Mar 8, 2022

David Waters of Cetera Advisors

DID DAVID SAMUEL WATERS CAUSE YOU INVESTMENT LOSSES? David Waters Of Cetera Advisors And Formerly With LPL Financial and Private Advisor Group Has A Customer Complaint For Alleged Broker Misconduct Who is David Waters of Cetera Advisors? David Waters (CRD #734939) who is currently registered with Cetera Advisors and located in Philadelphia, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors, David Waters was associated with LPL Financial, Private Advisor Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Waters Customer Complaint David Waters 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 unauthorized trades which resulted in a decline of the portfolio value. David Waters’ customer complaint was settled in favor of the investors. David Waters Red Flags & Your Rights As An Investor Of course, David Waters 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 Waters at Cetera Advisors, LPL Financial, and Private Advisor Group on alert to review carefully the activity and performance of their accounts and question whether David Waters has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors, LPL Financial, and Private Advisor Group 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 Advisors and LPL Financial Due To David Waters If you have questions about Cetera Advisors, LPL Financial, Private Advisor Group, and/or David Waters and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

George Wehrheim of The O.N. Equity Sales

DID GEORGE JAMES WEHRHEIM CAUSE YOU INVESTMENT LOSSES? George Wehrheim Of The O.N. Equity Sales Has 2 Customer Complaints For Alleged Broker Misconduct Who is George Wehrheim of The O.N. Equity Sales? George Wehrheim (CRD #461431) who is currently registered with The O.N. Equity Sales and located in Mars, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. George Wehrheim Customer Complaints George Wehrheim has been the subject of 2 customer complaints that we know about. One of George Wehrheim’s 2 customer complaints was settled in favor of the investors. One of George Wehrheim’s customer complaint was denied and, to date, the customers have not taken any further action. Allegations Against George Wehrheim 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 George Wehrheim misrepresented sale of variable annuity. Customer invested in a fixed annuity.  Insurance company was shut down by Pennsylvania Insurance Dept. Customer lost part of money in annuity because guarantee fund wouldn’t cover him after he moved to Florida allegedly committed by George Wehrheim.  Complaint was settled. George Wehrheim Red Flags & Your Rights As An Investor Of course, George Wehrheim did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of George Wehrheim at The O.N. Equity Sales on alert to review carefully the activity and performance of their accounts and question whether George Wehrheim has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The O.N. Equity Sales 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 O.N. Equity Sales Due To George Wehrheim If you have questions about The O.N. Equity Sales and/or George Wehrheim 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

Dwight West of UBS Financial Services

DID DWIGHT CLYDE WEST CAUSE YOU INVESTMENT LOSSES? Dwight West Of UBS Financial Services Has 6 Customer Complaints For Alleged Broker Misconduct Who is Dwight West of UBS Financial Services? Dwight West (CRD #463778) who is currently registered with UBS Financial Services and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Dwight West Customer Complaints Dwight West has been the subject of 6 customer complaints that we know about. Four of Dwight West’s 6 customer complaints was settled in favor of investors. Two of Dwight West’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Dwight West A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Elderly customer alleged, through her POA and son, that Dwight West engaged in unsuitable recommendations, unauthorized trades, abandonment of account, and failure to communicate. The client alleged Dwight West misrepresented the rate of return he could achieve in comparison to where he held his account before coming to UBS. The client further alleged his financial advisor placed him in risky securities. Dwight West Red Flags & Your Rights As An Investor Of course, Dwight West 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 Dwight West at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Dwight West 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 Dwight West If you have questions about UBS Financial Services and/or Dwight West 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

Lisa Westmoreland of Raymond James & Associates

DID LISA LYN WESTMORELAND CAUSE YOU INVESTMENT LOSSES? Lisa Westmoreland Of Raymond James & Associates Has 4 Customer Complaints For Alleged Broker Misconduct Who is Lisa Westmoreland of Raymond James & Associates? Lisa Westmoreland (CRD #1398304) who is currently registered with Raymond James & Associates and located in Baton Rouge, Louisiana is a subject of one of our many securities industry sales practice abuse investigations. Lisa Westmoreland Customer Complaints Lisa Westmoreland has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of Lisa Westmoreland’s 4 customer complaints were settled in favor of investors. One of Lisa Westmoreland’s customers complaints was denied and, to date, the customers have not taken any further action. Allegations Against Lisa Westmoreland A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claim alleged Lisa Westmoreland’s misrepresentation and unsuitability with regard to mutual funds purchased. Claim alleged misrepresentation and unsuitability with regard to mutual funds purchased by Lisa Westmoreland. Claim alleged unsuitability with regard to mutual funds purchased by Lisa Westmoreland. Client alleged his funds were invested without his authorization by Lisa Westmoreland. Lisa Westmoreland Red Flags & Your Rights As An Investor Of course, Lisa Westmoreland 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 Lisa Westmoreland at Raymond James & Associates on alert to review carefully the activity and performance of their accounts and question whether Lisa Westmoreland has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates 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 Raymond James & Associates Due To Lisa Westmoreland If you have questions about Raymond James & Associates and/or Lisa Westmoreland 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 Abbott of Morgan Stanley

DID ERIC ROBERT ABBOTT CAUSE YOU INVESTMENT LOSSES? Eric Abbott Of Morgan Stanley And Formerly With J.P. Morgan Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Eric Abbott of Morgan Stanley? Eric Abbott (CRD #4331367) who is currently registered with Morgan Stanley and located in Sarasota, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Eric Abbott 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. Eric Abbott Customer Complaints Eric Abbott 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 Eric Abbott’s 2 customer complaints was settled in favor of investors. One of Eric Abbott’s customers’ complaints was denied and, to date, the customers had not taken any further action. Allegations Against Eric Abbott 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 Eric Abbott’s misrepresentation regarding variable annuity investments. Clients alleged misrepresentation regarding variable annuity investment by Eric Abbott. Eric Abbott Red Flags & Your Rights As An Investor Of course, Eric Abbott 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 Abbott at Morgan Stanley and J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Eric Abbott has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley 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 Morgan Stanley and J.P. Morgan Securities Due To Eric Abbott If you have questions about Morgan Stanley, J.P. Morgan Securities, and/or Eric Abbott 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 Abbott Formerly With Merrill Lynch Pierce Fenner & Smith

DID JOHN ROBERT ABBOTT CAUSE YOU INVESTMENT LOSSES? John Abbott Formerly With Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is John Abbott formerly with Merrill Lynch Pierce Fenner & Smith? John Abbott (CRD #2633782) who was formerly registered with Merrill Lynch Pierce Fenner & Smith and located in Lincoln, Rhode Island is a subject of one of our many securities industry sales practice abuse investigations. John Abbott Customer Complaint John Abbott 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 misrepresentation. John Abbott’s customer complaint was denied and, to date, the customers have not taken any further action. John Abbott Red Flags & Your Rights As An Investor Of course, John Abbott 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 Abbott at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether John Abbott 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 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 Due To John Abbott If you have questions about Merrill Lynch Pierce Fenner & Smith and/or John Abbott 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

Shane Abernathy of Momentum Independent Network

DID SHANE ROSS ABERNATHY CAUSE YOU INVESTMENT LOSSES? Shane Abernathy Of Momentum Independent Network And Formerly With Ameriprise Financial Services and Investment Professionals Has 2 Customer Complaints For Alleged Broker Misconduct Who is Shane Abernathy of Momentum Independent Network? Shane Abernathy (CRD #2402555) who is currently registered with Momentum Independent Network and located in San Antonio, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Momentum Independent Network, Shane Abernathy was associated with Ameriprise Financial Services, Investment Professionals and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Shane Abernathy Customer Complaints Shane Abernathy has been the subject of 2 customer complaints that we know about.  Both of Shane Abernathy’s 2 customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Shane Abernathy A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Complainant alleged unauthorized trading by Shane Abernathy. Client alleged Shane Abernathy misrepresented the fees, surrender schedule and free look period for a Variable Annuity purchased. Shane Abernathy Red Flags & Your Rights As An Investor Of course, Shane Abernathy 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 Shane Abernathy at Momentum Independent Network, Ameriprise Financial Services, and Investment Professionals on alert to review carefully the activity and performance of their accounts and question whether Shane Abernathy has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Momentum Independent Network, Ameriprise Financial Services, and Investment Professionals 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 Momentum Independent Network and Ameriprise Financial Services Due To Shane Abernathy If you have questions about Momentum Independent Network, Ameriprise Financial Services, Investment Professionals, and/or Shane Abernathy 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

James Abernethy of UBS Financial Services

DID JAMES E. ABERNETHY CAUSE YOU INVESTMENT LOSSES? James Abernethy Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is James Abernethy of UBS Financial Services? James Abernethy (CRD #1821508) who is currently registered with UBS Financial Services and located in Winston-Salem, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. James Abernethy Customer Complaint James Abernethy 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 the registered representative recommended unsuitable investment strategies and mismanaged the overall client relationship, causing significant financial losses that were concealed. James Abernethy’s customer complaint was denied and today, the customers have not taken any further action. James Abernethy Red Flags & Your Rights As An Investor Of course, James Abernethy 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 James Abernethy at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether James Abernethy 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 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 UBS Financial Services Due To James Abernethy If you have questions about UBS Financial Services and/or James Abernethy 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

Amr Aboulmagd formerly with NYLIFE Securities

DID AMR MOSTAFA ABOULMAGD CAUSE YOU INVESTMENT LOSSES? Amr Aboulmagd Formerly With NYLIFE Securities Has 6 Customer Complaints For Alleged Broker Misconduct Who is Amr Aboulmagd formerly with NYLIFE Securities? Amr Aboulmagd (CRD #3273075) who was formerly registered with NYLIFE Securities and located in Horsham, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Amr Aboulmagd has also been the subject of a FINRA investigation into allegations that he made misrepresentations and unsuitable recommendations to customers regarding switches from a fixed annuity to a variable annuity.  He refused to appear for on-the-record testimony and was subsequently permanently barred from any further association with any member firm in any capacity. Amr Aboulmagd Customer Complaints Amr Aboulmagd has been the subject of 6 customer complaints that we know about. Three of Amr Aboulmagd’s 6 customer complaints were settled in favor of investors. Two of Amr Aboulmagd’s customers’ complaints were denied and, today, the customers have not taken any further action. There is currently one pending customer complaint filed against NYLIFE Securities for investment losses caused by Amr Aboulmagd’s alleged misconduct. Allegations Against Amr Aboulmagd A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customers alleged, among other concerns, that they purchased three variable annuities and one variable universal life insurance policy with excessive fees and charges, which did not benefit them allegedly made by Amr Aboulmagd. Regarding the purchase of several variable annuity policies issued, the customer alleged that Amr Aboulmagd did not explain the surrender charges while moving his funds to other providers, which he feels was unsuitable. The customer alleged that Amr Aboulmagd misrepresented the terms and conditions of a variable annuity she purchased with respect to account balance guarantees, fees, and how the funds would be invested. The customer alleged that the terms and conditions associated with a variable annuity contract purchased with proceeds from a fixed annuity policy were misrepresented allegedly by Amr Aboulmagd and that the surrender charges incurred as a result of the transaction were not fully explained to him. The customer alleged the signature on the client profile and policy disclosure form of the fixed annuity application is not her signature and was done without her authorization allegedly by Amr Aboulmagd. The customers alleged that they were misled by Amr Aboulmagd regarding the purchase of a variable universal life insurance contract purchased with their IRA proceeds. Amr Aboulmagd Red Flags & Your Rights As An Investor Of course, Amr Aboulmagd 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 Amr Aboulmagd at NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Amr Aboulmagd 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 Amr Aboulmagd If you have questions about NYLIFE Securities and/or Amr Aboulmagd 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

Dennis Holland of Principal Securities

DID DENNIS HOLLAND CAUSE YOU INVESTMENT LOSSES? Dennis Holland Of Principal Securities, Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Dennis Holland of Principal Securities, Inc.? Dennis Holland (CRD #1186824) who is currently registered with Principal Securities, Inc. and located in Saint Cloud, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Dennis Holland Customer Complaint Dennis Holland 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 claims damages from the recommendations made by the RR regarding the replacement of his insurance policies, the purchase of a variable annuity and the resulting tax consequences from these transactions. Dennis Holland’s customer complaint was settled in favor of investors. Dennis Holland Red Flags & Your Rights As An Investor Of course, Dennis Holland 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 Dennis Holland at Principal Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Dennis Holland has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Principal Securities, 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 Principal Securities, Inc. Due To Dennis Holland If you have questions about Principal Securities, Inc. and/or Dennis Holland 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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