Mar 7, 2022

Kevin Dicke Formerly With MML Investors Services

DID KEVIN ROBERT DICKE CAUSE YOU INVESTMENT LOSSES? Kevin Dicke Formerly With MML Investors Services Has A Customer Complaint For Alleged Broker Misconduct Who is Kevin Dicke formerly with MML Investors Services? Kevin Dicke (CRD #4584138) who was formerly registered with MML Investors Services and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Kevin Dicke Customer Complaint Kevin Dicke 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 Kevin Dicke made unsuitable investment recommendations. Kevin Dicke’s customer complaint was settled in favor of the investors. Kevin Dicke Red Flags & Your Rights As An Investor Of course, Kevin Dicke did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kevin Dicke at MML Investors Services on alert to review carefully the activity and performance of their accounts and question whether Kevin Dicke has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors 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 MML Investors Services Due To Kevin Dicke If you have questions about MML Investors Services and/or Kevin Dicke 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

Dean Dillenberg of Purshe Kaplan Sterling Investments

DID DEAN PHILIP DILLENBERG CAUSE YOU INVESTMENT LOSSES? Dean Dillenberg 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 Dean Dillenberg of Purshe Kaplan Sterling Investments? Dean Dillenberg (CRD #6195527) 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, Dean Dillenberg 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 Dean Dillenberg Customer Complaint Dean Dillenberg 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 in the sale of a variable life insurance policy. Dean Dillenberg’s customer complaint was denied and, to date, the customer has not taken any further action. Dean Dillenberg Red Flags & Your Rights As An Investor Of course, Dean Dillenberg 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 Dean Dillenberg 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 Dean Dillenberg 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 Dean Dillenberg If you have questions about Purshe Kaplan Sterling Investments, Thrivent Advisor Network, AXA Advisors, PKS Advisory Services, and/or Dean Dillenberg 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

Nicholas Diolosa of Equitable Advisors

DID NICHOLAS CALEB DIOLOSA CAUSE YOU INVESTMENT LOSSES? Nicholas Diolosa Of Equitable Advisors And Formerly With Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors And Strategic Advisers Has A Customer Complaint For Alleged Broker Misconduct Who is Nicholas Diolosa of Equitable Advisors? Nicholas Diolosa (CRD #5883403) who is currently registered with Equitable Advisors and located in Woodbury, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Equitable Advisors, Nicholas Diolosa was associated with Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Strategic Advisers and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Nicholas Diolosa Customer Complaint Nicholas Diolosa 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 customer alleged unauthorized trading in his managed account by the representative and Firm. Nicholas Diolosa’s customer complaint was denied and, to date, the customer has not taken any further action. Nicholas Diolosa Red Flags & Your Rights As An Investor Of course, Nicholas Diolosa 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 Nicholas Diolosa at Equitable Advisors, 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 Nicholas Diolosa has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, 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 Equitable Advisors Due To Nicholas Diolosa If you have questions about Equitable Advisors, Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Strategic Advisers, and/or Nicholas Diolosa 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

Timothy Dolan of Edward Jones

DID TIMOTHY JEFFREY DOLANCAUSE YOU INVESTMENT LOSSES? Timothy Dolan Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Timothy Dolan of Edward Jones? Timothy Dolan (CRD #5485868) who is currently registered with Edward Jones and located in Hoover, Alabama is a subject of one of our many securities industry sales practice abuse investigations. Timothy Dolan Customer Complaint Timothy Dolan 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 Plaintiff, as Personal Representative of the Estate, alleged that Defendants met with the client who lacked the capacity to remove the Plaintiff as beneficiary of the Estate, and wrongly named, non-affiliated Defendant as the sole beneficiary. Plaintiff alleged counts of fraud by forgery, negligence or wantonness, conspiracy, breach of fiduciary duty, and unjust enrichment. The Firm and Registered Representative denied Plaintiff’s allegations and asserted they followed the decedent’s direct instructions in connection with each beneficiary designation in question. The customer complaint filed against Timothy Dolan’s current employer Edward Jones for investment losses caused by the alleged misconduct is pending as of the date of this report. Timothy Dolan Red Flags & Your Rights As An Investor Of course, Timothy Dolan 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 Timothy Dolan at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Timothy Dolan 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 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 Edward Jones Due To Timothy Dolan If you have questions about Edward Jones and/or Timothy Dolan 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

Kirk Balin of LPL Financial

DID KIRK MITCHELL BALIN CAUSE YOU INVESTMENT LOSSES? Kirk Balin Of LPL Financial And Householder Group Estate Retirement Specialists Has 3 Customer Complaints For Alleged Broker Misconduct Who is Kirk Balin of LPL Financial? Kirk Balin (CRD #4590715) who is currently registered with LPL Financial, Householder Group Estate Retirement Specialists and located in Seattle, Washington is a subject of one of our many securities industry sales practice abuse investigations. Kirk Balin Customer Complaints Kirk Balin has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Kirk Balin’s 3 customer complaints were settled in favor of investors. One of Kirk Balin’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Kirk Balin 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 that she desired low risk investments but instead was recommended certain alternative investments, which Claimant alleged were unsuitable to her objectives allegedly made by Kirk Balin. Customer alleged Kirk Balin failed to follow instructions and positions were sold at a loss due to an unauthorized trade. Customer alleged Kirk Balin’s unsuitability and breach of fiduciary duty in connection with purchase of 5 investments including non-traded REITs. Kirk Balin Red Flags & Your Rights As An Investor Of course, Kirk Balin 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 Kirk Balin at LPL Financial and Householder Group Estate Retirement Specialists on alert to review carefully the activity and performance of their accounts and question whether Kirk Balin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and Householder Group Estate Retirement Specialists 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 Due To Kirk Balin If you have questions about LPL Financial, Householder Group Estate Retirement Specialists, and/or Kirk Balin 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

Douglas Domian of UBS Financial Services

DID DOUGLAS JOHN DOMIAN CAUSE YOU INVESTMENT LOSSES? Douglas Domian Of UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Douglas Domian of UBS Financial Services? Douglas Domian (CRD #5151950) who is currently registered with UBS Financial Services and located in Hartford, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Douglas Domian Customer Complaints Douglas Domian 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 Douglas Domian’s customer complaints were settled in favor of investors. Allegations Against Douglas Domian A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client alleged his instructions to liquidate his account was not done by Douglas Domian and a lack of fiduciary responsibility to liquidate on a day when the market was significant without contacting him. The client alleged that Douglas Domian liquidated her portfolio without her authorization. The client further alleged that liquidating the entire portfolio at one time was not suitable. Douglas Domian Red Flags & Your Rights As An Investor Of course, Douglas Domian 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 Douglas Domian at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Douglas Domian 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 Douglas Domian If you have questions about UBS Financial Services and/or Douglas Domian 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

Sheila Bateman of Ameriprise Financial Services

DID SHEILA DIANE BATEMAN CAUSE YOU INVESTMENT LOSSES? Sheila Bateman Of Ameriprise Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Sheila Bateman of Ameriprise Financial Services? Sheila Bateman (CRD #4511387) who is currently registered with Ameriprise Financial Services and located in Chesapeake, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Sheila Bateman Customer Complaints Sheila Bateman has been the subject of 2 customer complaints that we know about. One of Sheila Bateman’s 2 customer complaints was settled in favor of investors. One of Sheila Bateman’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Sheila Bateman A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Clients alleged Sheila Bateman recommended inappropriate investments, recommended inappropriate variable life and annuity replacements to generate commissions, made unauthorized transactions, and did not disclose product provisions. The clients alleged Sheila Bateman misrepresented four annuity sales stating the advisor told them that the annuities could not lose their original investment values and did not meet their need for eliminating annual tax liabilities. Sheila Bateman Red Flags & Your Rights As An Investor Of course, Sheila Bateman 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 Sheila Bateman at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Sheila Bateman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Ameriprise Financial Services Due To Sheila Bateman If you have questions about Ameriprise Financial Services and/or Sheila Bateman 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 Bearce of Fifth Third Securities

DID DENNIS CHARLES BEARCE CAUSE YOU INVESTMENT LOSSES? Dennis Bearce Of Fifth Third Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Dennis Bearce of Fifth Third Securities? Dennis Bearce (CRD #5082888) who is currently registered with Fifth Third Securities and located in Ashland, Kentucky is a subject of one of our many securities industry sales practice abuse investigations. Dennis Bearce Customer Complaint Dennis Bearce 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 market risk of a mutual fund investment was misrepresented. Dennis Bearce’s customer complaint was denied and, to date, the customer has not taken any further action. Dennis Bearce Red Flags & Your Rights As An Investor Of course, Dennis Bearce 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 Bearce at Fifth Third Securities on alert to review carefully the activity and performance of their accounts and question whether Dennis Bearce has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fifth Third 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 Fifth Third Securities Due To Dennis Bearce If you have questions about Fifth Third Securities and/or Dennis Bearce 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 Dorff Formerly With Charles Schwab & Co.

DID MARK ALLEN DORFF CAUSE YOU INVESTMENT LOSSES? Mark Dorff Formerly With Charles Schwab & Co. Has A Customer Complaint For Alleged Broker Misconduct Who is Mark Dorff formerly with Charles Schwab & Co.? Mark Dorff (CRD #5726848) who was formerly registered with Charles Schwab & Co.and located in Plano, Texas is a subject of one of our many securities industry sales practice abuse investigations. Mark Dorff Customer Complaint Mark Dorff 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 Mark Dorff made unsuitable options strategy recommendations. The customer complaint filed against Mark Dorff’s former employer Charles Schwab & Co. for investment losses caused by the alleged misconduct is pending as of the date of this report. Mark Dorff Red Flags & Your Rights As An Investor Of course, Mark Dorff 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 Dorff at Charles Schwab & Co. on alert to review carefully the activity and performance of their accounts and question whether Mark Dorff has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & 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 Charles Schwab & Co. Due To Mark Dorff If you have questions about Charles Schwab & Co. and/or Mark Dorff 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

Hayley Beard of Edward Jones

DID HAYLEY NOEL BEARD CAUSE YOU INVESTMENT LOSSES? Hayley Beard Of Edward Jones And Formerly With Vanguard Marketing Has A Customer Complaint For Alleged Broker Misconduct Who is Hayley Beard of Edward Jones? Hayley Beard (CRD #5578063) who is currently registered with Edward Jones and located in Coronado, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Edward Jones, Hayley Beard was associated with Vanguard Marketing and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Hayley Beard Customer Complaint Hayley Beard 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 alleged Hayley Beard misrepresented the MFS Funds he purchased. Hayley Beard’s customer complaint was settled in favor of the investors. Hayley Beard Red Flags & Your Rights As An Investor Of course, Hayley Beard 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 Hayley Beard at Edward Jones and Vanguard Marketing on alert to review carefully the activity and performance of their accounts and question whether Hayley Beard has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones and Vanguard Marketing 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 Edward Jones Due To Hayley Beard If you have questions about Edward Jones, Vanguard Marketing, and/or Hayley Beard 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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