Mar 4, 2022

Shlomo Strugano of First Allied Securities, Inc and formerly with Kovack Securities

DID SHLOMO STRUGANO CAUSE YOU INVESTMENT LOSSES? Shlomo Strugano Formerly with First Allied Securities, Inc. And Kovack Securities, Inc. Has 5 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Shlomo Strugano formerly with First Allied Securities, Inc.? Shlomo Strugano (CRD #3108780) who was formerly registered with First Allied Securities, Inc. and located in Reseda, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Allied Securities, Inc., Shlomo Strugano was associated with Kovack Securities Inc. and 9 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. FINRA commenced an investigation into whether Shlomo Strugano forged or falsified customer signatures and initials on account and transaction documents. According to FINRA, Shlomo Strugano failed to appear and provide testimony requested by FINRA. Subsequently, FINRA entered into a consent agreement with Shlomo Strugano, without his admitting or denying the allegations, to a permanent bar from association with any member firm in the securities industry. First Allied Securities, Inc. Broker Misconduct In his career, Shlomo Struganohas been the subject of 6 customer complaints that we know about, 5 of those complaints were filed in the last two years to recover investment losses. Two of Shlomo Strugano’s 6 customer complaints were settled in favor of investors. One was denied by his former employer and the customer has not taken any action to date. There are currently 3 pending customer complaints filed against Shlomo Strugano’s former employers First Allied Securities, Inc. and Kovack Securities, Inc. for investment losses caused by his alleged misconduct. Allegations Against Shlomo Strugano 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 forgery. The client alleged that the representative misrepresented an additional contribution into an existing variable annuity and that he demanded rescission without surrender charges. The client alleges forgery and misrepresentation of his net worth in connection with a real estate investment. The claimant alleges financial advisor recommended unsuitable alternative investments and misappropriated money through an outside power of attorney entity.  Claimant alleges unsuitability, breach of fiduciary duty, negligence, misrepresentation, and elder abuse. The claimant alleges recommendation of unsuitable investments and forged signatures on account documents. The claimant alleges unauthorized transactions. Shlomo Strugano Red Flags & Your Rights as An Investor Of course, Shlomo Strugano 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 Shlomo Strugano at First Allied Securities, Inc. and Kovack Securities Inc. on alert to review carefully the activity and performance of their accounts and question whether Shlomo Strugano has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kovack Securities and First Allied Securities 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 First Allied Securities, Inc. If you have questions about First Allied Securities, Inc., Kovack Securities Inc.  and/or Shlomo Strugano 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

Luis Rosario of Oppenheimer & Co. Inc

DID LUIS ALBERTO ROSARIO CAUSE YOU INVESTMENT LOSSES? Luis Alberto Rosario with Oppenheimer & Co. Inc. Has 21 Customer Complaints For Alleged Broker Misconduct Who is Luis A. Rosario with Oppenheimer & Co. Inc.? Luis Rosario (CRD #4593449) who is currently registered with Oppenheimer & Co. Inc. and located in Fort Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co. Inc., Luis Rosario was associated with UBS Financial Services, Inc. and two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Oppenheimer & Co. Inc. Broker Misconduct In his career, Luis Rosario has been the subject of 21 customer complaints that we know about to recover investment losses. Seventeen of Luis Rosario’s 21 customer complaints were settled in favor of investors. There are currently 4 pending customer complaints filed against Luis Rosario’s former employer, UBS Financial Services, Inc. for investment losses caused by his alleged misconduct. Allegations Against Luis Rosario A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege that the recommendation to invest in and hold Puerto Rico closed-end funds in Puerto Rico bonds was unsuitable and that the account was over-concentrated in those investment. Claimants allege that the recommendation to invest in Puerto Rico funds and bonds was unsuitable and that the Puerto Rican investments were misrepresented. Claimants allege their investments and Puerto Rico closed-end funds and unsuitable, over-concentrated and misrepresented as safe invest. Claimants allege that the financial advisors recommended overly-concentrated positions in risky securities. Luis Rosario Red Flags & Your Rights As An Investor Of course, Luis Rosario 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 Luis Rosario at Oppenheimer & Co. Inc. and UBS Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Luis Rosario has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services, 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 Oppenheimer & Co. Inc. And UBS Financial Services, Inc. If you have questions about Oppenheimer & Co. Inc., UBS Financial Services, Inc. and/or Luis Rosario 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

Angelo Talebi of Independent Financial Group, LLC

DID ANGELO TALEBI CAUSE YOU INVESTMENT LOSSES? Angelo Talebi formerly with Independent Financial Group, LLC Has 36 Customer Complaints for Alleged Broker Misconduct Who is Angelo Talebi formerly with Independent Financial Group, LLC? Angelo Talebi (CRD #2243829) who was formerly registered with Independent Financial Group, LLC and located in Sherman Oaks, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Independent Financial Group, LLC, Angelo Talebi was associated with Royal Alliance Associates, Inc. and three other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. In December 2015, Angelo Talebi consented, without admitting or denying the allegations, to a 60-day suspension and $10,000 fine imposed by FINRA for allegedly exercising discretion without advising employer and trading a customer’s account online and another brokerage firm. Independent Financial Group, LLC Broker Misconduct In his career, Angelo Talebi has been the subject of 36 customer complaints that we know about to recover investment losses. Twenty-two of Angelo Talebi’s 36 customer complaints were settled in favor of investors. Thirteen complaints were denied by Angelo Talebi’s former employer’s in the customers took no action to date. There are currently 2 pending customer complaints filed against Angelo Talebi’s former employer Independent Financial Group, LLC for investment losses caused by his alleged misconduct. Allegations Against Angelo Talebi 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 her assets were invested in complex, risky, and costly investments that were not in line with her stated objectives, including, Real Estate Investment Trusts (“REITs”) and Business Development Companies (“BDCs”). The claimant alleges an appropriate variable annuity, BDC and REIT investments or recommended and misrepresented. The client alleges misrepresentation in connection with the purchase of an annuity and other alternative investments and that the investments were not suitable. Customers allege misrepresentation in connection with unsuitable recommendations to invest in variable annuities and REITs. Suitability, misrepresentation, negligence, violation of FINRA Rules, and breach of contract. Customer’s alleged misrepresentation and unsuitability in connection with the purchase of a limited partnership fund. The claimant alleges misrepresentation and unsuitability in connection with an investment in LEAF IV, a REIT, and a variable annuity. Misrepresentation, unsuitability in connection with an investment in a limited partnership, REIT, and variable annuity.  Additionally, the claimant alleged excessive trading and unsuitable use of margin. The claimant alleges unsuitability, and failure to disclose risks associated with limited partnership investments. Claimants allege mismanagement of securities accounts, including excessive trading, use of margin, over-concentration, and unsuitable investment recommendations. Angelo Talebi Red Flags & Your Rights as An Investor Of course, Angelo Talebi 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 Angelo Talebi at Independent Financial Group, LLC on alert to review carefully the activity and performance of their accounts and question whether Angelo Talebi has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Independent Financial Group, 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 Independent Financial Group, LLC If you have questions about Independent Financial Group, LLC and/or Angelo Talebiand 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

Kevin Wilson of Worden Capital Management LLC

DID KEVIN RICHARD WILSON CAUSE YOU INVESTMENT LOSSES? Kevin Richard Wilson with Worden Capital Management LLC Has 9 Customer Complaints For Alleged Broker Misconduct Who is Kevin R. Wilson with Worden Capital Management LLC? Kevin Wilson (CRD #3262701) who is currently registered with Worden Capital Management LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Worden Capital Management LLC, Kevin Wilson was associated with National Securities Corporation and Laidlaw & Company (UK) Ltd. and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Worden Capital Management LLC Broker Misconduct In his career, Kevin Wilson has been the subject of 9 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Three of Kevin Wilson’s 9 customer complaints were settled in favor of investors. Of the complaints, One was denied by his employer and to date the customer has not taken any further action. There are currently 5 pending customer complaints filed against Kevin Wilson’s current employer Worden Capital Management LLC for investment losses caused by his alleged misconduct. Allegations Against Kevin Wilson A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleges unsuitability with respect to certain private placement investment. The client alleges unsuitable recommendations stocks in private placements. Client alleges unsuitability and overconcentration of private placement, investment. Client alleges unauthorized trading. Kevin Wilson Red Flags & Your Rights As An Investor Of course, Kevin Wilson 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 Wilson at Worden Capital Management LLC, National Securities Corporation and Laidlaw & Company (UK) Ltd. on alert to review carefully the activity and performance of their accounts and question whether Kevin Wilson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Laidlaw & Company (UK) Ltd. 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 Worden Capital Management LLC, National Securities Corporation, Laidlaw & Company (UK) Ltd. If you have questions about Worden Capital Management LLC, National Securities Corporation, Laidlaw & Company (UK) Ltd. and/or Kevin Wilson 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

John Tarpinian of Paulson Investment Company, LLC

DID JOHN ALEXANDER TARPINIAN CAUSE YOU INVESTMENT LOSSES? John Alexander Tarpinian formerly with Paulson Investment Company, LLC Has 13 Customer Complaints for Alleged Broker Misconduct Who is John A. Tarpinian formerly with Paulson Investment Company, LLC? John Tarpinian (CRD #1013555) who was formerly registered with Paulson Investment Company, LLC 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, John Tarpinian was associated with Newport Coast Securities, Inc. and 9 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. In January 2018, John Tarpinian, settled an investigation of the United States Securities and Exchange Commission, without admitting or denying the allegations, that he engaged in undisclosed principal trades with advisory clients while he was associated with Newport Coast Securities, Inc. He was ordered to cease-and-desist those activities, pay $50,000, and disgorgement in a civil monetary penalty of $25,000.  Paulson Investment Company LLC Broker Misconduct In his career, John Tarpinian has been the subject of 13 customer complaints that we know about recover investment losses. Eleven of John Tarpinian’s 13 customer complaints were settled in favor of investors. There is currently one customer complaint pending against John Tarpinian’s former employer Paulson Investment Company, LLC for investment losses caused by his alleged misconduct in connection with the purchase of structured notes. Allegations Against John Tarpinian 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, common law fraud, breach of contract, negligent supervision, and breach of fiduciary duty. Claimants allege unsuitability related to bond transactions. Claimants allege unsuitability related to interest rate structured products. The client alleges mismanagement and unauthorized trading in his IRA account. Account related negligence, breach of fiduciary duty, misrepresentation, and breach of contract. The claimant alleges damages due to negligence, breach of fiduciary duty, conversion, fraud, and misrepresentation, breach of contract, and violations of industry standards and rules. Claims allege that representatives engage in unauthorized transactions and churned their accounts.  Further, certain documents did not contain authorized signatures. Claims allege that John Tarpinian made unsuitable recommendations to purchase structured notes. John Tarpinian Red Flags & Your Rights as An Investor Of course, John Tarpinian 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 Tarpinian at Paulson Investment Company, LLC and Newport Coast Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether John Tarpinian has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Paulson Investment Company, LLC and Newport Coast Securities, 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 Paulson Investment Company, LLC If you have questions about Paulson Investment Company LLC, Newport Coast Securities, Inc. and/or John Tarpinianand 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

Derrick Trussell of PFS Investments, Inc

DID DERRICK R. TRUSSELL CAUSE YOU INVESTMENT LOSSES? Derrick R. Trussell formerly with PFS Investments, Inc. Has 4 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Derrick R. Trussell formerly with PFS Investments, Inc? Derrick Trussell (CRD #5197550) who was formerly registered with PFS Investments, Inc. and located in San Antonio, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to PFS Investments, Inc., Derrick Trussell was associated with one other investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. In May 2017, Derrick Trussell was terminated by PFS investments, Inc. after the firm received an allegation that the representative engaged in an unapproved outside business activity and/or an undisclosed private securities transactions in which a client’s funds were used to purchase securities not offered by the firm without the client’s knowledge or consent In December 2018, Derrick Trussell allegedly failed to respond to a FINRA request for information and was suspended. Thereafter, he was automatically barred from Association with any FINRA member, in any capacity.  He is no longer working in the securities industry. In May 2019, Derrick Trussell was charged with 13 counts of securities fraud, 2 counts of money laundering, and 7 counts of securing execution of documents by deception. The charges are pending in Texas state court. PFS Investments, Inc. Broker Misconduct In his career, Derrick Trussell has been the subject of 4 customer complaints that we know about, all of those complaints were filed in the last two years to recover investment losses. All of Derrick Trussell’s 4 customer complaints were settled by PFS Investments, Inc. in favor of investors. Allegations Against Derrick Trussell 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 that Derrick Trussell misrepresented investments not sold by Primerica. The customer alleges that the representative misrepresented that she was investing money with Primerica. The customer alleges that Derrick Trussell made an unauthorized trade. Derrick Trussell Red Flags & Your Rights as An Investor Of course, Derrick Trussell 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 Derrick Trussell at PFS Investments, Inc. on alert to review carefully the activity and performance of their accounts and question whether Derrick Trussell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PFS Investments 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 PFS Investments, Inc. If you have questions about PFS Investments Inc. and/or Derrick Trusselland 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

Ronald Birnbaum of Advisory Group Equity Services Ltd.

DID RONALD DAVID BIRNBAUM CAUSE YOU INVESTMENT LOSSES? Ronald David Birnbaum with Advisory Group Equity Services Ltd. Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Ronald D. Birnbaum with Advisory Group Equity Services Ltd.? Ronald Birnbaum (CRD #2382580) who is currently registered with Advisory Group Equity Services Ltd. and located in Newton, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to Advisory Group Equity Services Ltd., Ronald Birnbaum was associated with four other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Advisory Group Equity Services Ltd. Broker Misconduct In his career, Ronald Birnbaum has been the subject of 6 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Two of Ronald Birnbaum’s 6 customer complaints were settled in favor of investors. There are currently 4 pending customer complaints filed against Ronald Birnbaum’s current employer Advisory Group Equity Services Ltd. for investment losses caused by his alleged misconduct. It appears that many of the complaints filed against Ronald Birnbaum relate to direct investments in private placements, limited partnership interests and tenant in common investments in the oil and gas and real estate sectors.  The most recent complaints appear to be related to GPB Capital Holdings, LLC sponsored private placements. The typical GPB investments were high risk, high commission (over 11%) and illiquid investments that were not registered with the SEC or any other regulator. These were unsuitable investments for unsophisticated investors at or near retirement primarily because of their illiquidity. Allegations Against Ronald Birnbaum A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants alleged unsuitable investments in breach of fiduciary duty with respect to direct investments in private placements and limited partnership interests involving the oil and gas and real estate industries. Claimants alleged unsuitable investments in private placements and limited partnership interests. Claimant alleged failure to conduct reasonable due diligence, overconcentration and unsuitable investment recommendations in private placements and limited partnership interests. Ronald Birnbaum Red Flags & Your Rights As An Investor Of course, Ronald Birnbaum 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 Ronald Birnbaum at Advisory Group Equity Services Ltd. on alert to review carefully the activity and performance of their accounts and question whether Ronald Birnbaum has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Advisory Group Equity Services Ltd. also raises questions about its 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 Advisory Group Equity Services Ltd. If you have questions about Advisory Group Equity Services Ltd. and/or Ronald Birnbaum 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

Karl Foust of H.D. Vest Investment Services

DID KARL RONALD FOUST JR CAUSE YOU INVESTMENT LOSSES? Karl Ronald Foust Jr formerly with H.D. Vest Investment Services Has 8 Customer Complaints For Alleged Broker Misconduct Who is Karl R. Foust Jr formerly with H.D. Vest Investment Services? Karl Foust (CRD #1010291) who was formerly registered with H.D. Vest Investment Services and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to H.D. Vest Investment Services, Karl Foust was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Karl Foust was recently suspended by FINRA for failure to comply with an arbitration award entered against him in the amount of $200,000, and failure to provide information concerning the status of his compliance with the arbitration award. The award related to his recommendation that the Claimant invest in Wimbleton Health Partners, LLC promissory note which was never repaid. Karl Foust allegedly did not disclose any potential conflicts of interest concerning his relationship with Wimbleton Health Partners, LLC. Claimant also alleges that the investment recommendation was unsuitable for her and the arbitrators apparently agreed by entering the award. H.D. Vest Investment Services Broker Misconduct In his career, Karl Foust 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. Five of Karl Foust’s 8 customer complaints were settled in favor of investors. There are currently 3 pending customer complaints filed against Karl Foust’s former employer H.D. Vest Investment Services for investment losses caused by his alleged misconduct. Allegations Against Karl Foust A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged negligence, breach of fiduciary duty, negligent supervision in violation of Chapter 517 of the Florida Securities and Investor Protection Act. Client alleged that registered representative recommended an investment in Wimbleton Health Partners, LLC which, according to the investor was an unsuitable and conflicted investment recommendation. Client alleged a registered representative recommended that she invest in Wimbleton Health Partners, LLC and Arrow rad. Karl Foust Red Flags & Your Rights As An Investor Of course, Karl Foust 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 Karl Foust at H.D. Vest Investment Services on alert to review carefully the activity and performance of their accounts and question whether Karl Foust has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at H.D. Vest Investment Services about Karl Foust also raises questions about its 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 H.D. Vest Investment Services If you have questions about H.D. Vest Investment Services and/or Karl Foust 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

Michael Greenfield of Newbridge Securities Corporation

DID MICHAEL ROBERT GREENFIELD CAUSE YOU INVESTMENT LOSSES? Michael Robert Greenfield with Newbridge Securities Corporation Has 8 Customer Complaints For Alleged Broker Misconduct Who is Michael R. Greenfield with Newbridge Securities Corporation? Michael Greenfield (CRD #5406611) who is currently registered with Newbridge Securities Corporation and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Newbridge Securities Corporation, Michael Greenfield was associated with Oppenheimer & Co., Inc. and 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, Michael Greenfield 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. Six of Michael Greenfield’s 8 customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against Michael Greenfield’s former employer Oppenheimer & Co. for investment losses caused by his alleged misconduct. Allegations Against Michael Greenfield A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged negligence, breach of contract, and breach of fiduciary duty relating to purchase of oil and gas master limited partnerships. Claimants alleged unsuitability, breach of fiduciary duty, breach of contract, fraud, failure to supervise in connection with the offer and sale of Puerto Rico bonds. Claimant alleged unsuitability misrepresentation respect to municipal and corporate bonds. Claimant alleged that securities were misrepresented. Client alleged that account executive recommended unsuitable investment in structured notes and closed-end funds. Claimant alleged unsuitable recommendations with respect to the purchase of Puerto Rico bonds. Michael Greenfield Red Flags & Your Rights As An Investor Of course, Michael Greenfield 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 Greenfield at Newbridge Securities Corporation and Oppenheimer & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Michael Greenfield has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Newbridge Securities Corporation and Oppenheimer & Co., Inc. about Michael Greenfield also raises questions about their 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 and Oppenheimer & Co. If you have questions about Newbridge Securities Corporation and Oppenheimer & Co., Inc. and/or Michael Greenfield 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

Nina Jessee of Cetera Advisors, LLC

DID NINA SUE JESSEE CAUSE YOU INVESTMENT LOSSES? Nina Sue Jessee formerly with Cetera Advisors LLC Has 24 Customer Complaints For Alleged Broker Misconduct Who is Nina S. Jessee formerly with Cetera Advisors LLC? Nina Jessee (CRD #1484808) who was formerly registered with Cetera Advisors LLC and located in Abingdon, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors LLC, Nina Jessee was associated with Investors Capital Corp. and 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Nina Jessee not only had problems with customer complaints, but problems with the regulators and her former employer. In June 2019, Nina Jessee was permanently barred by FINRA from association with any member firm in any capacity in the securities industry because she failed to appear for FINRA on-the-record testimony in connection with FINRAs investigation of customer related to alternative investments in allegations that Nina Jessee failed to disclose outside business activities. The investigation obviously arose out of the numerous complaints referred to above and disclosure of her resignation after it was alleged she violated Cetera Advisors, LLC, policy and not disclosing outside business activities prior to engaging in them. Nina Jessee Broker Misconduct In her career, Nina Jessee has been the subject of 24 customer complaints that we know about. Nineteen of Nina Jessee’s 24 customer complaints were settled in favor of investors. Five of those complaints were denied by her employer and the customers to date have done taking any further action.  We understand that many of the complaints related to Real Estate Investment Trusts (REITs). The allegation that she failed to disclose outside business activities required under FINRA rules is serious. FINRA and brokerage firms require their registered representatives to disclose all outside business activities, particularly those related to the offer and sale of securities because brokerage firms are required to exercise due diligence and make sure all investments are approved before they are offered to the public. The offer and sale of securities not pre-approved by the brokerage firm is known as “selling away” and the firm can be liable its brokers who engage in that misconduct. Allegations Against Nina Jessee A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged overconcentration in REITs. Claimants allegations were focused on the suitability of investment recommendations in REITs. Claimants allege that the registered representative misrepresented investments and over-concentrated their portfolio in REITs. Nina Jessee Red Flags & Your Rights As An Investor Of course, Nina Jessee 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 Nina Jessee at Cetera Advisors LLC and Investors Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Nina Jessee has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors LLC and Investors Capital Corp. about Nina Jessee also raises questions about their 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 Advisors LLC If you have questions about Cetera Advisors LLC, Investors Capital Corp. and/or Nina Jessee 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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