Mar 7, 2022

Ryan Newton of J.W. Cole Financial

DID RYAN MCCLURE NEWTON CAUSE YOU INVESTMENT LOSSES? Ryan Newton Of J.W. Cole Financial, J.W. Cole Advisors And Formerly With ProEquities Has A Customer Complaint For Alleged Broker Misconduct Who is Ryan Newton of J.W. Cole Financial? Ryan Newton (CRD #4679878) who is currently registered with J.W. Cole Financial, J.W. Cole Advisors and located in Fernandina Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to J.W. Cole Financial and J.W. Cole Advisors, Ryan Newton was associated with ProEquities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ryan Newton Customer Complaint Ryan Newton 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 unsuitability and misrepresentation regarding their investment in Waveland Drilling Partners III B. Ryan Newton’s customer complaint was settled in favor of the investors. Ryan Newton Red Flags & Your Rights As An Investor Of course, Ryan Newton 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 Newton at J.W. Cole Financial, J.W. Cole Advisors, and ProEquities on alert to review carefully the activity and performance of their accounts and question whether Ryan Newton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.W. Cole Financial, J.W. Cole Advisors, and ProEquities 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 J.W. Cole Financial Due To Ryan Newton If you have questions about J.W. Cole Financial, J.W. Cole Advisors, ProEquities, and/or Ryan Newton 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 7, 2022

Derrick Nguyen of Lincoln Financial Advisors

DID DERRICK NGUYEN CAUSE YOU INVESTMENT LOSSES? Derrick Nguyen Of Lincoln Financial Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Derrick Nguyen of Lincoln Financial Advisors? Derrick Nguyen (CRD #6183697) who is currently registered with Lincoln Financial Advisors and located in Irvine, California is a subject of one of our many securities industry sales practice abuse investigations. Derrick Nguyen Customer Complaint Derrick Nguyen 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 the client was never informed of the surrender charges associated with his variable annuity that was purchased. Derrick Nguyen’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Derrick Nguyen Red Flags & Your Rights As An Investor Of course, Derrick Nguyen 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 Derrick Nguyen at Lincoln Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Derrick Nguyen 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 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 Advisors Due To Derrick Nguyen If you have questions about Lincoln Financial Advisors and/or Derrick Nguyen 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 7, 2022

Mark Nicholson of D.A. Davidson

DID MARK ALLAN NICHOLSON CAUSE YOU INVESTMENT LOSSES? Mark Nicholson Of D.A. Davidson Has A Customer Complaint For Alleged Broker Misconduct Who is Mark Nicholson of D.A. Davidson? Mark Nicholson (CRD #4340425) who is currently registered with D.A. Davidson and located in Missoula, Montana is a subject of one of our many securities industry sales practice abuse investigations. Mark Nicholson Customer Complaint Mark Nicholson has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were client expressed concern that the liquidation of her non-qualified variable annuity resulted in a $90,000 tax bill. Mark Nicholson’s customer complaint was settled in favor of the investors. Mark Nicholson Red Flags & Your Rights As An Investor Of course, Mark Nicholson 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 Nicholson at D.A. Davidson on alert to review carefully the activity and performance of their accounts and question whether Mark Nicholson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at D.A. Davidson 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 D.A. Davidson Due To Mark Nicholson If you have questions about D.A. Davidson and/or Mark Nicholson 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 7, 2022

Russell Nieland formerly with Cetera Advisor Networks

DID RUSSELL GRANT NIELAND CAUSE YOU INVESTMENT LOSSES? Russell Nieland Formerly With Cetera Advisor Networks, LPL Financial And TD Ameritrade Has A Customer Complaint For Alleged Broker Misconduct Who is Russell Nieland formerly with Cetera Advisor Networks? Russell Nieland (CRD #6031621) who was formerly registered with Cetera Advisor Networks and located in Omaha, Nebraska is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisor Networks, Russell Nieland was associated with LPL Financial, TD Ameritrade and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Russell Nieland Customer Complaint Russell Nieland 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 client claimed he was told the annuitization amount of his annuity was not based on the cash value in the account, so he delayed annuitization. After the market decline, the annuity payments if annuitized were reduced due to the cash value of the annuity declining as well. Russell Nieland’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Russell Nieland Red Flags & Your Rights As An Investor Of course, Russell Nieland 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 Russell Nieland at Cetera Advisor Networks, LPL Financial, and TD Ameritrade on alert to review carefully the activity and performance of their accounts and question whether Russell Nieland has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks, LPL Financial, and TD Ameritrade 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 Russell Nieland If you have questions about Cetera Advisor Networks, LPL Financial, TD Ameritrade, and/or Russell Nieland 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 7, 2022

Michael Nienaber of Fidelity Brokerage Services

DID MICHAEL JOSEPH NIENABER CAUSE YOU INVESTMENT LOSSES? Michael Nienaber Of Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors And Formerly With Strategic Advisers Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Nienaber of Fidelity Brokerage Services? Michael Nienaber (CRD #6664193) who is currently registered with Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors and located in Cincinnati, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Michael Nienaber was associated with Strategic Advisers and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Nienaber Customer Complaint Michael Nienaber 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 when he established an individual brokerage account that he was informed by the representative, Michael Nienaber that he could trade a certain stock that he was previously allocated as part of a pre-IPO in the account and not be liable for capital gains taxes. However, after the stock was liquidated, he incurred a large tax liability. Michael Nienaber’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Michael Nienaber Red Flags & Your Rights As An Investor Of course, Michael Nienaber 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 Nienaber at Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, and Strategic Advisers on alert to review carefully the activity and performance of their accounts and question whether Michael Nienaber has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, and Strategic Advisers 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 Fidelity Brokerage Services Due To Michael Nienaber If you have questions about Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Strategic Advisers, and/or Michael Nienaber 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 7, 2022

Christos Nikitopoulos formerly with AXA Advisors

DID CHRISTOS NIKITOPOULOS CAUSE YOU INVESTMENT LOSSES? Christos Nikitopoulos Formerly With AXA Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Christos Nikitopoulos formerly with AXA Advisors? Christos Nikitopoulos (CRD #6847566) who was formerly registered with AXA Advisors and located in Woodbridge, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Christos Nikitopoulos Customer Complaint Christos Nikitopoulos has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were client alleged Christos Nikitopoulos sold her a variable annuity when she actually wanted a fixed annuity, and that certain charges and fees on the annuity were not disclosed to her. Christos Nikitopoulos’ customer complaint was settled in favor of the investors. Christos Nikitopoulos Red Flags & Your Rights As An Investor Of course, Christos Nikitopoulos 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 Christos Nikitopoulos at AXA Advisors on alert to review carefully the activity and performance of their accounts and question whether Christos Nikitopoulos has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at AXA 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 AXA Advisors Due To Christos Nikitopoulos If you have questions about AXA Advisors and/or Christos Nikitopoulos 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 7, 2022

Joseph Ninivaggi of Fidelity Brokerage Services

DID JOSEPH PETER NINIVAGGI CAUSE YOU INVESTMENT LOSSES? Joseph Ninivaggi Of Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors And Formerly With J.P. Morgan Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joseph Ninivaggi of Fidelity Brokerage Services? Joseph Ninivaggi (CRD #6158894) who is currently registered with Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Joseph Ninivaggi was associated with J.P. Morgan Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joseph Ninivaggi Customer Complaints Joseph Ninivaggi has been the subject of 2 customer complaints that we know about. Both of Joseph Ninivaggi’s customer complaints were settled in favor of investors. Allegations Against Joseph Ninivaggi A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Excessive and unnecessary trading on margin by Joseph Ninivaggi. False and misleading statements, violations of Missouri’s regulations statutory and common law fraud, unsuitability, omissions. Misrepresentation, negligence, breach of contract, breach of fiduciary duty, unjust enrichment, unauthorized margin and violations. Joseph Ninivaggi Red Flags & Your Rights As An Investor Of course, Joseph Ninivaggi 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 Ninivaggi at Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, and J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Joseph Ninivaggi has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, and J.P. Morgan 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 Fidelity Brokerage Services Due To Joseph Ninivaggi If you have questions about Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, J.P. Morgan Securities, and/or Joseph Ninivaggi 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 7, 2022

Brion Norby of Concorde Investment Services

DID BRION L. NORBY CAUSE YOU INVESTMENT LOSSES? Brion Norby of Concorde Investment Services, Concorde Asset Management And Formerly With Lebenthal & Co. And Lebenthal Wealth Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Brion Norby of Concorde Investment Services? Brion Norby (CRD #4577786) who is currently registered with Concorde Investment Services, Concorde Asset Management and located in Williston, North Dakota is a subject of one of our many securities industry sales practice abuse investigations. Prior to Concorde Investment Services and Concorde Asset Management, Brion Norby was associated with Lebenthal & Co., Lebenthal Wealth Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brion Norby Customer Complaint Brion Norby 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 FINRA Arbitration Statement of Claim alleged misrepresentation, breach of fiduciary duty, suitability, negligence and fraud against control persons of the representative’s former broker dealer firm in relation to the sale of Aequitas Capital Management, LLC promissory notes by representative. The customer complaint filed against Brion Norby’s former employer Lebenthal Wealth Advisors for investment losses caused by the alleged misconduct is pending as of the date of this report. Brion Norby Red Flags & Your Rights As An Investor Of course, Brion Norby 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 Brion Norby at Concorde Investment Services, Concorde Asset Management, Lebenthal & Co., and Lebenthal Wealth Advisors on alert to review carefully the activity and performance of their accounts and question whether Brion Norby has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Concorde Investment Services, Concorde Asset Management, Lebenthal & Co., and Lebenthal Wealth 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 Concorde Investment Services Due To Brion Norby If you have questions about Concorde Investment Services, Concorde Asset Management, Lebenthal & Co., Lebenthal Wealth Advisors, and/or Brion Norby 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 7, 2022

Steven Norman formerly with NYLIFE Securities

DID STEVEN DANIEL NORMAN CAUSE YOU INVESTMENT LOSSES? Steven Norman Formerly With NYLIFE Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Steven Norman formerly with NYLIFE Securities? Steven Norman (CRD #6797959) who was formerly registered with NYLIFE Securities and located in Carmel, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Steven Norman Customer Complaint Steven Norman 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 a variable annuity sold was unsuitable. Customer requested the cancellation of the policy. Steven Norman’s customer complaint was settled in favor of the investors. Steven Norman Red Flags & Your Rights As An Investor Of course, Steven Norman 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 Steven Norman at NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Steven Norman 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 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 NYLIFE Securities Due To Steven Norman If you have questions about NYLIFE Securities and/or Steven Norman 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 7, 2022

Christopher Norton formerly with I-Bankers Direct

DID CHRISTOPHER TODD NORTON CAUSE YOU INVESTMENT LOSSES? Christopher Norton Formerly With I-Bankers Direct, Aegis Capital, And IAA Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Christopher Norton formerly with I-Bankers Direct? Christopher Norton (CRD #5386000) who was formerly registered with I‑Bankers Direct and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to I‑Bankers Direct, Christopher Norton was associated with Aegis Capital, IAA Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Christopher Norton Customer Complaint Christopher Norton 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 excessive and unsuitable trading, false and misleading statements. Christopher Norton’s customer complaint was settled in favor of the investors. Christopher Norton Red Flags & Your Rights As An Investor Of course, Christopher Norton did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Christopher Norton at I-Bankers Direct, Aegis Capital, and IAA Financial on alert to review carefully the activity and performance of their accounts and question whether Christopher Norton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at I-Bankers Direct, Aegis Capital, and IAA Financial 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 I-Bankers Direct Due To Christopher Norton If you have questions about I-Bankers Direct, Aegis Capital, IAA Financial, and/or Christopher Norton 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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