Mar 7, 2022

Alan Fishman of Wells Fargo Clearing Services

DID ALAN FISHMAN CAUSE YOU INVESTMENT LOSSES? Alan Fishman Of Wells Fargo Clearing Services And Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Alan Fishman of Wells Fargo Clearing Services? Alan Fishman (CRD #4387761) who is currently registered with Wells Fargo Clearing Services and located in Deerfield, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Alan Fishman was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Alan Fishman Customer Complaint Alan Fishman 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’s account objective was inaccurate, resulting in more risk than the client’s conservative needs. Alan Fishman’s customer complaint was denied and, to date, the customer has not taken any further action. Alan Fishman Red Flags & Your Rights As An Investor Of course, Alan Fishman 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 Alan Fishman at Wells Fargo Clearing Services and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Alan Fishman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services 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 Wells Fargo Clearing Services Due To Alan Fishman If you have questions about Wells Fargo Clearing Services, Morgan Stanley, and/or Alan Fishman 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

Rhonda Fitchett of Equitable Advisors

DID RHONDA EUGENIA FITCHETT CAUSE YOU INVESTMENT LOSSES? Rhonda Fitchett Of Equitable Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Rhonda Fitchett of Equitable Advisors? Rhonda Fitchett (CRD #5462683) who is currently registered with Equitable Advisors and located in Fort Dodge, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Rhonda Fitchett Customer Complaint Rhonda Fitchett 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 Rhonda Fitchett promised a guaranteed return on his variable annuity purchased. Rhonda Fitchett’s customer complaint was denied and, to date, the customer has not taken any further action. Rhonda Fitchett Red Flags & Your Rights As An Investor Of course, Rhonda Fitchett 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 Rhonda Fitchett at Equitable Advisors on alert to review carefully the activity and performance of their accounts and question whether Rhonda Fitchett 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 Rhonda Fitchett If you have questions about Equitable Advisors and/or Rhonda Fitchett 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 Fross of LPL Financial

DID ROBERT C. FROSS CAUSE YOU INVESTMENT LOSSES? Robert Fross Of LPL Financial And Formerly With SII Investments Has 4 Customer Complaints For Alleged Broker Misconduct Who is Robert Fross of LPL Financial? Robert Fross (CRD #4509851) who is currently registered with LPL Financial and located in The Villages, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Robert Fross was associated with SII Investments and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Fross Customer Complaints Robert Fross has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Robert Fross’ 4 customer complaints was settled in favor of investors. Two of Robert Fross’ customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against SII Investments for investment losses caused by Robert Fross’ alleged misconduct. Allegations Against Robert Fross 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 unsuitability in connection with a REIT purchase made at SII investments by Robert Fross. Client alleged she wanted no risk and felt the two annuity contracts allegedly purchased by Robert Fross were unsuitable and could not get out due to early withdrawal penalty. Clients alleged Robert Fross’ unsuitable and inappropriate investment recommendations involving the switching of annuity contracts and purchase of speculative illiquid REIT. Customer claimed investment recommended by Robert Fross was unsuitable for their IRA. Robert Fross Red Flags & Your Rights As An Investor Of course, Robert Fross 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 Fross at LPL Financial and SII Investments on alert to review carefully the activity and performance of their accounts and question whether Robert Fross has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and SII Investments 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 Robert Fross If you have questions about LPL Financial, SII Investments, and/or Robert Fross 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

Ryan Fleming of Royal Alliance Associates

DID RYAN THOMAS FLEMING CAUSE YOU INVESTMENT LOSSES? Ryan Fleming Of Royal Alliance Associates And Formerly With Hornor, Townsend & Kent And Advisory Resource Group Has 2 Customer Complaints For Alleged Broker Misconduct Who is Ryan Fleming of Royal Alliance Associates? Ryan Fleming (CRD #4378425) who is currently registered with Royal Alliance Associates and located in Bellevue, Washington is a subject of one of our many securities industry sales practice abuse investigations. Prior to Royal Alliance Associates, Ryan Fleming was associated with Hornor, Townsend & Kent, Advisory Resource Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ryan Fleming Customer Complaints Ryan Fleming has been the subject of 2 customer complaints that we know about, which were filed in the last year to recover investment losses. Both of the customers’ complaints filed against Ryan Fleming’s former employer Hornor, Townsend & Kent for investment losses caused by the alleged misconduct are pending as of the date of this report. Allegations Against Ryan Fleming 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 that certain REIT investments recommended to them were not suitable, and resulted in losses. Arbitration claim alleged that Ryan Fleming recommended unsuitable investments for client’s IRA portfolios. It alleged breach of fiduciary duty and negligence, and request rescission, compensatory damages, lost opportunity costs, unspecified punitive damages, interest, costs and attorneys’ fees. Ryan Fleming Red Flags & Your Rights As An Investor Of course, Ryan Fleming 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 Ryan Fleming at Royal Alliance Associates, Hornor, Townsend & Kent, and Advisory Resource Group on alert to review carefully the activity and performance of their accounts and question whether Ryan Fleming has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates, Hornor, Townsend & Kent, and Advisory Resource Group also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Royal Alliance Associates Due To Ryan Fleming If you have questions about Royal Alliance Associates, Hornor, Townsend & Kent, Advisory Resource Group, and/or Ryan Fleming 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

Patrick Foley of MML Investors Services

DID PATRICK JOHN FOLEY CAUSE YOU INVESTMENT LOSSES? Patrick Foley Of MML Investors Services And Formerly With MSI Financial Services And Citizens Securities Has 4 Customer Complaints For Alleged Broker Misconduct Who is Patrick Foley of MML Investors Services? Patrick Foley (CRD #4807449) who is currently registered with MML Investors Services and located in Williamsville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Patrick Foley was associated with MSI Financial Services, Citizens Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Patrick Foley Customer Complaints Patrick Foley has been the subject of 4 customer complaints that we know about. Two of Patrick Foley’s 4 customer complaints were settled in favor of investors. Two of Patrick Foley’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Patrick Foley 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 Patrick Foley’s recommendation to purchase a variable life insurance policy was not appropriate. Customer alleged Patrick Foley’s recommendation to purchase two variable life insurance policies was not suitable and the policies were misrepresented. Customer alleged that when she purchased a variable life insurance policy, Patrick Foley provided incorrect information about her future tax obligations. The complainant alleged that Patrick Foley misled him, with regards to the purchase of his life policy. The complaint says his understanding was that his premiums were only required for two years, and that he could not afford to continue paying. The complainant stated he funded the life policy with annuities, and asked for all of his money back, plus interest from each payment made. Patrick Foley Red Flags & Your Rights As An Investor Of course, Patrick Foley 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 Patrick Foley at MML Investors Services, MSI Financial Services, and Citizens Securities on alert to review carefully the activity and performance of their accounts and question whether Patrick Foley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services, MSI Financial Services, and Citizens Securities also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At MML Investors Services Due To Patrick Foley If you have questions about MML Investors Services, MSI Financial Services, Citizens Securities, and/or Patrick Foley 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

Lorraine Frownfelter of Bankers Life Securities

DID LORRAINE MARIE FROWNFELTER CAUSE YOU INVESTMENT LOSSES? Lorraine Frownfelter Of Bankers Life Securities And Bankers Life Advisory Services Has A Customer Complaint For Alleged Broker Misconduct Who is Lorraine Frownfelter of Bankers Life Securities? Lorraine Frownfelter (CRD #6679543) who is currently registered with Bankers Life Securities, Bankers Life Advisory Services and located in Erie, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Lorraine Frownfelter Customer Complaint Lorraine Frownfelter 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 a written complaint dated April 29, 2020 and received by the Firm on May 5, 2020, addressed to Bankers Life and Casualty Company (BLC), an insurance company affiliate of the Firm, the son of a BLC client, who stated he was also the client’s POA, asked for BLC to contact him regarding an application for a BLC Premium Bonus Indexed Annuity (PBIA) allegedly filed on a fraudulent basis on behalf of his mother in April of 2019. BLC forwarded the allegation of forgery to its Special Investigation Unit where the claims of fraud and forgery are being reviewed. While the PBIA sold to [REDACTED] was not a security and was issued by BLC, the firm reported this complaint because the source of funding for the BLC annuity came from the sale of securities recommended by a registered representative of the firm and the complaint included an allegation of forgery. Lorraine Frownfelter’s customer complaint was denied and, to date, the customer has not taken any further action. Lorraine Frownfelter Red Flags & Your Rights As An Investor Of course, Lorraine Frownfelter 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 Lorraine Frownfelter at Bankers Life Securities and Bankers Life Advisory Services on alert to review carefully the activity and performance of their accounts and question whether Lorraine Frownfelter has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Bankers Life Securities and Bankers Life 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 Bankers Life Securities Due To Lorraine Frownfelter If you have questions about Bankers Life Securities, Bankers Life Advisory Services, and/or Lorraine Frownfelter 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 Follett Formerly With Edward Jones

DID STEVEN M. FOLLETT CAUSE YOU INVESTMENT LOSSES? Steven Follett Formerly With Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Steven Follett formerly with Edward Jones? Steven Follett (CRD #4753373) who was formerly registered with Edward Jones and located in Ft Worth, Texas is a subject of one of our many securities industry sales practice abuse investigations. Steven Follett Customer Complaint Steven Follett has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that the financial advisor Steven Follett failed to withdraw the client’s RMD as directed, causing the client to incur a tax penalty. Steven Follett’s customer complaint was denied and, to date, the customer has not taken any further action. Steven Follett Red Flags & Your Rights As An Investor Of course, Steven Follett 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 Follett at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Steven Follett 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 Steven Follett If you have questions about Edward Jones and/or Steven Follett 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

Wan Fong of Integral Financial

DID WAN CHING NANCY FONG CAUSE YOU INVESTMENT LOSSES? Wan Fong of Integral Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Wan Fong of Integral Financial? Wan Fong (CRD #5572030) who is currently registered with Integral Financial and located in San Jose, California is a subject of one of our many securities industry sales practice abuse investigations. Wan Fong Customer Complaint Wan Fong 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 customer bought the Credit Suisse note for $78.000 in her two accounts. Customer claimed this was unsuitable investment. Wan Fong’s customer complaint was denied and, to date, the customer has not taken any further action. Wan Fong Red Flags & Your Rights As An Investor Of course, Wan Fong 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 Wan Fong at Integral Financial on alert to review carefully the activity and performance of their accounts and question whether Wan Fong has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Integral Financial also raises questions about the brokerage firm’ssupervisory 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 Integral Financial Due To Wan Fong If you have questions about Integral Financial and/or Wan Fong 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

Nancy Foster of Securian Financial Services

DID NANCY MORRISON FOSTER CAUSE YOU INVESTMENT LOSSES? Nancy Foster Of Securian Financial Services And Formerly With NYLIFE Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Nancy Foster of Securian Financial Services? Nancy Foster (CRD #4964619) who is currently registered with Securian Financial Services and located in Midlothian, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securian Financial Services, Nancy Foster was associated with NYLIFE Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Nancy Foster Customer Complaint Nancy Foster 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 the separate variable annuity policies she purchased were not accurately explained by Nancy Foster and as a result she incurred an unexpected tax consequence. Nancy Foster’s customer complaint was denied and, to date, the customer has not taken any further action. Nancy Foster Red Flags & Your Rights As An Investor Of course, Nancy Foster 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 Nancy Foster at Securian Financial Services and NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Nancy Foster has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securian Financial Services and NYLIFE 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 Securian Financial Services Due To Nancy Foster If you have questions about Securian Financial Services, NYLIFE Securities, and/or Nancy Foster 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 Francoeur Formerly With Cambridge Investment Research

DID MICHAEL PAUL FRANCOEUR CAUSE YOU INVESTMENT LOSSES? Michael Francoeur Formerly With Cambridge Investment Research Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Francoeur formerly with Cambridge Investment Research? Michael Francoeur (CRD #5534184) who was formerly registered with Cambridge Investment Research and located in Somersworth, New Hampshire is a subject of one of our many securities industry sales practice abuse investigations. Michael Francoeur was also the subject of a FINRA investigation into whether he assisted a client with an investment that was not approved by the brokerage firm.  He refused to cooperate with the FINRA investigation and consented to the sanction and entry of findings that he refused to provide information requested by FINRA.  Accordingly, he was permanently barred from any further association with any member firm in any capacity. Michael Francoeur Customer Complaint Michael Francoeur 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 clients alleged misappropriation of their IRA funds resulting in surrender penalties and tax implications. Michael Francoeur’s customer complaint was denied and, to date, the customers have not taken any further action. Michael Francoeur Red Flags & Your Rights As An Investor Of course, Michael Francoeur 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 Francoeur at Cambridge Investment Research on alert to review carefully the activity and performance of their accounts and question whether Michael Francoeur has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research 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 Michael Francoeur If you have questions about Cambridge Investment Research and/or Michael Francoeur 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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