Mar 4, 2022

Dennis Ayer of Hilltop Securities

DID DENNIS PHILLIP AYER CAUSE YOU INVESTMENT LOSSES? Dennis Phillip Ayer Formerly with Hilltop Securities Inc., And Oppenheimer & Co., Inc. Has 7 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Dennis P. Ayer formerly with Hilltop Securities Inc., Oppenheimer & Co., Inc.? Dennis Ayer (CRD #5365176) who was formerly registered with Hilltop Securities Inc. and located in Beverly Hills, California is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Hilltop Securities Inc., Dennis Ayer was associated with Oppenheimer & Co., Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated and four other firms with a history of customer complaints and securities industry regulatory problems. Hilltop Securities Inc. Broker Misconduct In his career, Dennis Ayer has been the subject of 7 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. One of Dennis Ayer’s 7 customer complaints was settled in favor of investors. There are currently 6 pending customer complaints filed against Dennis Ayer’s former employers Hilltop Securities Inc., Oppenheimer & Co. and Merrill Lynch, Pierce Fenner & Smith for investment losses caused by his alleged misconduct. Allegations Against Dennis Ayer A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleges excessive risk relative to clients stated objectives. Suitability related to over-concentration in Foresight Energy, LLC. Claimant alleges claims for breach of fiduciary duty, negligence, and negligent misrepresentation concerning investments in Foresight Energy, LLC. Unsuitable recommendations and misrepresentations. Claimants assert claims for failure to supervise, breach of fiduciary duty, respondeat superior, or, unsuitability, breach of contract, violations of the California securities laws, violation of FINRA rules, fraud, and other common law claims relating to purchases of certain stocks and bonds of energy companies. Claimant alleged investment advice suitability issues related to excessive risk in strategy deviation. Dennis Ayer Red Flags & Your Rights As An Investor Of course, Dennis Ayer 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 Ayer at Hilltop Securities Inc., Oppenheimer & Co., Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Dennis Ayer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Hilltop Securities Inc., Oppenheimer & Co., Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated also raises questions about 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 Hilltop Securities Inc. If you have questions about Hilltop Securities Inc., Oppenheimer & Co., Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Dennis Ayerand 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 4, 2022

John Pronovost of Cambridge Investment Research, Inc

DID JOHN STEPHEN PRONOVOST CAUSE YOU INVESTMENT LOSSES? John Stephen Pronovost with Cambridge Investment Research, Inc. Has 14 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is John S. Pronovost with Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.? John Pronovost (CRD #1990612) who is currently registered with Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. and located in Watertown, Connecticut is a subject of one of our many securities industry sales practices abuse investigations.   Prior to Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc., John Pronovost was associated with three other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. Broker Misconduct In his career, John Pronovost has been the subject of 14 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. One case went to arbitration and an award was entered against John Pronovost for $41,270 relating to an investment in LJM Preservation and Growth Fund.  Eight of John Pronovost’s 14 customer complaints were settled in favor of investors. Four of those complaints were denied by his employer and the customers thus far have not taken any further action. There is currently one pending customer complaint filed against John Pronovost’s current employers Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. for investment losses caused by his alleged misconduct. Allegations Against John Pronovost A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege advisor-sold them unsuitable investments. Clients allege the sale of LJM funds was unsuitable. Client’s alleged misrepresentation and suitability of a mutual fund investment. The client alleges the fund was misrepresented and unsuitable for her needs. The client alleges a mutual fund purchased in 2016 is unsuitable for his risk tolerance. The client alleges the financial professional recommended the purchases of 2 REITs that have lost money and that she is unable to sell the investments. The client alleges unauthorized sale of LJM funds was unsuitable, as well as nondisclosure of fees associated with that fund. John Pronovost Red Flags & Your Rights As An Investor Of course, John Pronovost 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 John Pronovost at Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether John Pronovost has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. also raises questions about 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, Inc. and Cambridge Investment Research Advisors, Inc. If you have questions about Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, Inc., and/or John Pronovost 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 4, 2022

Apostolos Pitsironis of Janney Montgomery Scott

DID APOSTOLOS NICOLAS PITSIRONIS CAUSE YOU INVESTMENT LOSSES? Apostolos Nicolas Pitsironis formerly with Janney Montgomery Scott and Wells Fargo Has 7 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Apostolos N. Pitsironis formerly with Janney Montgomery Scott and Wells Fargo? Apostolos Pitsironis (CRD #2804907) who was formerly registered with Janney Montgomery Scott LLC and Wells Fargo Clearing Services, LLC and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. He was permanently barred by FINRA for allegedly converting $411,000 in customer funds. Prior to Janney Montgomery Scott LLC and Wells Fargo Clearing Services, LLC, Apostolos Pitsironis was associated with one other investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Janney Montgomery Scott LLC and Wells Fargo Clearing Services, LLC Broker Misconduct In his career, Apostolos Pitsironis has been the subject of 7 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. All 7 of Apostolos Pitsironis’ customer complaints were settled in favor of investors for investment losses caused by his alleged misconduct. Allegations Against Apostolos Pitsironis A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Clients verbally complained that funds loaned to the financial advisor have only been partially paid back. The client alleges that the financial advisor took a loan from the client and failed to repay the borrowed amount and interest. The client verbally complained that funds loaned to the financial advisor from his IRA with a commitment the funds would be timely restored the will avoid any taxes, have only been partially paid back. The client alleged that the financial advisor transferred assets from their account to a third-party bank account, not in the client’s name. Apostolos Pitsironis Red Flags & Your Rights As An Investor Of course, Apostolos Pitsironis 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 Apostolos Pitsironis at Janney Montgomery Scott LLC and Wells Fargo Clearing Services, LLC alert to review carefully the activity and performance of their accounts and question whether Apostolos Pitsironishas engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Janney Montgomery Scott LLC and Wells Fargo Clearing Services, LLC also raises questions about 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 Janney Montgomery Scott LLC and Wells Fargo Clearing Services, LLC If you have questions about Janney Montgomery Scott LLC and Wells Fargo Clearing Services, LLC and/or Apostolos Pitsironis 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 4, 2022

Lawrence Labine of Newbridge Securities Corporation

DID LAWRENCE MICHAEL LABINE CAUSE YOU INVESTMENT LOSSES? Lawrence Michael Labine formerly with Newbridge Securities Corporation Has 28 Customer Complaints for Alleged Broker Misconduct Who is Lawrence M. Labine formerly with Newbridge Securities Corporation? Lawrence Labine (CRD # 1279935) who was formerly with Newbridge Securities Corporation and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. His license to act as a securities salesman was revoked in Arizona. He was permanently barred from the association as a broker-dealer by FINRA after entry of an AWC without admitting or denying the allegations. He was also permanently barred by the SEC connection with his offer and sale of debentures in a startup company.   Prior to Newbridge Securities Corporation, Lawrence Labine was associated with two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Newbridge Securities Corporation Broker Misconduct In his career, Lawrence Labine has been the subject of 28 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Two arbitration awards were entered against his employer for his misconduct.  Twelve of Lawrence Labine’s 28 customer complaints were settled in favor of investors. Six of those complaints were denied by his employers and the customers took no further action.  There are currently 8 pending customer complaints filed against Lawrence Labine’s former employers Newbridge Securities Corporation and Dewaay Financial Networkfor investment losses caused by his alleged misconduct. Allegations Against Lawrence Labine A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleges improper investment recommendations. The claimant alleges breach of fiduciary duty, unsuitable investments, failure to disclose associated risk in alternative investments. Claimants allege unsuitability, breach of fiduciary duty, breach of contract, common law fraud, negligent supervision, and violation of the California securities laws. Customers allege that they were recommended unsuitable real estate investment trust investments. Claimants allege mismanagement and unsuitable investments. The claimant alleged negligence, breach of fiduciary duty, misrepresentations, and unsuitable investment recommendations. The claimant alleged unsuitable investment recommendations of real estate limited partnerships.  Claimant alleged breach of fiduciary duty, misrepresentation and omissions, negligence, and violation of the Arizona securities laws. Customers allege that the representative recommended unsuitable high-risk investments. Customers allege that they lost money through investing in a variable annuity’s error unsuitable for them. The customer alleged that the investments in mutual funds in his advisory account were inappropriate. The customer alleged that variable annuities recommended by the broker or unsuitable for his retirement account. Lawrence Labine Red Flags & Your Rights As An Investor Of course, Lawrence Labine 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 Lawrence Labine at Newbridge Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Lawrence Labinehas engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Newbridge Securities Corporation also raises questions about 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 Newbridge Securities Corporation If you have questions about Newbridge Securities Corporation and/or Lawrence Labineand 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 4, 2022

William Thon of Merrill Lynch

DID WILLIAM FRANCIS THON CAUSE YOU INVESTMENT LOSSES? William Francis Thon formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 19 Customer Complaints for Alleged Broker Misconduct Who is William F. Thon formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated? William Thon (CRD #1485103) who was formerly registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Guaynabo, Puerto Rico is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch, Pierce, Fenner & Smith Incorporated, William Thon was associated with three other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Misconduct In his career, William Thon has been the subject of 19 customer complaints that we know about, 8 of those complaints were filed in the last year to recover investment losses. Thirteen of William Thon’s 19 customer complaints were settled in favor of investors. There are currently 6 pending customer complaints filed against William Thon’s former employer Merrill Lynch, Pierce, Fenner & Smith Incorporated for investment losses caused by his alleged misconduct. Allegations Against William Thon A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleges unsuitable investment recommendations and misrepresentations. The claimant alleges that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that its account was over-concentrated in Puerto Rico investments.  It also alleges that the risk of investing in and concentration on Puerto Rico investments was misrepresented. Claimants allege they were damaged as a result of recommendations to purchase and hold various unsuitable Puerto Rico municipal bonds and closed-end Puerto Rico municipal bond funds, such as the aqueduct bonds, Cofina bonds, electric power Authority bonds, employee retirement system bonds, the investor’s tax-free funds, and fixed income funds. The claimant alleges unsuitability, overconcentration, and misrepresentation involving the recommendation of closed-end funds. Claimants allege their investments and closed-end bond funds and unsuitable, over-concentrated, and the result of misrepresentations and omissions of material facts, including the fact that the closed-end bond funds were bonds guaranteed by the Puerto Rico government. The claimant alleges unsuitability, over-concentration, misrepresentations involving the recommendation of closed-end funds and Puerto Rico bank preferred shares. William Thon Red Flags & Your Rights As An Investor Of course, William Thon 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 William Thon at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether William Thonhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated also raises questions about 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 Merrill Lynch, Pierce, Fenner & Smith Incorporated If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated, and/or William Thon 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 4, 2022

Robert Scott of Emerson Equity, LLC

DID ROBERT SCOTT SMITH CAUSE YOU INVESTMENT LOSSES? Robert Scott Smith with Emerson Equity, LLC Has 6 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Robert S. Smith with Emerson Equity, LLC? Robert Smith (CRD #1412333) who is currently registered with Emerson Equity LLC and located in Newberg, Oregon is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Emerson Equity LLC, Robert Smith was associated with Concorde Investment Services, LLC and six other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Emerson Equity, LLC Broker Misconduct In his career, Robert Smith has been the subject of 8 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Four of Robert Smith’s 8 customer complaints were settled in favor of investors. Two of those customer complaints were denied by his employer and to date, the customers have not taken any further action.  There are currently 2 pending customer complaints filed against Robert Smith’s current employer Emerson Equity, LLC for investment losses caused by his alleged misconduct. Allegations Against Robert Smith A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleges unsuitable recommendations, fraud, breach of contract, negligent supervision, breach of fiduciary duty, negligence, and violation of the Oregon securities laws related to the purchase of various private placement investments. The claimant is alleging unsuitable recommendations, fraud, failure to supervise, and negligence in relation to VII Peaks and GPB Automotive investments. The client is alleging unsuitable sales and negligence, relating to private placement investments. Misrepresentation, unsuitable investment recommendations, breach of fiduciary duty. The allegations of unsuitability and an over-concentration of a real estate investment. The claim alleges negligence, breach of fiduciary duty, violation of the Oregon Securities Act, and breach of contract in relation to investments in various GPB programs. The claim alleges a violation of the Nebraska Securities Act, FINRA Rule 21, 20, FINRA Rule 2111, breach of fiduciary duty, negligence, negligent misrepresentation, and vicariously liability in connection with investments in GPB automotive portfolio, LP in 2017. Robert Smith Red Flags & Your Rights as An Investor Of course, Robert Smith 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 Smith at Emerson Equity LLC on alert to review carefully the activity and performance of their accounts and question whether Robert Smith has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Emerson Equity LLC and Concorde Investment Services, LLC also raises questions about 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 Emerson Equity, LLC If you have questions about Emerson Equity, LLC, Concorde Investment Services, LLC and/or Robert Smith 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 4, 2022

Daniel Raupp of Concorde Investment Services, LLC

DID DANIEL PHILIP RAUPP CAUSE YOU INVESTMENT LOSSES? Daniel Philip Raupp with Concorde Investment Services, LLC Has 6 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Daniel P. Raupp with Concorde Investment Services, LLC? Daniel Raupp (CRD #4079107) who is currently registered with Concorde Investment Services, LLC and located in Port Jefferson, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Concorde Investment Services, LLC, Daniel Raupp was associated with and three other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Concorde Investment Services, LLC Broker Misconduct In his career, Daniel Raupp has been the subject of 7 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. One of Daniel Raupp’s 7 customer complaints was settled in favor of investors. One was denied by his employer and the customer has yet to take any action.  There are currently 4 pending customer complaints filed against Daniel Raupp’s current employer Concorde Investment Services, LLC for investment losses caused by his alleged misconduct. Allegations Against Daniel Raupp A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege unsuitability, negligence, and breach of fiduciary duty in relation to investments made with the firm as well as illiquid non-traded REIT purchased prior to and transferred to the firm. The claimant alleges that various investments, recommended by the representative were unsuitable. The claimant alleges that various real estate limited partnership investments, recommended by the representative were unsuitable. The claimant alleges breach of fiduciary duty, misrepresentation, and suitability relating to investments made in July 2017 through February 2018. The client is alleging misrepresentation, fraud, and suitability in relation to Limited partnership investments made in June and October 2017. Daniel Raupp Red Flags & Your Rights as An Investor Of course, Daniel Raupp 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 Daniel Raupp at Concorde Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Daniel Raupp has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Concorde Investment Services, LLC also raises questions about 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 Concorde Investment Services, LLC If you have questions about Concorde Investment Services, LLC and/or Daniel Raupp 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 4, 2022

Andre Davis of Paulson Investment Company, LLC

DID ANDRE PIERRE DAVIS CAUSE YOU INVESTMENT LOSSES? Andre Pierre Davis formerly with Paulson Investment Company LLC, First Standard Financial Company LLC, and National Securities Corporation Has 8 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Andre P. Davis formerly with Paulson Investment Company LLC? Andre Davis (CRD #1417097) who was formerly registered with Paulson Investment Company LLC, First Standard Financial Company LLC, and National Securities Corporation and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Paulson Investment Company LLC, Andre Davis was associated with First Standard Financial Company LLC and National Securities Corporation and 5other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Paulson Investment Company LLC Broker Misconduct In his career, Andre Davis has been the subject of 16 customer complaints that we know about, 8 of those complaints were filed in the last year to recover investment losses. Six of Andre Davis’ 16 customer complaints were settled in favor of investors. Three complaints were denied by his employers and the customers did not take any further action.  There are currently 7 pending customer complaints filed against Andre Davis’ former employer Paulson Investment Company, LLC for investment losses caused by his alleged misconduct. Allegations Against Andre Davis A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleges churning and unsuitable trading. The claimant alleged unsuitable recommendations. The claimant alleges that the financial advisor misrepresented investments to him and guaranteed in investment against loss. Customer alleged broker made unauthorized transactions, unsuitable investments, excessive trading, excessive commissions, and misrepresentations related to his accounts. The claimant alleged that the broker used high-pressure sales tactics and also made unsuitable recommendations, misrepresentations, and omissions of fact. The claimant alleged fraud, breach of fiduciary duties, negligence, and aiding and abetting. The claimant alleged excessive trading, unsuitable investments in unauthorized trading in common and preferred stocks. Andre Davis Red Flags & Your Rights as An Investor Of course, Andre Davis 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 Andre Davis at Paulson Investment Company LLC, First Standard Financial Company LLC, and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Andre Davis has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Paulson Investment Company LLC, First Standard Financial Company LLC, and National Securities Corporation also raises questions about 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 Paulson Investment Company LLC If you have questions about Paulson Investment Company LLC, First Standard Financial Company LLC, and National Securities Corporation and/or Andre Davis 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 4, 2022

Jerry Raines of HD Vest Investment Services

DID JERRY DAVIS RAINES CAUSE YOU INVESTMENT LOSSES? Jerry Davis Raines formerly with HD Vest Investment Services Has 17 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Jerry D. Raines formerly with HD Vest Investment Services? Jerry Raines (CRD # 4578689) who was formerly registered with HD Vest Investment Services and located in Kilgore, Texas is a subject of one of our many securities industry sales practice abuse investigations.  Prior to HD Vest Investment Services, Jerry Raines has associated with two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. HD Vest Investment Services Broker Misconduct In his career, Jerry Raines has been the subject of 17 customer complaints that we know about, all of those complaints were filed in the last two years to recover investment losses. Fourteen of Jerry Raines’ 17 customer complaints were settled in favor of investors. Three of the customer complaints filed against Jerry Raines’ former employer HD Vest Investment Services for investment losses caused by his alleged misconduct were denied by his employer and to date, the customers have not taken any further action. Allegations Against Jerry Raines A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Raines sold claimants, Woodbridge Mortgage Investment Funds 1 and 2.  The allegations include unsuitable recommendations and misrepresentation. Claimants allege the Representative misrepresented the risk associated with investing in Woodbridge Group of Companies, LLC, and also allege the product into which they invested was not suitable. Claimants allege that the advisor-sold and investment, Woodbridge Mortgage Fund that was unauthorized by the broker-dealer. Jerry Raines sold claimant, Woodbridge Pre-settlement Funding, LLC.  The allegations include unsuitable recommendations and misrepresentations. Claimants alleged that the representative misrepresented Woodbridge Mortgage Investment Fund, and failed to conduct reasonable due diligence on the unregistered security. Jerry Raines Red Flags & Your Rights As An Investor Of course, Jerry Raines 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 Jerry Raines at HD Vest Investment Services on alert to review carefully the activity and performance of their accounts and question whether Jerry Raines has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at HD Vest Investment Services also raises questions about 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 HD Vest Investment Services If you have questions about HD Vest Investment Services and/or Jerry Raines 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 4, 2022

Donald Woods of Thurston Spring Financial

DID DONALD STEPHEN WOODS CAUSE YOU INVESTMENT LOSSES? Donald Stephen Woods formerly with Thurston Springer Financial Has 4 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Donald S. Woods formerly with Thurston Springer Financial? Donald Woods (CRD #727894) who was formerly registered with Thurston Springer Financial and located in Louisville, Kentucky is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Thurston Springer Financial, Donald Woods was associated with LPL Financial, LLC and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Thurston Springer Financial Broker Misconduct In his career, Donald Woods has been the subject of 11 customer complaints that we know about, 5 of those complaints were filed in the last year to recover investment losses. Nine of Donald Woods’ 11 customer complaints were settled in favor of investors. One customer complaint was denied by his employer and to date, the customer is not taking any further action.  There are currently 2 pending customer complaints filed against Donald Woods’ former employer Thurston Springer Financial for investment losses caused by his alleged misconduct. Donald Woods was suspended by FINRA for allegedly submitting applications to purchase REITs that overstated the customer’s liquid net worth in order to circumvent his member firm’s restrictions; the FINRA findings also state that Donald Woods did not have a reasonable basis for recommending that the customers purchased the REITs which were inconsistent with the customer’s investment profile’s. Allegations Against Donald Woods A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege they wanted to purchase low-risk investments, but were encouraged to invest in risky business development companies and REITs through ongoing misrepresentations, which cause them monetary losses.  They further allege losses in connection with a variable annuity transaction.  Finally, they alleged that LPL Financial failed to adequately supervise Donald Woods. Customers allege misrepresentation and unsuitable investments in connection with 2 alternative investments, a REIT, and a Business Development Company. The customer alleges excessive selling of variable annuities, misrepresenting or failing to disclose material facts, unsuitability of products, and alteration of account profiles. The customer alleges misrepresentation of financial information, unsuitable investments, unwarranted fees, and failure to invest in a timely manner. Customers allege misrepresentation, unsuitable investments, failure to invest in a timely manner, and losses and accounts.  Customers also allege some documents were altered and specifically alleged they do not recognize certain signatures or initials and other signatures appear to be photocopied. The customer alleges misrepresentation of a structured product. Donald Woods Red Flags & Your Rights As An Investor Of course, Donald Woods 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 that should put all current and former customers of Donald Woods at Thurston Springer Financial on alert to review carefully the activity and performance of their accounts and question whether Donald Woods has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Thurston Springer Financial also raises questions about 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 Thurston Springer Financial If you have questions about Thurston Springer Financial, LPL Financial LLC and/or Donald Woodsand 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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