Mar 7, 2022

Tamra Ellis of Edward Jones

DID TAMRA KAYE ELLIS CAUSE YOU INVESTMENT LOSSES? Tamra Ellis Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Tamra Ellis of Edward Jones? Tamra Ellis (CRD #5424246) who is currently registered with Edward Jones and located in Durham, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Tamra Ellis Customer Complaint Tamra Ellis 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 “your [Tamra Ellis] erroneous and misguided advice and lack of action have cost me thousands of dollars by not making my plan a safe harbor from its inception and for providing incorrect advice all these years.” Tamra Ellis’ customer complaint was denied and, to date, the customer has not taken any further action. Tamra Ellis Red Flags & Your Rights As An Investor Of course, Tamra Ellis 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 Tamra Ellis at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Tamra Ellis 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 Tamra Ellis If you have questions about Edward Jones and/or Tamra Ellis 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 Fast Formerly With The Huntington Investment

DID TIMOTHY J. FAST CAUSE YOU INVESTMENT LOSSES? Timothy Fast Formerly With The Huntington Investment And Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Timothy Fast formerly with The Huntington Investment? Timothy Fast (CRD #6267765) who was formerly registered with The Huntington Investment and located in Columbus, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to The Huntington Investment, Timothy Fast was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Timothy Fast Customer Complaint Timothy Fast 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 the Huntington Investment Company (HIC) representative, Timothy Fast, erroneously represented that he had placed the client’s order to purchase a leveraged exchange-traded fund when the trade was not in fact placed. Timothy Fast’s customer complaint was settled in favor of the investors. Timothy Fast Red Flags & Your Rights As An Investor Of course, Timothy Fast 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 Fast at The Huntington Investment and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Timothy Fast has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The Huntington Investment and Morgan Stanley 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 Huntington Investment Due To Timothy Fast If you have questions about The Huntington Investment, Morgan Stanley, and/or Timothy Fast 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

Norbert Endl of Edward Jones

DID NORBERT TODD ENDL CAUSE YOU INVESTMENT LOSSES? Norbert Endl Of Edward Jones Has 2 Customer Complaints For Alleged Broker Misconduct Who is Norbert Endl of Edward Jones? Norbert Endl (CRD #6179913) who is currently registered with Edward Jones and located in Stuttgart, Arkansas is a subject of one of our many securities industry sales practice abuse investigations. Norbert Endl Customer Complaints Norbert Endl 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 Norbert Endl’s customers; complaints were denied and, to date, the customers have not taken any further action. Allegations Against Norbert Endl 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 that Norbert Endl failed to follow his instructions to liquidate his holdings on March 10, 2020. The client indicated Norbert Endl allegedly provided a poor recommendation when he recommended the client sell his equity securities to purchase mutual funds. Norbert Endl Red Flags & Your Rights As An Investor Of course, Norbert Endl 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 Norbert Endl at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Norbert Endl 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 Norbert Endl If you have questions about Edward Jones and/or Norbert Endl 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

Scott Ferguson of Cambridge Investment Research

DID SCOTT EDMUND FERGUSON CAUSE YOU INVESTMENT LOSSES? Scott Ferguson Of Cambridge Investment Research, Cambridge Investment Research Advisors And Formerly With FSC Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Scott Ferguson of Cambridge Investment Research? Scott Ferguson (CRD #4668142) who is currently registered with Cambridge Investment Research, Cambridge Investment Research Advisors and located in Brunswick, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cambridge Investment Research, Cambridge Investment Research Advisors, Scott Ferguson was associated with FSC Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Scott Ferguson Customer Complaints Scott Ferguson has been the subject of 2 customer complaints that we know about. One of Scott Ferguson’s 2 customers’ complaints was denied and, to date, the customer has not taken any further action.  There is currently one pending customer complaint filed against FSC Securities for investment losses caused by Scott Ferguson’s alleged misconduct. Allegations Against Scott Ferguson 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 Scott Ferguson’s misrepresentation in the purchase of non-traded Business Development Company. Claimants alleged that Scott Ferguson recommended an alternative investment that was unsuitable. Scott Ferguson Red Flags & Your Rights As An Investor Of course, Scott Ferguson 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 Scott Ferguson at Cambridge Investment Research, Cambridge Investment Research Advisors, and FSC Securities on alert to review carefully the activity and performance of their accounts and question whether Scott Ferguson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research, Cambridge Investment Research Advisors, and FSC 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 Cambridge Investment Research Due To Scott Ferguson If you have questions about Cambridge Investment Research, Cambridge Investment Research Advisors, FSC Securities, and/or Scott Ferguson 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

David Ermlick Formerly With Center Street Securities

DID DAVID LEWIS ERMLICK CAUSE YOU INVESTMENT LOSSES? David Ermlick Formerly With Center Street Securities Has A Customer Complaint For Alleged Broker Misconduct Who is David Ermlick formerly with Center Street Securities? David Ermlick (CRD #4846833) who was formerly registered with Center Street Securities and located in Centreville, Virginia is a subject of one of our many securities industry sales practice abuse investigations. David Ermlick Customer Complaint David Ermlick 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 unsuitable investment recommendations relating to a $250,000 GPB Capital Holdings, private placement investment.  The customer complaint filed against David Ermlick’s former employer Center Street Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. David Ermlick Red Flags & Your Rights As An Investor Of course, David Ermlick 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 Ermlick at Center Street Securities on alert to review carefully the activity and performance of their accounts and question whether David Ermlick has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Center Street 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 Center Street Securities Due To David Ermlick If you have questions about Center Street Securities and/or David Ermlick 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

Fernely Filpo of J.P. Morgan Securities

DID FERNELY FILPO CAUSE YOU INVESTMENT LOSSES? Fernely Filpo Of J.P. Morgan Securities And Formerly With J.H. Darbie & Co. And Spartan Capital Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Fernely Filpo of J.P. Morgan Securities? Fernely Filpo (CRD #6434495) who is currently registered with J.P. Morgan Securities and located in Flushing, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to J.P. Morgan Securities, Fernely Filpo was associated with J.H. Darbie & Co., Spartan Capital Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Fernely Filpo Customer Complaint Fernely Filpo 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 suitability of an equity investment. The customer complaint filed against Fernely Filpo’s former employer Spartan Capital Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Fernely Filpo Red Flags & Your Rights As An Investor Of course, Fernely Filpo 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 Fernely Filpo at J.P. Morgan Securities, J.H. Darbie & Co., and Spartan Capital Securities on alert to review carefully the activity and performance of their accounts and question whether Fernely Filpo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities, J.H. Darbie & Co., and Spartan Capital 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 J.P. Morgan Securities Due To Fernely Filpo If you have questions about J.P. Morgan Securities, J.H. Darbie & Co., Spartan Capital Securities, and/or Fernely Filpo 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

Kristian Finfrock of Kalos Capital

DID KRISTIAN L. FINFROCK CAUSE YOU INVESTMENT LOSSES? Kristian Finfrock Of Kalos Capital And Kalos Management Has A Customer Complaint For Alleged Broker Misconduct Who is Kristian Finfrock of Kalos Capital? Kristian Finfrock (CRD #5421676) who is currently registered with Kalos Capital, Kalos Management and located in Evansville, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Kristian Finfrock Customer Complaint Kristian Finfrock 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 unsuitable investment recommendations. Kristian Finfrock’s customer complaint was settled in favor of the investors. Kristian Finfrock Red Flags & Your Rights As An Investor Of course, Kristian Finfrock 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 Kristian Finfrock at Kalos Capital and Kalos Management on alert to review carefully the activity and performance of their accounts and question whether Kristian Finfrock has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kalos Capital and Kalos 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 Kalos Capital Due To Kristian Finfrock If you have questions about Kalos Capital, Kalos Management, and/or Kristian Finfrock 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

Shawn Everett of Cetera Advisor Networks

DID SHAWN CHRISTIAN EVERETT CAUSE YOU INVESTMENT LOSSES? Shawn Everett Of Cetera Advisor Networks Has A Customer Complaint For Alleged Broker Misconduct Who is Shawn Everett of Cetera Advisor Networks? Shawn Everett (CRD #4653270) who is currently registered with Cetera Advisor Networks and located in Estero, Florida is a subject of one of our many securities industry sales practice abuse investigations. Shawn Everett Customer Complaint Shawn Everett 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 related to an over concentration of assets in the customer’s account. Shawn Everett’s customer complaint was settled in favor of the investors. Shawn Everett Red Flags & Your Rights As An Investor Of course, Shawn Everett 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 Shawn Everett at Cetera Advisor Networks on alert to review carefully the activity and performance of their accounts and question whether Shawn Everett has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Cetera Advisor Networks Due To Shawn Everett If you have questions about Cetera Advisor Networks and/or Shawn Everett 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

Phillip Fiore of Equitable Advisors

DID PHILLIP RICHARD FIORE CAUSE YOU INVESTMENT LOSSES? Phillip Fiore Of Equitable Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Phillip Fiore of Equitable Advisors? Phillip Fiore (CRD #6278382) who is currently registered with Equitable Advisors and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations. Phillip Fiore Customer Complaint Phillip Fiore 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 the variable annuity she purchased in 2020 was unsuitable for her objectives. Phillip Fiore’s customer complaint was settled in favor of the investors. Phillip Fiore Red Flags & Your Rights As An Investor Of course, Phillip Fiore 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 Phillip Fiore at Equitable Advisors on alert to review carefully the activity and performance of their accounts and question whether Phillip Fiore 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 Phillip Fiore If you have questions about Equitable Advisors and/or Phillip Fiore 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

Jason Franklin of Pruco Securities

DID JASON KIRBY FRANKLIN CAUSE YOU INVESTMENT LOSSES? Jason Franklin Of Pruco Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Jason Franklin of Pruco Securities? Jason Franklin (CRD #5899627) who is currently registered with Pruco Securities and located in University Place, Washington is a subject of one of our many securities industry sales practice abuse investigations. Jason Franklin Customer Complaint Jason Franklin 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 Jason Franklin informed the policy-owners that they could withdraw monies from a variable life insurance policy and that, thereafter, the policies would remain in force and not lapse. Jason Franklin’s customer complaint was denied and, to date, the customer has not taken any further action. Jason Franklin Red Flags & Your Rights As An Investor Of course, Jason Franklin 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 Jason Franklin at Pruco Securities on alert to review carefully the activity and performance of their accounts and question whether Jason Franklin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco 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 Pruco Securities Due To Jason Franklin If you have questions about Pruco Securities and/or Jason Franklin 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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