Mar 7, 2022

Matthew Ross formerly with Arive Capital Markets

DID MATTHEW ROSS CAUSE YOU INVESTMENT LOSSES? Matthew Ross Formerly With Arive Capital Markets And First Standard Financial Company Has A Customer Complaint For Alleged Broker Misconduct Who is Matthew Ross formerly with Arive Capital Markets? Matthew Ross (CRD #6143334) who was formerly registered with Arive Capital Markets and located in Bay Ridge, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Arive Capital Markets, Matthew Ross was associated with First Standard Financial Company and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Matthew Ross Customer Complaint Matthew Ross 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 unsuitable investment recommendations. The customer complaint filed against Matthew Ross’ former employer First Standard Financial for investment losses caused by the alleged misconduct is pending as of the date of this report. Matthew Ross Red Flags & Your Rights As An Investor Of course, Matthew Ross 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 Matthew Ross at Arive Capital Markets and First Standard Financial Company on alert to review carefully the activity and performance of their accounts and question whether Matthew Ross has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arive Capital Markets and First Standard Financial Company 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 Arive Capital Markets Due To Matthew Ross If you have questions about Arive Capital Markets, First Standard Financial Company, and/or Matthew Ross 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

Richard Thomas of Avantax Investment Services

DID RICHARD THOMAS CAUSE YOU INVESTMENT LOSSES? Richard Thomas Of Avantax Investment Services, Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Richard Thomas of Avantax Investment Services, Inc.? Richard Thomas (CRD #1455306) who is currently registered with Avantax Investment Services, Inc. and located in Centereach, New York is a subject of one of our many securities industry sales practice abuse investigations. Richard Thomas Customer Complaint Richard Thomas has been the subject ofat least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were Richard Thomas misled him about the risk and rate of return associated with his account and that no fees would be incurred on his account. Client also alleged his funds remained in cash for the duration of his account and Mr. Thomas did not establish online access to his account after multiple requests. Richard Thomas’ customer complaint was settled in favor of the investors. Richard Thomas Red Flags & Your Rights As An Investor Of course, Richard Thomas 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 Richard Thomas at Avantax Investment Services on alert to review carefully the activity and performance of their accounts and question whether Richard Thomas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Avantax Investment 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 Avantax Investment Services, Inc. Due To Richard Thomas If you have questions about Avantax Investment Services, Inc. and/or Richard Thomas 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 Thomey of Cadaret Grant & Co.

DID MICHAEL THOMEY CAUSE YOU INVESTMENT LOSSES? Michael Thomey Of Cadaret Grant & Co., Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Michael Thomey of Cadaret Grant & Co.? Michael Thomey (CRD #2780120) who is currently registered with Cadaret Grant & Co., Inc. and located in Kenosha, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Michael Thomey Customer Complaint Michael Thomey has been the subject ofat least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were sales practice violation in the purchase of a fixed immediate annuity purchased. Michael Thomey’s customer complaint was settled in favor of the investors. Michael Thomey Red Flags & Your Rights As An Investor Of course, Michael Thomey 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 Thomey at Cadaret Grant & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Michael Thomey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cadaret Grant & Co. 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 Cadaret Grant & Co., Inc. Due To Michael Thomey If you have questions about Cadaret Grant & Co., Inc. and/or Michael Thomey 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

Levar Thompson of NYLIFE Securities

DID LEVAR THOMPSON CAUSE YOU INVESTMENT LOSSES? Levar Thompson Of NYLIFE Securities LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Levar Thompson of NYLIFE Securities? Levar Thompson (CRD #1825389) who is currently registered with NYLIFE Securities LLC and located in Kaysville, Utah is a subject of one of our many securities industry sales practice abuse investigations. Levar Thompson Customer Complaint Levar Thompson 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 two variable annuities, recommended by Levar Thompson were unsuitable. Levar Thompson’s customer complaint was denied and, to date, the customer has not taken any further action. Levar Thompson Red Flags & Your Rights As An Investor Of course, Levar Thompson 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 Levar Thompson at NYLIFE Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Levar Thompson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLIFE Securities 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 NYLIFE Securities LLC Due To Levar Thompson If you have questions about NYLIFE Securities LLC and/or Levar Thompson 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

Jon Thompson of CUNA Brokerage Services

DID JON THOMPSON CAUSE YOU INVESTMENT LOSSES? Jon Thompson Of CUNA Brokerage Services Has One Customer Complaint For Alleged Broker Misconduct Who is Jon Thompson of CUNA Brokerage Services, Inc.? Jon Thompson (CRD #2555481) who is currently registered with CUNA Brokerage Services, Inc. and located in Deer Park, Texas is a subject of one of our many securities industry sales practice abuse investigations. Jon Thompson Customer Complaint Jon Thompson has been the subject ofat least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were Members Life Insurance Company issued an annuity contract that included an error extending the term of the contract beyond what the premiums would have purchased. The insurer subsequently sought to correct the error by cancelling the contract and issuing a corrected contract. Allegations in the complaint were as follows: Violation of the Texas Deceptive Trade Practices Act; Fraud; Negligent Misrepresentation. The complaint also requested Declaratory Relief and Specific Performance of a contract which was superseded and the insurer believed was therefore unenforceable. The activities leading to the allegations included: the Single Premium Deferred Variable and Indexed-Linked Annuity issued; a Supplemental Contract later issued with a payment start date; and then an Amended Supplemental Contract issued. Jon Thompson’s customer complaint was settled in favor of the investors. Jon Thompson Red Flags & Your Rights As An Investor Of course, Jon Thompson 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 Jon Thompson at CUNA Brokerage Services on alert to review carefully the activity and performance of their accounts and question whether Jon Thompson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at CUNA Brokerage 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 CUNA Brokerage Services, Inc. Due To Jon Thompson If you have questions about CUNA Brokerage Services, Inc. and/or Jon Thompson 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

Sherry Tilson of Benjamin F. Edwards & Company

DID SHERRY TILSON CAUSE YOU INVESTMENT LOSSES? Sherry Tilson Of Benjamin F. Edwards & Company, Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Sherry Tilson of Benjamin F. Edwards & Company, Inc.? Sherry Tilson (CRD #2970683) who is currently registered with Benjamin F. Edwards & Company, Inc. and located in Columbus, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Sherry Tilson Customer Complaint Sherry Tilson has been the subject ofat least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were in the course of contentious divorce proceedings between client and Sherry Tilson, client complained to the SEC that Ms. Tilson refused to liquidate his IRA and he suspected Ms. Tilson withdrew funds from his IRA without permission. Sherry Tilson’s customer complaint was denied and, to date, the customer has not taken any further action. Sherry Tilson Red Flags & Your Rights As An Investor Of course, Sherry Tilson 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 Sherry Tilson at Benjamin F. Edwards & Company, Inc. on alert to review carefully the activity and performance of their accounts and question whether Sherry Tilson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Benjamin F. Edwards & Company, 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 Benjamin F. Edwards & Company, Inc. Due To Sherry Tilson If you have questions about Benjamin F. Edwards & Company, Inc. and/or Sherry Tilson 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

Eric Thronson of Ameriprise Financial Services

DID ERIC THRONSON CAUSE YOU INVESTMENT LOSSES? Eric Thronson Of Ameriprise Financial Services, LLC And Formerly With Securities America And Securities America Advisors Has 2 Customer Complaints For Alleged Broker Misconduct Who is Eric Thronson of Ameriprise Financial Services, LLC? Eric Thronson (CRD #4143486) who is currently registered with Ameriprise Financial Services, LLC and located in Owatonna, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, LLC, Eric Thronson was associated with Securities America, Securities America Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Eric Thronson Customer Complaints Eric Thronson has been the subject of 2 customer complaints that we know about. Both of Eric Thronson’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Eric Thronson 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 Thronson made poor stock recommendations in client’s IRA account. Client alleged that their account was invested by Eric Thronson more aggressively than their risk tolerance. Eric Thronson Red Flags & Your Rights As An Investor Of course, Eric Thronson 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 Thronson at Ameriprise Financial Services, LLC, Securities America, and Securities America Advisors on alert to review carefully the activity and performance of their accounts and question whether Eric Thronson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC, Securities America, and Securities America Advisors 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, LLC Due To Eric Thronson If you have questions about Ameriprise Financial Services, LLC Securities America, Securities America Advisors, and/or Eric Thronson 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

Richard Tidwell of LPL Financial

DID RICHARD TIDWELL CAUSE YOU INVESTMENT LOSSES? Richard Tidwell Of LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Richard Tidwell of LPL Financial LLC? Richard Tidwell (CRD #2728487) who is currently registered with LPL Financial LLC and located in Las Vegas, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Richard Tidwell Customer Complaints Richard Tidwell has been the subject of 2 customer complaints that we know about. One of Richard Tidwell’s 2 customer complaints was settled in favor of investors. One of Richard Tidwell’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Richard Tidwell 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 Richard Tidwell’s poor recommendation of an unsuitable limited partnership fund. Customer alleged that Richard Tidwell’s purchase of variable annuity was unsuitable, and sought rescission. Richard Tidwell Red Flags & Your Rights As An Investor Of course, Richard Tidwell 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 Richard Tidwell at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Richard Tidwell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Richard Tidwell If you have questions about LPL Financial LLC and/or Richard Tidwell 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

Robert Thorne of LPL Financial

DID ROBERT THORNE CAUSE YOU INVESTMENT LOSSES? Robert Thorne Of LPL Financial LLC And Flagship Harbor Advisors Has 2 Customer Complaints For Alleged Broker Misconduct Who is Robert Thorne of LPL Financial LLC? Robert Thorne (CRD #2163929) who is currently registered with LPL Financial LLC, Flagship Harbor Advisors, and located in Hyannis, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Robert Thorne Customer Complaints Robert Thorne has been the subject of 2 customer complaints that we know about. One of Robert Thorne’s 2 customer complaints was settled in favor of investors. One of Robert Thorne’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Robert Thorne 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 stated he invested with American Express Financial Advisors allegedly through Robert Thorne. He further stated that he was uncomfortable with the amount of losses that he incurred. The customer alleged Robert Thorne’s fees were not disclosed to him, resulting in surrender fees. Robert Thorne Red Flags & Your Rights As An Investor Of course, Robert Thorne 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 Thorne at LPL Financial LLC and Flagship Harbor Advisors on alert to review carefully the activity and performance of their accounts and question whether Robert Thorne has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Flagship Harbor Advisors 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 Robert Thorne If you have questions about LPL Financial LLC, Flagship Harbor Advisors, and/or Robert Thorne 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 Torrico of UBS Financial Services

DID STEVEN TORRICO CAUSE YOU INVESTMENT LOSSES? Steven Torrico Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Steven Torrico of UBS Financial Services Inc.? Steven Torrico (CRD #1666636) who is currently registered with UBS Financial Services Inc. and located in Paramus, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Steven Torrico was also the subject of an NASD N/K/A. FINRA investigation for allegedly failing to reasonably supervise certain mutual fund sales by a registered representative and to detect and prevent violations of applicable NASD and SEC rules.  Sanctions ordered included a suspension of 3 months and a $10,000 fine. Steven Torrico Customer Complaints Steven Torrico has been the subject of 2 customer complaints that we know about. One of Steven Torrico’s 2 customer complaints was settled in favor of investors. One of Steven Torrico’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Steven Torrico 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 Steven Torrico’s failure to supervise. The client alleged Steven Torrico did not inform her that the money managers were not going to look at the assets that they were selling in order to implement their strategy. Steven Torrico Red Flags & Your Rights As An Investor Of course, Steven Torrico 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 Torrico at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Steven Torrico 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 Steven Torrico If you have questions about UBS Financial Services Inc. and/or Steven Torrico 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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