Mar 7, 2022

Dustin Gersch of Ameriprise Financial Services

DID DUSTIN KYLE GERSCH CAUSE YOU INVESTMENT LOSSES? Dustin Gersch Of Ameriprise Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Dustin Gersch of Ameriprise Financial Services? Dustin Gersch (CRD #4837908) who is currently registered with Ameriprise Financial Services and located in Austin, Texas is a subject of one of our many securities industry sales practice abuse investigations. Dustin Gersch Customer Complaint Dustin Gersch has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that Dustin Gersch did not follow his March 2020 instructions to liquidate his investment portfolio. Dustin Gersch’s customer complaint was denied and, to date, the customer has not taken any further action. Dustin Gersch Red Flags & Your Rights As An Investor Of course, Dustin Gersch 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 Dustin Gersch at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Dustin Gersch 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 firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Ameriprise Financial Services Due To Dustin Gersch If you have questions about Ameriprise Financial Services and/or Dustin Gersch 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

Dale Giddings of PFS Investments

DID DALE R. GIDDINGS JR CAUSE YOU INVESTMENT LOSSES? Dale Giddings Of PFS Investments Has A Customer Complaint For Alleged Broker Misconduct Who is Dale Giddings of PFS Investments? Dale Giddings (CRD #6007688) who is currently registered with PFS Investments and located in San Antonio, Texas is a subject of one of our many securities industry sales practice abuse investigations. Dale Giddings Customer Complaint Dale Giddings 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 Dale Giddings recommendations to purchase variable annuity contracts were unsuitable investment recommendations. Dale Giddings’ customer complaint was settled in favor of the investors. Dale Giddings Red Flags & Your Rights As An Investor Of course, Dale Giddings 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 Dale Giddings at PFS Investments on alert to review carefully the activity and performance of their accounts and question whether Dale Giddings has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PFS Investments 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 PFS Investments Due To Dale Giddings If you have questions about PFS Investments and/or Dale Giddings 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

Adam Harvey of Equitable Advisors

DID ADAM RAY HARVEY CAUSE YOU INVESTMENT LOSSES? Adam Harvey Of Equitable Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Adam Harvey of Equitable Advisors? Adam Harvey (CRD #4780521) who is currently registered with Equitable Advisors and located in Bellevue, Washington is a subject of one of our many securities industry sales practice abuse investigations. Adam Harvey Customer Complaint Adam Harvey 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 alleged Adam Harvey put him in investments that were unsuitable for their needs. Adam Harvey’s customer complaint was denied and, to date, the customer has not taken any further action Adam Harvey Red Flags & Your Rights As An Investor Of course, Adam Harvey 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 Adam Harvey at Equitable Advisors on alert to review carefully the activity and performance of their accounts and question whether Adam Harvey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable 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 Equitable Advisors Due To Adam Harvey If you have questions about Equitable Advisors and/or Adam Harvey 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

Albert Haskins of CUSO Financial Services

DID ALBERT DUANE HASKINS CAUSE YOU INVESTMENT LOSSES? Albert Haskins Of CUSO Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Albert Haskins of CUSO Financial Services? Albert Haskins (CRD #5778377) who is currently registered with CUSO Financial Services and located in Williamsburg, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Albert Haskins Customer Complaint Albert Haskins 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 recommendation to purchase a variable annuity was unsuitable. The client requested compensation for the Contingent Deferred Sales Charge and market losses incurred as a result of a full surrender in March of 2020, which was directed by client through the provider without input from the firm or the Representative. The firm confirmed that the recommendation was suitable based on the client’s stated financial situation, investment experience and objectives. Accordingly, the firm denied the allegations. Albert Haskins’ customer complaint was denied and, to date, the customer has not taken any further action. Albert Haskins Red Flags & Your Rights As An Investor Of course, Albert Haskins 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 Albert Haskins at CUSO Financial Services on alert to review carefully the activity and performance of their accounts and question whether Albert Haskins has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at CUSO 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  CUSO Financial Services Due To Albert Haskins If you have questions about CUSO Financial Services and/or Albert Haskins 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

James Hauser of Edward Jones

DID JAMES DAVID HAUSER CAUSE YOU INVESTMENT LOSSES? James Hauser Of Edward Jones Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Hauser of Edward Jones? James Hauser (CRD #6107950) who is currently registered with Edward Jones and located in Greenfield, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. James Hauser Customer Complaints James Hauser 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 James Hauser’s 2 customer complaints were settled in favor of investors. Allegations Against James Hauser 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 the liquidation of her variable annuity by James Hauser was not suitable. The claimants alleged James Hauser made unsuitable recommendations to purchase two equities. James Hauser Red Flags & Your Rights As An Investor Of course, James Hauser 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 Hauser at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether James Hauser has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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 Edward Jones Due To James Hauser If you have questions about Edward Jones and/or James Hauser 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

Adam Henley of Securities America

DID ADAM DAVID HENLEY CAUSE YOU INVESTMENT LOSSES? Adam Henley Of Securities America And Securities America Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Adam Henley of Securities America? Adam Henley (CRD #4407698) who is currently registered with Securities America, Securities America Advisors and located in Jeffersonville, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Adam Henley Customer Complaint Adam Henley 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 after briefly discussing the possibility of generating a monthly income plan, Adam Henley placed unauthorized trades within the client’s account which resulted in a loss to his portfolio. Adam Henley’s customer complaint was denied and, to date, the customer has not taken any further action. Adam Henley Red Flags & Your Rights As An Investor Of course, Adam Henley 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 Adam Henley at Securities America and Securities America Advisors on alert to review carefully the activity and performance of their accounts and question whether Adam Henley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America and Securities America 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 Securities America Due To Adam Henley If you have questions about Securities America, Securities America Advisors, and/or Adam Henley 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

Zachary Hawkins of Purshe Kaplan Sterling Investments

DID ZACHARY JAMES HAWKINS CAUSE YOU INVESTMENT LOSSES? Zachary Hawkins Of Purshe Kaplan Sterling Investments, Thrivent Advisor Network And Formerly With AXA Advisors And PKS Advisory Services Has A Customer Complaint For Alleged Broker Misconduct Who is Zachary Hawkins of Purshe Kaplan Sterling Investments? Zachary Hawkins (CRD #6513159) who is currently registered with Purshe Kaplan Sterling Investments, Thrivent Advisor Network and located in Austin, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Purshe Kaplan Sterling Investments and Thrivent Advisor Network, Zachary Hawkins was associated with AXA Advisors, PKS Advisory Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Zachary Hawkins Customer Complaint Zachary Hawkins 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 Zachary Hawkins sold him a variable life insurance policy that was not suitable for his investment needs, and that Mr. Hawkins misrepresented the liquidity, potential growth and certain charges associated with the policy. Zachary Hawkins’ customer complaint was denied and, to date, the customer has not taken any further action. Zachary Hawkins Red Flags & Your Rights As An Investor Of course, Zachary Hawkins 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 Zachary Hawkins at Purshe Kaplan Sterling Investments, Thrivent Advisor Network, AXA Advisors, and PKS Advisory Services on alert to review carefully the activity and performance of their accounts and question whether Zachary Hawkins has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Purshe Kaplan Sterling Investments, Thrivent Advisor Network, AXA Advisors, and PKS Advisory 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 Purshe Kaplan Sterling Investments Due To Zachary Hawkins If you have questions about Purshe Kaplan Sterling Investments, Thrivent Advisor Network, AXA Advisors, PKS Advisory Services, and/or Zachary Hawkins 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

Erik Haworth of Thrivent Investment Management

DID ERIK LOWELL HAWORTH CAUSE YOU INVESTMENT LOSSES? Erik Haworth Of Thrivent Investment Management Has A Customer Complaint For Alleged Broker Misconduct Who is Erik Haworth of Thrivent Investment Management? Erik Haworth (CRD #6252920) who is currently registered with Thrivent Investment Management and located in Monroe, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Erik Haworth Customer Complaint Erik Haworth has been the subject ofat 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 she did not receive information about her variable annuity contract at the time of sale or a copy of the contract. Erik Haworth’s customer complaint was denied and, to date, the customer has not taken any further action. Erik Haworth Red Flags & Your Rights As An Investor Of course, Erik Haworth 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 Erik Haworth at Thrivent Investment Management on alert to review carefully the activity and performance of their accounts and question whether Erik Haworth 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 Erik Haworth If you have questions about Thrivent Investment Management and/or Erik Haworth 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

Kris Hayne of Transamerica Financial Advisors

DID KRIS JAMES HAYNE CAUSE YOU INVESTMENT LOSSES? Kris Hayne Of Transamerica Financial Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Kris Hayne of Transamerica Financial Advisors? Kris Hayne (CRD #6055049) who is currently registered with Transamerica Financial Advisors and located in Eugene, Oregon is a subject of one of our many securities industry sales practice abuse investigations. Kris Hayne Customer Complaint Kris Hayne 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 that she did not sign the 1035 exchange forms submitted to Transamerica and that Kris Hayne, forged her signature on the forms. Kris Hayne’s customer complaint was denied and, to date, the customer has not taken any further action. Kris Hayne Red Flags & Your Rights As An Investor Of course, Kris Hayne 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 Kris Hayne at Transamerica Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Kris Hayne has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Transamerica 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 Transamerica Financial Advisors Due To Kris Hayne If you have questions about Transamerica Financial Advisors and/or Kris Hayne 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

Dennis Herrera of Aegis Capital

DID DENNIS DANIEL HERRERA CAUSE YOU INVESTMENT LOSSES? Dennis Herrera Of Aegis Capital And Formerly With Laidlaw & Company (UK) Has 5 Customer Complaints For Alleged Broker Misconduct Who is Dennis Herrera of Aegis Capital? Dennis Herrera (CRD #4618370) who is currently registered with Aegis Capital and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Dennis Herrera was associated with Laidlaw & Company (UK) and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Dennis Herrera Customer Complaints Dennis Herrera has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of Dennis Herrera’s 5 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Aegis Capital for investment losses caused by Dennis Herrera’s alleged misconduct. Allegations Against Dennis Herrera A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client felt commissions overcharged in light of account lost value allegedly by Dennis Herrera. Client alleged that he never authorized a stop loss order to be entered by Dennis Herrera. Customer alleged Dennis Herrera’s (1) excessive and unsuitable trading strategy and (2) misrepresentation of private placement. Current employer does not have copy of complaint. Claimant alleged allegedly by Dennis Herrera’s unsuitability, breach of contract, breach of fiduciary duty. Unsuitable investments allegedly by Dennis Herrera. Dennis Herrera Red Flags & Your Rights As An Investor Of course, Dennis Herrera 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 Herrera at Aegis Capital and Laidlaw & Company (UK) on alert to review carefully the activity and performance of their accounts and question whether Dennis Herrera has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital and Laidlaw & Company (UK) 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 Aegis Capital Due To Dennis Herrera If you have questions about Aegis Capital, Laidlaw & Company (UK), and/or Dennis Herrera 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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