Mar 4, 2022

Thomas McDonald of McDonald Partners, LLC

DID THOMAS MARION MCDONALD CAUSE YOU INVESTMENT LOSSES? Thomas Marion McDonald with McDonald Partners, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Thomas M. McDonald with McDonald Partners, LLC? Thomas McDonald (CRD #326904) who is currently registered with McDonald Partners, LLC and located in Cleveland, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to McDonald Partners LLC, Thomas McDonald was associated with 10 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. In the past, Thomas McDonald was censured for failing to reasonably supervise the activities of an employee under his supervision. McDonald Partners, LLC Broker Misconduct In his career, Thomas McDonald has been the subject of 2 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. One of Thomas McDonald’s customer complaints was settled in favor of investors. There is one pending customer complaint filed against Thomas McDonald’scurrent employer McDonald Partners, LLC for investment losses caused by his alleged misconduct. Allegations Against Thomas McDonald A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants alleged that the financial advisor did not provide sufficient information regarding the source of funds raised 4, and use to close, a contingency offering, and did not provide accurate information regarding the status of the underlying project. The claimant alleged that Thomas McDonald did not disclose all material facts in connection with the claimant’s investment in a private placement offering.  You Thomas McDonald Red Flags & Your Rights as An Investor Of course, Thomas McDonald 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 Thomas McDonald at McDonald Partners, LLC on alert to review carefully the activity and performance of their accounts and question whether Thomas McDonald has engaged in any stockbroker misconduct that may have caused them investment losses. The two customer complaints at McDonald Partners, LLC about Thomas McDonald also raises questions about supervisory practices, which is no surprise because it appears that Thomas McDonald was supervising himself. 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 McDonald Partners LLC If you have questions about McDonald Partners LLC and/or Thomas McDonald 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

Ken Balser of Cetera Advisors, LLC

DID KEN ALAN BALSER CAUSE YOU INVESTMENT LOSSES? Ken Alan Balser formerly with Cetera Advisors, LLC Has 4 Customer Complaints for Alleged Broker Misconduct in the Past 3 Years Who is Ken A. Balser formerly with Cetera Advisors, LLC? Ken Balser (CRD #704053) who was formerly registered with Cetera Advisors, LLC and located in Colorado Springs, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors, LLC, Ken Balser was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ken Balser has had his share of regulatory problems as well.  In fact, his license has been revoked by the Colorado Division of Securities and he consented to a FINRA permanent bar from association with any member firm in any capacity.  Both regulatory actions arose out of an alleged undisclosed and unapproved investment solicitation by Ken Balzer that no less than 17 of his clients invest in Tesoro Del Alma, an alleged gold mine investment. When FINRA requested his testimony in connection with its investigation, he refused to appear and testify, another FINRA Rule 8210 violation which warranted, the permanent bar by itself. Undoubtedly, the regulatory investigations triggered the termination of his employment at Cetera Advisors, LLC.  The alleged recommendations that his clients invest in the gold mine would not only be a violation of FINRA Rules but firm policies and procedures as well. Cetera Advisors, LLC Broker Misconduct In his career, Ken Balser has been the subject of 4 customer complaints that we know about, 1 of those complaints were filed in the last year to recover investment losses. All of Ken Balser’s customer complaints were settled in favor of investors. Allegations Against Ken Balser A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer’s alleged violations of federal and Pennsylvania securities laws, Pennsylvania Unfair Trade Practices Act, violation of Colorado Securities and Consumer Protection Acts, breach of contract, common law fraud, breach of fiduciary duty, and gross negligence related to an investment in a gold mine. The customer alleged violation of federal and Colorado securities laws, breach of contract, common law fraud, breach of fiduciary duty, negligence, and gross negligence related to a private placement, investment. Claimants alleged violations of federal, Colorado, and South Carolina securities laws, breach of contract, common law fraud, breach of fiduciary duty, negligence, and gross negligence related to a gold mine investment. The client alleged unsuitable investment recommendations in violation of the Wyoming and Colorado securities laws, breach of contract, breach of fiduciary duty, common law fraud, and negligence related to a private placement investment. Ken Balser Red Flags & Your Rights as An Investor Of course, Ken Balser 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 Ken Balser at Cetera Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Ken Balser has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Cetera Advisors, 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 Cetera Advisors, LLC If you have questions about Cetera Advisors, LLC and/or Ken Balser 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

James Daughtry of Kestra Investment Services, LLC

DID JAMES BLAKE DAUGHTRY CAUSE YOU INVESTMENT LOSSES? James Blake Daughtry formerly with Kestra Investment Services, LLC Has 3 Customer Complaints for Alleged Broker Misconduct In the Past Year Who is James B. Daughtry formerly with Kestra Investment Services, LLC? James Daughtry (CRD #3272282) who was formerly registered with Kestra Investment Services, LLC and located in Dothan, Alabama is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kestra Investment Services, LLC, James Daughtry was associated with Ameriprise Financial Services, Inc. and 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Daughtry has had his own regulatory problems. Apparently, he was contacted by FINRA to appear and give testimony in connection with the investigation of potentially fraudulent and unauthorized transactions in his customer’s accounts.  Daughtry refused to appear and give testimony which by itself is a violation of FINRA rules and grounds for an automatic suspension and potential permanent bar from association with any member firm in the securities industry. Rather than testify, James Daughtry chose to consent to a permanent bar sanction for his refusal to appear for the on-the-record testimony. Kestra Investment Services, LLC Broker Misconduct In his career, James Daughtry 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. There are all currently pending customer complaints filed against James Daughtry’s former employer Kestra Investment Services, LLC for investment losses caused by his alleged misconduct. Allegations Against James Daughtry A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The plaintiffs alleged that James Daughtry solicited them to open an account with a third-party registered investment adviser who the SEC found to have been engaged in fraud. The client alleged unauthorized transactions, misrepresentations, negligence, and breach of fiduciary duties. The investors alleged they lost approximately $1.5 million as a result of James Daughtry’s solicitation of them to open an account with a third-party registered investment adviser who would be SEC found to have been engaged in fraud. James Daughtry Red Flags & Your Rights as An Investor Of course, James Daughtry 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 James Daughtry at Kestra Investment Services, LLC and Ameriprise Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether James Daughtry has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kestra 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 Kestra Investment Services, LLC If you have questions about Kestra Investment Services, LLC and Ameriprise Financial Services, Inc., and/or James Daughtryand 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

Jason Dworak of UBS Financial Services, Inc

DID JASON MATTHEW DWORAK CAUSE YOU INVESTMENT LOSSES? Jason Matthew Dworak with UBS Financial Services, Inc. Has 3 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Jason M. Dworak with UBS Financial Services, Inc.? Jason Dworak (CRD #2434370) who is currently registered with UBS Financial Services, Inc. and located in Lincoln, Nebraska is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Inc., Jason Dworak was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services, Inc. Broker Misconduct In his career, Jason Dworakhas been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. It appears that all 3 of the most recent complaints relate to the UBS Financial Services, Inc. Yield Enhancement Strategy otherwise known as the UBS-YES strategy.  The 4th complaint was denied by his former employer and the customer did not pursue any legal action. The 3 customer complaints filed against Jason Dworak’s current employer UBS Financial Services, Inc. for investment losses caused by his alleged misconduct are currently pending. Allegations Against Jason Dworak 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 the financial advisor churned his account. Three claimants in separate arbitrations have alleged unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy in a wrap fee account. Jason Dworak Red Flags & Your Rights as An Investor Of course, Jason Dworak 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 Jason Dworakat UBS Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jason Dworakhas 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 UBS Financial Services, Inc. If you have questions about UBS Financial, Services, Inc. and/or Jason Dworakand 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

Kirk Gill of Taylor Capital Management, Inc

DID KIRK J. GILL CAUSE YOU INVESTMENT LOSSES? Kirk J. Gill formerly with Taylor Capital Management, Inc., 1st Financial Equity Corporation, And Morgan Stanley Has 17 Customer Complaints for Alleged Broker Misconduct Who is Kirk J. Gill formerly with Taylor Capital Management, Inc., First Financial Equity Corporation, and Morgan Stanley? Kirk Gill (CRD #2291503) who was formerly registered with Taylor Capital Management Inc. and located in Tucson, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to Taylor Capital Management, Inc., Kirk Gill was associated with First Financial Equity Corporation and Morgan Stanley, and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. After numerous complaints were filed, one of his former employers, 1st Financial Equity Corporation had concerns regarding his alleged in sales practice misconduct and decided he needed an enhanced heightened supervision plan. Instead of agreeing to the plan, Kirk Gill resigned and his employment was terminated at that firm. Kirk Gill’s employment at Taylor Capital Management, Inc. did not last very long as well. He is no longer employed in the securities industry. Taylor Capital Management, Inc. Broker Misconduct In his career, Kirk Gill has been the subject of 17 customer complaints that we know about, 4 of those complaints were filed in the last two years to recover investment losses. All of those complaints were filed against Kirk Gill in connection with his past employment at Morgan Stanley. Thirteen of Kirk Gill’s 17 customer complaints were settled in favor of investors. Three of those complaints were denied by Morgan Stanley and the customers to no further action.  There is currently one pending customer complaint filed against Kirk Gill’s former employer Morgan Stanley for investment losses caused by his alleged misconduct. Allegations Against Kirk Gill 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 investment recommendations in connection with common and preferred stock transactions. Claimants alleged unsuitable energy stock investment recommendations. The client complained about and over-concentration in oil stocks. Claimant alleged unsuitable recommendations of direct investments in private placements and limited partnership interests. Claimant alleged unsuitable investment recommendations in exchange-traded funds. The claimant alleges that the financial advisor made unsuitable recommendations that resulted in the over-concentration of her investments and high-risk equities. Kirk Gill Red Flags & Your Rights as An Investor Of course, Kirk Gilldid does 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 Kirk Gill at Taylor Capital Management, Inc., First Financial Equity Corporation and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Kirk Gill has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Morgan Stanley about Kirk Gill 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 Taylor Capital Management Inc. If you have questions about Taylor Capital Management Inc., First Financial Equity Corporation, Morgan Stanley and/or Kirk Gill 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

Jeffrey Goodstein of Morgan Stanley

DID JEFFREY ALAN GOODSTEIN CAUSE YOU INVESTMENT LOSSES? Jeffrey Alan Goodstein with Morgan Stanley Has [#] Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Jeffrey A. Goodstein with Morgan Stanley? Jeffrey Goodstein (CRD # 4536646) 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, Jeffrey Goodstein was associated with UBS Financial Services Inc. and another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his career, Jeffrey Goodstein has been the subject of the 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. All of Jeffrey Goodstein’s customer complaints arose in connection with his employment at UBS Financial Services, Inc. in that brokerage firm settled all of those complaints in favor of investors. Allegations Against Jeffrey Goodstein The allegations made in the FINRA reported arbitration claim settlements for investment losses for the same in all 3 customer complaints and that is Jeffrey Goodstein omitted certain disclosures connection with a 10 b5-1 plan. A 10 b5-1 plan is a method by which certain insiders may sell securities not be subject to certain violations of the law related to insider-trading or 10 b-16 violations. Jeffrey Goodstein blamed the trading desk for the 3 complaints, but apparently UBS Financial Services, Inc. decided that was not the case to report the violations on his record. Jeffrey Goodstein Red Flags & Your Rights as An Investor Of course, Jeffrey Goodstein did does 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 Jeffrey Goodsteinat Morgan Stanley and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Goodsteinhas 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 Morgan Stanley And UBS Financial Services, Inc. If you have questions about Morgan Stanley and UBS Financial Services, Inc. and/or Jeffrey Goodsteinand 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

Gary Hammond of Hornor, Townsend & Kent, Inc

DID GARY WAYNE HAMMOND CAUSE YOU INVESTMENT LOSSES? Gary Wayne Hammond formerly with Hornor, Townsend & Kent, Inc. Has 10 Customer Complaints for Alleged Broker Misconduct Who is Gary W. Hammond formerly with Hornor, Townsend & Kent, Inc.? Gary Hammond (CRD #2660432) who was formerly registered with Hornor, Townsend & Kent, Inc. and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Hornor, Townsend & Kent, Inc., Gary Hammond was associated with MML Investors Services, LLC and MSI Financial Services, Inc. and two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Hornor, Townsend & Kent, Inc. Broker Misconduct In his career, Gary Hammond has been the subject of 10 customer complaints that we know about, 2 of those complaints were filed in the last two years to recover investment losses. Four of those customer complaints were denied by his former employer and the customer took no further action.  There are currently 6 pending customer complaints filed against Gary Hammond’s former employer MSI Financial Services, Inc., formerly known as MetLife Securities for investment losses caused by his alleged misconduct. Allegations Against Gary Hammond All of the investors alleged Unfair and Deceptive Trade Practices and state securities fraud violations for the financial advisors’ recommendation to invest in the private securities transactions in a fictitious entity. Gary Hammond Red Flags & Your Rights as An Investor Of course, Gary Hammond 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 Gary Hammond at Hornor, Townsend & Kent, MML Investors Services, LLC and MSI Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Gary Hammond has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at MSI Financial Services, Inc., formerly MetLife 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 Hornor, Townsend & Kent, Inc., MML Investors, Services, LLC, and MSI Financial Services, Inc. If you have questions about Hornor, Townsend & Kent, Inc., MML Investors Services, LLC, MSI Financial Services, Inc., and/or Gary Hammond 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

Jonathan Hendrickson of Thrivent Investment Management, Inc

DID JONATHAN NORMAN HENDRICKSON CAUSE YOU INVESTMENT LOSSES? Jonathan Norman Hendrickson with Thrivent Investment Management, Inc. Has 3 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Jonathan N. Hendrickson with Thrivent Investment Management, Inc.? Jonathan Hendrickson (CRD #4683563) is currently registered with Thrivent Investment Management, Inc. and located in Northborough, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations.   Thrivent Investment Management, Inc. Broker Misconduct In his career, Jonathan Hendrickson has been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last two years to recover investment losses. Two of Jonathan Hendrickson’s 4 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Jonathan Hendrickson’s current employer Thrivent Investment Management, Inc. for investment losses caused by his alleged misconduct. Allegations Against Jonathan Hendrickson A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged a registered representative failed to follow instructions in February 2020 to redeem sub-accounts in variable annuities in a timely fashion which resulted in market losses. The customer alleged a registered representative misrepresented features of a variable universal life insurance policy contract. Customers alleged a registered representative misrepresented the features and benefits of the guaranteed minimum withdrawal benefit rider included within their variable annuity contracts. The customer alleged a registered representative misrepresented tax considerations in connection with the purchase of a variable universal life insurance policy contract. Jonathan Hendrickson Red Flags & Your Rights as An Investor Of course, Jonathan Hendrickson 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 Jonathan Hendricksonat Thrivent Investment Management Inc. on alert to review carefully the activity and performance of their accounts and question whether Jonathan Hendricksonhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Thrivent Investment Management 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 Thrivent Investment Management Inc. If you have questions about Thrivent Investment Management Inc. and/or Jonathan Hendrickson 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

James Kelly of UBS Financial Services, Inc

DID JAMES C. KELLY CAUSE YOU INVESTMENT LOSSES? James C. Kelly with UBS Financial Services, Inc. Has [#] Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is James C. Kelly with UBS Financial Services, Inc.? James Kelly (CRD #4362408) who is currently registered with UBS Financial Services, Inc. and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Inc., James Kelly was associated with Credit Suisse Securities (USA) LLC and another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. UBS Financial Services, Inc. Broker Misconduct In his career, James Kelly 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 of those complaints appear to be related to a UBS Financial Services, Inc. Yield Enhancement Strategy known as the UBS-YES strategy. All 3 customer complaints filed against James Kelly’s current employer UBS Financial Services, Inc. for investment losses caused by his alleged misconduct are pending. Allegations Against James Kelly The allegations made in the 3 FINRA reported arbitrations that are pending complaints for investment losses are the same: Claimants allege unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy in a house wrap fee account. James Kelly Red Flags & Your Rights as An Investor Of course, James Kelly 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 James Kellyat UBS Financial Services, Inc. and Credit Suisse Securities (USA) LLC on alert to review carefully the activity and performance of their accounts and question whether James Kelly has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at UBS Financial Services Inc. about James Kelly 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 UBS Financial Services, Inc. If you have questions about UBS Financial Services, Inc., Credit Suisse Securities (USA) LLC and/or James Kelly 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 Orlando of SW Financial

DID JOHN ANTHONY ORLANDO CAUSE YOU INVESTMENT LOSSES? John Anthony Orlando With SW Financial Has 5 Customer Complaints for Alleged Broker Misconduct Who is John A. Orlando with SW Financial? John Orlando (CRD #2002197) who is currently registered with SW Financial and located in Lighthouse Point, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to SW Financial, John Orlando was associated with Joseph Gunnar & Co. LLC, Westpark Capital, Inc. and Newport Coast Securities, Inc., and 9 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.    Westpark Capital & Newport Coast Securities Broker Misconduct In his career, John Orlando has been the subject of 5 customer complaints that we know about. One of John Orlando’s 5 customer complaints went through an arbitration hearing and an arbitration award was entered in favor of investors.   One complaint was denied by his former employer, and to date, no action has been taken. There are currently 3 pending customer complaints filed against John Orlando’s former employers, Westpark Capital, Inc. and Newport Coast Securities, Inc., for investment losses caused by his alleged misconduct. Allegations Against John Orlando A sample of the allegations made in the FINRA reported arbitration claim, settlements, and pending complaints for investment losses are as follows: Claimants alleged that registered representatives made unsuitable investment recommendations and over-concentrated their assets into one sector, oil and gas, resulting in an $85,000 arbitration award in the investor’s favor. The client alleged breach of fiduciary duty and negligence relating to an investment in the Horizon Fund. Clients alleged that the registered representative churned their accounts and made unsuitable investment recommendations in common and preferred stock and private placement transactions. The client alleges excessive trading, unsuitable investments, excessive concentration, and unsuitable use of margin in his account. John Orlando Red Flags & Your Rights as An Investor Of course, John Orlando 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 Orlandoat SW Financial, Joseph Gunnar & Co. LLC, Westpark Capital, Inc., and Newport Coast Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether John Orlando has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Westpark Capital, Inc. 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 SW Financial, Westpark Capital, Inc., and Newport Coast Securities, Inc. If you have questions about SW Financial, Westpark Capital, Inc., Newport Coast Securities, Inc. and/or John Orlando 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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