flags & Your Rights As An Investor Of course, Mark Boucher 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 Boucher at Raymond James Financial Services on alert to review carefully the activity and performance of their accounts and question whether Mark Boucher has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James 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 Raymond James Financial Services Due To Mark Boucher If you have questions about Raymond James Financial Services and/or Mark Boucher 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

Lyle Boudreaux formerly with TCFG Wealth Management

DID LYLE J. BOUDREAUX CAUSE YOU INVESTMENT LOSSES? Lyle Boudreaux Formerly With TCFG Wealth Management And Independent Financial Group Has 5 Customer Complaints For Alleged Broker Misconduct Who is Lyle Boudreaux formerly with TCFG Wealth Management? Lyle Boudreaux (CRD #4303420) who was formerly registered with TCFG Wealth Management and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to TCFG Wealth Management, Lyle Boudreaux was associated with Independent Financial Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Lyle Boudreaux has had his own regulatory problems in the State of Texas.  When he last attempted registration as a securities broker in that state, he was investigated for allegedly trading high risk leveraged exchange traded funds in certain clients account and ultimately agreed to a denial of his application and not to reapply for registration with the State of Texas for a period of one year. Lyle Boudreaux Customer Complaints Lyle Boudreaux has been the subject of 5 customer complaints that we know about.  All of Lyle Boudreaux’s 5 customer complaints were settled in favor of investors. Allegations Against Lyle Boudreaux 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 Lyle Boudreaux’s breach of fiduciary duty, mismanagement, and failure to disclose material information with regard to an ETF and an alternative investment. Client alleged Lyle Boudreaux’s investments were not appropriate/suitable. Client allegedly suffered losses as a result of an ETF position in an advisory account allegedly made by Lyle Boudreaux. Client allegedly suffered losses in an advisory account due to an ETF position that he claims was inappropriate allegedly made by Lyle Boudreaux. Statement of claim alleged Lyle Boudreaux’s breach of contract, violation of state securities laws, and negligence in connection with leveraged ETFs purchased. Lyle Boudreaux Red Flags & Your Rights As An Investor Of course, Lyle Boudreaux 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 Lyle Boudreaux at TCFG Wealth Management and Independent Financial Group on alert to review carefully the activity and performance of their accounts and question whether Lyle Boudreaux has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TCFG Wealth Management and Independent Financial 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 TCFG Wealth Management Due To Lyle Boudreaux If you have questions about TCFG Wealth Management, Independent Financial Group, and/or Lyle Boudreaux 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

Phillip Bracey of Cetera Advisor Networks

DID PHILLIP GAYLE BRACEY CAUSE YOU INVESTMENT LOSSES? Phillip Bracey Of Cetera Advisor Networks Has A Customer Complaint For Alleged Broker Misconduct Who is Phillip Bracey of Cetera Advisor Networks? Phillip Bracey (CRD #1435778) who is currently registered with Cetera Advisor Networks and located in La Mirada, California is a subject of one of our many securities industry sales practice abuse investigations. Phillip Bracey Customer Complaint Phillip Bracey 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 alleges tax liability after sale of assets. Phillip Bracey’s customer complaint was denied and, to date, the customers and not take any further action. Phillip Bracey Red Flags & Your Rights As An Investor Of course, Phillip Bracey 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 Phillip Bracey at Cetera Advisor Networks on alert to review carefully the activity and performance of their accounts and question whether Phillip Bracey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks 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 Cetera Advisor Networks Due To Phillip Bracey If you have questions about Cetera Advisor Networks and/or Phillip Bracey 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 Brady of Thrivent Investment Management

DID ERIC DEAN BRADY CAUSE YOU INVESTMENT LOSSES? Eric Brady Of Thrivent Investment Management Has A Customer Complaint For Alleged Broker Misconduct Who is Eric Brady of Thrivent Investment Management? Eric Brady (CRD #2152702) who is currently registered with Thrivent Investment Management and located in Salisbury, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Eric Brady Customer Complaint Eric Brady 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 Eric Brady did not properly supervise office assistant and that he was vicariously liable, as employer, for actions of misappropriation as office assistant. Eric Brady’s customer complaint was settled in favor of the investors. Eric Brady Red Flags & Your Rights As An Investor Of course, Eric Brady 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 Brady at Thrivent Investment Management on alert to review carefully the activity and performance of their accounts and question whether Eric Brady has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Thrivent Investment Management 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 Thrivent Investment Management Due To Eric Brady If you have questions about Thrivent Investment Management and/or Eric Brady 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

Andrew Bransky of Stifel Nicolaus & Company

DID ANDREW J BRANSKY CAUSE YOU INVESTMENT LOSSES? Andrew Bransky Of Stifel Nicolaus & Company And Formerly With B.C. Ziegler And Co Has 2 Customer Complaints For Alleged Broker Misconduct Who is Andrew Bransky of Stifel Nicolaus & Company? Andrew Bransky (CRD #2680736) who is currently registered with Stifel Nicolaus & Company and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel Nicolaus & Company, Andrew Bransky was associated with B.C. Ziegler And Co and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Andrew Bransky Customer Complaints Andrew Bransky 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 Andrew Bransky’s 2 customer complaints was settled in favor of investors. One of Andrew Bransky’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Andrew Bransky 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 Andrew Bransky recommended an unsuitable stock. The bonds that were sold to the client were sold in a private placement transaction, the counsel for the trust questions the suitability of the bonds allegedly made by Andrew Bransky. Andrew Bransky Red Flags & Your Rights As An Investor Of course, Andrew Bransky 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 Andrew Bransky at Stifel Nicolaus & Company and B.C. Ziegler And Co on alert to review carefully the activity and performance of their accounts and question whether Andrew Bransky has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel Nicolaus & Company and B.C. Ziegler And 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 Stifel Nicolaus & Company Due To Andrew Bransky If you have questions about Stifel Nicolaus & Company, B.C. Ziegler And Co, and/or Andrew Bransky 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

David Brazen of Ameriprise Financial Services

DID DAVID FRANK BRAZEN CAUSE YOU INVESTMENT LOSSES? David Brazen Of Ameriprise Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is David Brazen of Ameriprise Financial Services? David Brazen (CRD #1415374) who is currently registered with Ameriprise Financial Services and located in Troy, Michigan is a subject of one of our many securities industry sales practice abuse investigations. David Brazen Customer Complaints David Brazen 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.  Both of David Brazen’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against David Brazen 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 his monthly payments were never invested in equities as was discussed with David Brazen upon the opening of the account. The client alleged the annuities she purchased through David Brazen were not appropriate for her as she did not understand them, they have long surrender charge periods, and they lost value. David Brazen Red Flags & Your Rights As An Investor Of course, David Brazen 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 David Brazen at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether David Brazen 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 David Brazen If you have questions about Ameriprise Financial Services and/or David Brazen 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 Bredice of RBC Capital Markets

DID WILLIAM THOMAS BREDICE CAUSE YOU INVESTMENT LOSSES? William Bredice Of RBC Capital Markets Has 2 Customer Complaints For Alleged Broker Misconduct Who is William Bredice of RBC Capital Markets? William Bredice (CRD #2399831) who is currently registered with RBC Capital Markets and located in Kirkland, Washington is a subject of one of our many securities industry sales practice abuse investigations. William Bredice Customer Complaints William Bredice has been the subject of 2 customer complaints that we know about.  Both of William Bredice’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against William Bredice A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client claimed her account balance and realized gains were misrepresented by the firm and William Bredice. William Bredice’s misrepresentations, omissions, and negligence. William Bredice Red Flags & Your Rights As An Investor Of course, William Bredice 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 Bredice at RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether William Bredice has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At RBC Capital Markets Due To William Bredice If you have questions about RBC Capital Markets and/or William Bredice 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

Joshua Breeden of UBS Financial Services

DID JOSHUA CORRY BREEDEN CAUSE YOU INVESTMENT LOSSES? Joshua Breeden Of UBS Financial Services And Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joshua Breeden of UBS Financial Services? Joshua Breeden (CRD #2669159) who is currently registered with UBS Financial Services and located in Walnut Creek, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Joshua Breeden was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joshua Breeden Customer Complaints Joshua Breeden has been the subject of 2 customer complaints that we know about, two of those complaints were filed in the last year to recover investment losses. One of Joshua Breeden’s 2 customer complaints was settled in favor of investors. One of Joshua Breeden’s customers complaints was denied and, to date, the customers have not taken any further action. Allegations Against Joshua Breeden 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 mutual fund investment was misrepresented by Joshua Breeden. Client alleged that purchase of two high yield bonds by Joshua Breeden were not in accordance with their instructions. Joshua Breeden Red Flags & Your Rights As An Investor Of course, Joshua Breeden 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 Joshua Breeden at UBS Financial Services and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Joshua Breeden has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services and 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 UBS Financial Services Due To Joshua Breeden If you have questions about UBS Financial Services, Morgan Stanley, and/or Joshua Breeden 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

Kevin Brennan Formerly With Andrew Garrett

DID KEVIN PATRICK BRENNAN CAUSE YOU INVESTMENT LOSSES? Kevin Brennan Formerly With Andrew Garrett Has 6 Customer Complaints For Alleged Broker Misconduct Who is Kevin Brennan formerly with Andrew Garrett? Kevin Brennan (CRD #3009014) who was formerly registered with Andrew Garrett and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Kevin Brennan has been the subject of multiple investigations by regulators, including, FINRA, the State of New Jersey, Nevada, and Iowa.  Over the years, he has been subject of a variety of sanctions by the regulators, including suspensions, and fines. Kevin Brennan Customer Complaints Kevin Brennan has been the subject of 6 customer complaints that we know about. One arbitration award was entered against Benson York Group for $320,000 due to Kevin Brennan’s alleged misconduct causing investors losses. Three of Kevin Brennan’s 6 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Andrew Garrett, Inc. for investment losses caused by Kevin Brennan’s alleged misconduct. Allegations Against Kevin Brennan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Kevin Brennan’s alleged churning, excessive commissions, unsuitable investments failure to supervise. Churning allegedly by Kevin Brennan. Unauthorized trades, trading on margin without authorization, excessive commissions allegedly by Kevin Brennan. Unauthorized trading, misrepresentation allegedly by Kevin Brennan. Kevin Brennan’s alleged unauthorized trading, securities fraud, negligence, breach of fiduciary responsibility and common law fraud. Kevin Brennan’s alleged unsuitable investments, unauthorized trading, failure to supervise. Kevin Brennan Red Flags & Your Rights As An Investor Of course, Kevin Brennan 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 Kevin Brennan at Andrew Garrett on alert to review carefully the activity and performance of their accounts and question whether Kevin Brennan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Andrew Garrett 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 Andrew Garrett Due To Kevin Brennan If you have questions about Andrew Garrett and/or Kevin Brennan 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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