Mar 4, 2022

Darren Kubiak of Kalos Capital, Inc

DID DARREN MICHAEL KUBIAK CAUSE YOU INVESTMENT LOSSES? Darren Michael Kubiak formerly with Kalos Capital, Inc. Has 8 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Darren M. Kubiak formerly with Kalos Capital, Inc.? Darren Kubiak (CRD #1239086) who was formerly registered with Kalos Capital, Inc. and located in Alpharetta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kalos Capital, Inc., Darren M. Kubiak was associated with two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Not only has Darren Kubiak’s former employer’s had securities industry regulatory problems but he himself has been suspended by FINRA, fined and ordered to make restitution to customers. Apparently he recommended the purchase of leveraged and inverse exchange traded funds (LIETFs).  Allegedly, Darren Kubiak, did not understand the risk and features associated with LIETFs. These investments that should only be held for a very short period and yet all the customers he recommended them to held the LIETFs for an average of 722 days. Darren Kubiak allegedly did not understand that LIETFs whose value over time and that the losses are compounded the longer they are held due to the resetting of valuations each day. He served a suspension but never re-entered the business after was concluded earlier this year. Kalos Capital, Inc. Broker Misconduct In his career, Darren Kubiak has been the subject of 8 customer complaints that we know about, all of those complaints were filed in the last two years to recover investment losses. Two of Darren Kubiak’s 8 customer complaints have been settled in favor of investors. There are currently 6 pending customer complaints filed against Darren Kubiak’s former employer Kalos Capital, Inc. for investment losses caused by his alleged misconduct. Allegations Against Darren Kubiak A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged unsuitable recommendations, negligence and breach of fiduciary duty related to private equity in alternative investments and Darren Kubiak’s former employer Kalos Capital, Inc. paid the investor $250,000 for all of the alleged losses. Claimant alleged unsuitable investment recommendations and failure to do to due diligence related to GPB Capital Holdings sponsored private placement investments. Claimant alleges that the investments recommended were unsuitable and that the brokerage and broker failed to conduct reasonable due diligence, and made material misrepresentations and omissions about the GPB private placements. Client claims that the investments are suitable, over-concentrated and that there was a failure to conduct due diligence prior to selling the GPB private placements to clients. Claimants alleged that the financial advisor made unsuitable investment recommendations related to private debts and business development companies. Darren Kubiak Red Flags & Your Rights As An Investor Of course, Darren Kubiak 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 Darren Kubiak at Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether Darren Kubiak has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kalos Capital, Inc. about Darren Kubiak 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 Kalos Capital, Inc. If you have questions about Kalos Capital, Inc. and/or Darren Kubiak 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

Genevieve Mar of Berthel, Fisher & Company Financial Services, Inc

DID GENEVIEVE GARCIA MAR CAUSE YOU INVESTMENT LOSSES? Genevieve Garcia Mar with Berthel, Fisher & Company Financial Services, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Genevieve G. Mar with Berthel, Fisher & Company Financial Services, Inc.? Genevieve Mar (CRD #2744037) who is currently registered with Berthel, Fisher & Company Financial Services, Inc. and located in Northbrook, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Berthel, Fisher & Company Financial Services, Inc., Genevieve Mar was associated with the 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Berthel, Fisher & Company Financial Services, Inc. Broker Misconduct In her career, Genevieve Mar has been the subject of 6 customer complaints that we know about, 3 of those complaints were filed in the last two years to recover investment losses. One of the complaints was arbitrated, and an award was entered against her for $175,000. Two of Genevieve Mar’s 6 customer complaints were settled by her former employers in favor of investors. There are currently 3 pending customer complaints filed against Genevieve Mar’s current employer Berthel, Fisher & Company Financial Services, Inc. for investment losses caused by her alleged misconduct. The arbitration proceeding involved the offer and sale of promissory notes issued by a company whose assets were later frozen by the United States Securities and Exchange Commission. Claimants in that arbitration, alleged that Genevieve the Mar breached her fiduciary duty, made misrepresentations and was negligent in the offer and sale of those securities. One Claimant was awarded $50,000 and the other $75,000 full compensation of the investments. They made through Genevieve Mar. Allegations Against Genevieve Mar A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleged that the investments were not suitable, and that the high risk associated with those real estate investments was not fully explained at the time they were offered and sold to the investors. The customer alleged that the Tenant in Common real estate investments purchased through Genevieve Mar were unsuitable and that the representative did not fully disclose all the risks associated with them. Client alleges that the registered representative mismanaged her account by investing in illiquid real estate and business development companies. Client alleges that Genevieve Mar placed him in illiquid REITs that stopped  paying dividends that were inconsistent with his investment objectives. Claimants alleged that the investments recommended, REITs, variable annuities, promissory notes and business development companies, were unsuitable and misrepresented. Genevieve Mar Red Flags & Your Rights As An Investor Of course, Genevieve Mar 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 Genevieve Mar at Berthel, Fisher & Company Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Genevieve Mar has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about Genevieve Mar at Berthel, Fisher & Company Financial Services, Inc. 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 Berthel, Fisher & Company Financial Services, Inc. If you have questions about Berthel, Fisher & Company Financial Services, Inc. and/or Genevieve Mar 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

David Melilli of Cambridge Investment Research, Inc

DID DAVID JOHN MELILLI CAUSE YOU INVESTMENT LOSSES? David John Melilli formerly with Cambridge Investment Research, Inc. and SagePoint Financial, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is David J. Melilli formerly with Cambridge Investment Research, Inc.? David Melilli (CRD #5254172) who was formerly registered with Cambridge Investment Research, Inc. and located in Moorestown, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cambridge Investment Research, Inc., David Melilli was associated with SagePoint Financial, Inc. and LPL Financial LLC and four other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. In January 2020, David Melilli was terminated by Cambridge Investment Research, Inc. for allegedly placing discretionary trades without the written authority. Such conduct, if it occurred, is a violation of FINRA Rule 2510.  David Melilli claims he completed the incorrect paperwork for a non-discretionary commission account instead of a discretionary managed account but it appears as employee did not believe as he was discharged from employment at that firm. SagePoint Financial, Inc. Broker Misconduct In his career, David Melilli has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. One of those complaints was recently denied by his former employer, and to date customer has not taken any further action. There are currently two pending customer complaints filed against David Melilli’s former employer, SagePoint Financial, Inc., for investment losses caused by his alleged misconduct. Allegations Against David Melilli A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client’s alleged unauthorized trading involving options. Claimants alleged unauthorized trading, breach of fiduciary duty, unsuitability, churning, negligence, common law fraud, and violation of the federal securities laws. David Melilli Red Flags & Your Rights As An Investor Of course, David Melilli did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of David Melilli at Cambridge Investment Research, Inc., SagePoint Financial, Inc. and LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether David Melilli has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SagePoint Financial, Inc. about David Melilli 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 Cambridge Investment Research, Inc. and SagePoint Financial, Inc. If you have questions about Cambridge Investment Research, Inc., Sagepoint Financial, Inc., LPL Financial LLC and/or David Melilli 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

Matthew Perry of Stifel, Nicolaus & Company, Inc

DID MATTHEW ALEXANDER PERRY CAUSE YOU INVESTMENT LOSSES? Matthew Alexander Perry formerly with Stifel, Nicolaus & Company, Incorporated Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Matthew A. Perry formerly with Stifel, Nicolaus & Company, Incorporated? Matthew Perry (CRD #5985300) who was formerly registered with Stifel, Nicolaus & Company, Incorporated and located in Columbia, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel, Nicolaus & Company, Incorporated, Matthew Perry was associated with Wells Fargo Advisors, LLC both are investment brokerage firms with a history of customer complaints and securities industry regulatory problems. Stifel, Nicolaus & Company, Incorporated Broker Misconduct In his career, Matthew Perry has been the subject of 3customer complaints that we know about, all of those complaints were filed in the last two years to recover investment losses. All of Matthew Perry’s 3 customer complaints were settled in favor of investors. Allegations Against Matthew Perry A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged that the registered representative made unauthorized and unsuitable transactions in common and preferred stocks and options. Client alleged the transactions in July and August 2018 were not authorized. Customer alleged that the registered representative did not follow his stated goals and did not disclose the risk associated with options trading. Matthew Perry Red Flags & Your Rights As An Investor Of course, Matthew Perry 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 Matthew Perry at Stifel, Nicolaus & Company, Incorporated and Wells Fargo Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Matthew Perry has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company, Incorporated in such a short period 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 Stifel, Nicolaus & Company, Incorporated If you have questions about Stifel, Nicolaus & Company, Incorporated, Wells Fargo Advisors, LLC and/or Matthew Perry 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

Eric Weschke of Kalos Capital, Inc

DID ERIC PETER WESCHKE CAUSE YOU INVESTMENT LOSSES? Eric Peter Weschke with Kalos Capital, Inc. Has 16 of Customer Complaints For Alleged Broker Misconduct Who is Eric P. Weschke with Kalos Capital, Inc.? Eric Weschke (CRD #2486324) who is currently registered with Kalos Capital, Inc. and located in Setauket, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kalos Capital, Inc., Eric Weschke was associated with 6other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Not only did Eric Weschke’s former employers have problems with the regulators, but so did he in Ohio and Virginia. The Ohio division of securities found him to be “not of good business repute” and denied him a securities salesperson license in that state. Likewise, the State of Virginia, based upon Eric Weschke’s disciplinary history, required his employer and he too agreed to a heightened supervision program where his activities were specially monitored for a 12 month period. Kalos Capital, Inc. Broker Misconduct In his career, Eric Weschke has been the subject of 16 customer complaints that we know about, 3 of those complaints were filed in the last two years to recover investment losses. Twelve of Eric Weschke’s 16 customer complaints were settled in favor of investors. Two of the customer complaints were denied by his former employer and the customers took no further action. There are currently the 2 pending customer complaints filed against Eric Weschke’s current employer Kalos Capital, Inc. for investment losses caused by his alleged misconduct. Allegations Against Eric Weschke A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: In February 2019, the financial advisor allegedly recommended investments in GPB Capital Holding sponsored private placements which client alleged was in breach of the financial advisors fiduciary duty and a breach of contract. Client alleged unsuitable investment recommendations and breach of fiduciary duty related to investments in real estate, private debt in business development companies. Claimant alleged, fraud, deceit, negligence, breach of fiduciary duty, breach of contract, misrepresentation, unsuitability, and churning related to various securities transactions. Client alleged the unauthorized use of margin in his account. Claimants alleged anti-fraud violation and unsuitable recommendations relating to use of margin purchase securities in their accounts. Eric Weschke Red Flags & Your Rights As An Investor Of course, Eric Weschke 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 Eric Weschke at Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether Eric Weschke has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kalos Capital, Inc. about Eric Weschke 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 Kalos Capital, Inc. If you have questions about Kalos Capital, Inc. and/or Eric Weschke 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 Wyshak of Raymond James & Associates, Inc

DID JOHN CHARLES WYSHAK CAUSE YOU INVESTMENT LOSSES? John Charles Wyshak formerly with Raymond James & Associates, Inc. Has 4  Customer Complaints For Alleged Broker Misconduct Who is John C. Wyshak formerly with Raymond James & Associates, Inc.? John Wyshak (CRD #1272260) who was formerly registered with Raymond James & Associates, Inc. and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James & Associates, Inc., John Wyshak was associated with Wedbush Securities Inc. and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Wyshak has had his share problems with FINRA as well. In January 2020, he was suspended by FINRA for failing to comply with an arbitration settlement and/or failing to satisfactorily respond to FINRAs request for information concerning payment of that settlement. That sanction was later increased to a permanent bar in April 2020. John Wyshak is now prohibited from working with any FINRA member firm in any capacity. Raymond James & Associates, Inc. Broker Misconduct In his career, John Wyshak has been the subject of 4 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. Two of John Wyshak’s 4 customer complaints were settled in favor of investors. One of those 4 complaints was denied by his former employer and a customer is not taken any action since that time There is currently one pending customer complaint remaining against John Wyshak’s former employer Wedbush Securities, Inc. for investment losses caused by his alleged misconduct. Allegations Against John Wyshak A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: A Raymond James & Associates, Inc. customer alleged that John Wyshak over-concentrated investments in its account in breach of his fiduciary duties and that further he committed fraud, conversion, churning, violated industry rules and fraudulently concealed his misconduct.  Raymond James took that complaint seriously and settled it for $700,000. At Gruntal and Co., LLC.  the client alleged that John Wyshak engaged in excessive trading in his account. Another Raymond James and Associates, Inc. client alleged John Wyshak engaged in unauthorized trading, suitability, excessive commissions, violation of industry standards and rules of conduct. The firm recently denied that complaint and the customers yet to take action. John Wyshak Red Flags & Your Rights As An Investor Of course, John Wyshak 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 Wyshak at Raymond James & Associates, Inc. and Wedbush Securities Inc. on alert to review carefully the activity and performance of their accounts and question whether John Wyshak has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates, Inc. and Wedbush Securities Inc. about John Wyshak 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 Raymond James & Associates, Inc. If you have questions about Raymond James & Associates, Inc., Wedbush Securities Inc. and/or John Wyshak 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 Bankhead of Morgan Stanley

DID JOHN MATTHEW BANKHEAD CAUSE YOU INVESTMENT LOSSES? John Matthew Bankhead with Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is John M. Bankhead with Morgan Stanley? John Bankhead (CRD #2129638) who is currently registered with Morgan Stanley and located in Boston, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, John Bankhead was associated with UBS Financial Services Inc. and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his career, John Bankhead has been the subject of 5 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Three of John Bankhead’s 5 customer complaints were settled in favor of investors. Two customer complaints were denied by his former employer and the customers took no further action. Allegations Against John Bankhead A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Three clients alleged that the financial advisor omitted disclosures on their 10b5-1 plans. UBS Financial Services, Inc., settled those cases for $127,346; $204,081; and $65,571. Financial advisor contends he did nothing wrong and that the trading desk was responsible for the errors.  The client alleged a financial advisor placement and unsuitable annuity investment. Client alleged financial consultant failed to follow instructions with regard to investment allocation. John Bankhead Red Flags & Your Rights As An Investor Of course, John Bankhead 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 Bankhead at Morgan Stanley and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether John Bankhead has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about John Bankhead at UBS Financial Services Inc. 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 Morgan Stanley If you have questions about Morgan Stanley, UBS Financial Services Inc. and/or John Bankhead 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

Diana Ceylan of Oppenheimer & Co. Inc

DID DIANA ELIZABETH CEYLAN CAUSE YOU INVESTMENT LOSSES? Diana Elizabeth Ceylan with Oppenheimer & Co. Inc. Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Diana E. Ceylan with Oppenheimer & Co. Inc.? Diana Ceylan (CRD #2491764) who is currently registered with Oppenheimer & Co. Inc. and located in Saddle Brook, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co. Inc., Diana Ceylan was associated with 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Oppenheimer & Co. Inc. Broker Misconduct In her career, Diana Ceylan has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last two years to recover investment losses. Two of those customer complaints were denied by Oppenheimer & Co.; it appears that one customer pursued the action, and the other did not. There is currently one pending customer complaint filed against Diana Ceylan’s current employer Oppenheimer & Co. Inc. for investment losses caused by her alleged misconduct. Allegations Against Diana Ceylan A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleges that sales instructions were not followed. Claimants assert violations of Section 10(b) and rule 10b-5, fraud, usury duty, breach of duty of good faith and fair dealing, negligence, violation of FINRA and SEC rules, breach of contract, and failure to supervise in connection with an alleged failure to sell stock is instructed. Diana Ceylan Red Flags & Your Rights As An Investor Of course, Diana Ceylan 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 Diana Ceylan at Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Diana Ceylan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. Inc. about Diana Ceylan 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 Oppenheimer & Co. Inc. If you have questions about Oppenheimer & Co. Inc. and/or Diana Ceylan 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

Darrin Farrow of Triad Advisors, Inc

DID DARRIN BARTON FARROW CAUSE YOU INVESTMENT LOSSES? Darrin Barton Farrow formerly with Royal Alliance Associates Has 3 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Darrin B. Farrow formerly with Triad Advisors, Inc.? Darrin Farrow (CRD #1995240) who was formerly registered with Triad Advisors, Inc. and located in Rocky River, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Triad Advisors, Inc., Darrin Farrow was associated with Royal Alliance Associates, Inc. and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Darrin Farrow is no longer employed in the securities industry. In June 2016, he consented, without admitting or denying, the findings of FINRA that he founded an entity providing consulting services to the cannabis industry, that he also formed a company that grows and supplies cannabis to dispensaries. FINRA’s dispute with Darrin Farrow arose out of his failure to disclose and get approval of private securities transactions with firm customers who invested over $1 million in the companies he formed. The undisclosed participation in private securities transactions violated the FINRA Rules 3270 and 2010. As a result of these rule violations, Darrin Farrow is permanently barred from association with any FINRA member firm in any capacity. He is also subject to a cease and State of Ohio Royal Alliance Associates Broker Misconduct In his career, Darrin Farrow 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. All those complaints arose in connection with his employment at Royal Alliance Associates. Two of Darrin Farrow’s 6 customer complaints were settled in favor of investors. There are currently 3 pending customer complaints filed against Darrin Farrow’s former employer, Royal Alliance Associates for investment losses caused by his alleged misconduct. Allegations Against Darrin Farrow A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Sale of the product that was not approved by Royal Alliance Associates. Claimant alleged that an annuity recommendation made by financial advisor was not suitable. The customer alleged misrepresentation regard to non-traded REIT investments. Darrin Farrow Red Flags & Your Rights As An Investor Of course, Darrin Farrow 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 Darrin Farrow at Triad Advisors, Inc. and Royal Alliance Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Darrin Farrow has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about Darrin Farrow at Royal Alliance Associates, 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 Royal Alliance Associates, Inc. If you have questions about Triad Advisors, Inc. and Royal Alliance Associates, Inc. and/or Darrin Farrow 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

Bret Hartman of LPL Financial, LLC

DID BRET ALEXANDER HARTMAN CAUSE YOU INVESTMENT LOSSES? Bret Alexander Hartman Formally With LPL Financial, LLC Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Bret A. Hartman Formerly With LPL Financial, LLC.? Bret Hartman (CRD #4502046) who is currently registered with Berthel, Fisher & Company Financial Services, Inc. and located in Cortland, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. LPL Financial, LLC Broker Misconduct In his career, Bret Hartman has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. All 3 of those customer complaints occurred in connection with his employment at LPL Financial, LLC. All of Bret Hartman’s 3 customer complaints were settled in favor of investors. Allegations Against Bret Hartman A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Unsuitability and misrepresentation of structured product investments in an IRA account. Claimants allege that an income-producing investments in a structured notes was unsuitable for them. Customer’s alleged misrepresentation of unsuitable structured notes. Bret Hartman Red Flags & Your Rights As An Investor Of course, Bret Hartman 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 Bret Hartman at Berthel, Fisher & Company Financial Services, Inc. and LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Bret Hartman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about Bret Hartman at LPL Financial LLC 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 LPL Financial, LLC If you have questions about Berthel, Fisher & Company Financial Services, Inc., LPL Financial LLC and/or Bret Hartman 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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