Mar 4, 2022

Jeffrey Weiner of Pruco Securities, LLC

DID JEFFREY PAUL WEINER CAUSE YOU INVESTMENT LOSSES? Jeffrey Paul Weiner Currently with Pruco Securities, LLC Has 9 Customer Complaints for Alleged Broker Misconduct Who is Jeffrey P. Weiner with Pruco Securities, LLC? Jeffrey Weiner (CRD #2476604) who is currently registered with Pruco Securities, LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Pruco Securities, LLC, Jeffrey Weiner was associated with MML Investors Services, LLC and MSI Financial Services, Inc. and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Pruco Securities, LLC Broker Misconduct In his career, Jeffrey Weiner 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. One of Jeffrey Weiner’s 9 customer complaints was settled in favor of investors. The other 8 complaints were denied and to date, the arbitration claims have not been filed. Allegations Against Jeffrey Weiner 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 the representative misrepresented a variable life insurance policy he purchased. The complainant alleged that his former representative misrepresented his variable universal life insurance policy. The customer alleged that Jeffrey Weiner misrepresented his variable universal life insurance policy which was funded by the surrender of 2 other universal life insurance policies.  The customer alleges he was not told about the surrender charge that was incurred at the time of the switch.  Although it was not alleged, this customer may have been the victim of “twisting.” The customer alleged that the representative this letter with regard to the future premium costs of her variable universal life insurance policy. The customer alleged.  The advisor did not fully disclose the premium payment requirements in connection with the variable universal life insurance policy. The customer alleged that Jeffrey Weiner did not explain the fact that premiums in connection with a variable life insurance policy could increase in the future. The client alleges that she was not advised about the surrender fees connection with her variable annuity. Jeffrey Weiner Red Flags & Your Rights as An Investor Of course, Jeffrey Weiner 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 Jeffrey Weinerat Pruco Securities, LLC, MML Investors Services, LLC and MSI Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Weiner has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at MSI Financial Services, Inc. about Jeffrey Weiner 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 Pruco Securities, LLC, MML Investors, Services, Inc., and MSI Financial Services, Inc.  If you have questions about Pruco Securities, LLC, MML Investors Services, LLC, MSI Financial Services, Inc. and/or Jeffrey Weiner 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

Mark Barrand of Ameriprise Financial Services, LLC

DID MARK ALLEN BARRAND CAUSE YOU INVESTMENT LOSSES? Mark Allen Barrand Of Ameriprise Financial Services, LLC And Formerly with Cetera Advisors, LLC Has 7 Customer Complaints for Alleged Broker Misconduct Who is Mark A. Barrand with Ameriprise Financial Services, LLC? Mark Barrand (CRD #4586528) who is currently registered with Ameriprise Financial Services, LLC and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, LLC, Mark Barrand was associated with Cetera Advisors LLC and another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Ameriprise Financial Services, LLC Broker Misconduct In his career, Mark Barrand has been the subject of 7 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Six of the 7 customer complaints arose in connection with his employment at Cetera Advisors, LLC. Two of Mark Barrand’s 7 customer complaints were settled in favor of investors. Three of the customer complaints were denied by his former employer Cetera Advisors and to date, customers have not taken any further action. There are currently 2 pending customer complaints filed against Mark Barrand’s former employer Cetera Advisors, LLC for investment losses caused by his alleged misconduct. Allegations Against Mark Barrand A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Failure to perform due diligence, unsuitable investment recommendations, fraud, breach of fiduciary duty, and negligence in connection with the recommendation and purchase of direct investments and limited partnership interests. Complainants or customers of the former registered representative and assert claims for misrepresentation, breach of fiduciary duty, professional negligence, and violation of securities regulations connection with the purchase of a variable annuity. The clients alleged that the terms of their variable annuity contracts and unit investment trusts were misrepresented by the financial advisor. Misrepresentation, and failure to follow instructions in the placement of orders related to mutual funds. The customer alleges unsuitable investment recommendations of real estate securities in business development companies. The customer alleges that respondents recommended unsuitable investments, namely, Oppenheimer SteelPath MLP Alpha Plus Fund and Northstar Health Care REIT investments. Mark Barrand Red Flags & Your Rights as An Investor Of course, Mark Barrand 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 Mark Barrand at Ameriprise Financial Services, LLC and Cetera Advisors LLC on alert to review carefully the activity and performance of their accounts and question whether Mark Barrand has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors LLC about Mark Barrandalso 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 Ameriprise Financial Services, LLC And Cetera Advisors, LLC If you have questions about Ameriprise Financial Services, LLC, Cetera Advisors LLC, and/or Mark Barrandand 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

Christopher Bice of Sagepoint Financial, Inc

DID CHRISTOPHER R. BICE CAUSE YOU INVESTMENT LOSSES? Christopher R. Bice with Sagepoint Financial, Inc. Has 3 Customer Complaints for Alleged Broker Misconduct in the Past 3 Years Who is Christopher R. Bice with Sagepoint Financial, Inc.? Christopher Bice (CRD #3222439) who is currently registered with Sagepoint Financial, Inc. and located in Greensboro, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Sagepoint Financial, Inc., Christopher Bice was associated with 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sagepoint Financial, Inc. Broker Misconduct In his career, Christopher Bice has been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last 3 years to recover investment losses. One of Christopher Bice’s customer complaints was denied by his current employer, and to date, no action has been taken by the customer.  There are currently 3 pending customer complaints filed against Christopher Bice’s current employer Sagepoint Financial, Inc. for investment losses caused by his alleged misconduct. Allegations Against Christopher Bice 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 financial advisor recommended the purchase of real estate private placements that were unsuitable investment recommendations. The customer alleged that Christopher Bice made unsuitable investment recommendations are variable annuities, over-concentrated his accounts, and made misrepresentations. The claimant alleged unsuitable investment recommendations of annuities and real estate investments. Christopher Bice Red Flags & Your Rights as An Investor Of course, Christopher Bice 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 Christopher Biceat Sagepoint Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Bicehas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sagepoint Financial, 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 Sagepoint Financial, Inc. If you have questions about Sagepoint Financial, Inc. and/or Christopher Biceand the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 4, 2022

Robert Ginsberg of Woodbury Financial Services, Inc

DID ROBERT SCOTT GINSBERG CAUSE YOU INVESTMENT LOSSES? Robert Scott Ginsberg with Woodbury Financial Services, Inc. Has [#] Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Robert S. Ginsberg with Woodbury Financial Services, Inc.? Robert Ginsberg (CRD #5177531) who is currently registered with Woodbury Financial Services, Inc. and located in Wallingford, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Woodbury Financial Services, Inc., Robert Ginsberg was associated with Investors Capital Corp. and two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Woodbury Financial Services, Inc. And Investors Capital Corp. Broker Misconduct In his career, Robert Ginsberg has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. All of the customer complaints filed against Robert Ginsberg’s current employer Woodbury Financial Services, Inc. and former employer Investors Capital Corp. for investment losses caused by his alleged misconduct are still pending. Allegations Against Robert Ginsberg   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customers alleged that the representative made unsuitable recommendations to invest in variable annuities, direct investments involving real estate securities. The client alleges that the recommendation of REIT and business development company investments were unsuitable recommendations. The client alleges that the broker made unsuitable recommendations of non-traded REITs. Robert Ginsberg Red Flags & Your Rights as An Investor Of course, Robert Ginsberg did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Robert Ginsberg at Woodbury Financial Services, Inc. and Investors Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Robert Ginsberghas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Woodbury Financial Services, Inc. and Investors Capital Corp. 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 Woodbury Financial Services, Inc. If you have questions about Woodbury Financial Services, Inc., Investors Capital Corp., and/or Robert Ginsberg 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 Haffling of Kalos Capital, Inc

DID MICHAEL J. HAFFLING CAUSE YOU INVESTMENT LOSSES? Michael J. Haffling with Kalos Capital, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Michael J. Haffling with Kalos Capital, Inc.? Michael Haffling (CRD #5133150) who is currently registered with Kalos Capital, Inc. and located in Orland Park, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kalos Capital, Inc., Michael Haffling was associated with another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Kalos Capital, Inc. Broker Misconduct In his career, Michael Haffling has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. One of Michael Haffling’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Michael Haffling’s current employer Kalos Capital, Inc. for investment losses caused by his alleged misconduct. Allegations Against Michael Haffling 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 a failure to do reasonable due diligence in the review of the issuer’s representations and disclosures prior to recommending the private placement investment. The claimant alleges numerous violations of FINRA Rules, failing to do proper due diligence in recommending investments with the highest commissions in conflict with the client’s best interest. Michael Haffling Red Flags & Your Rights as An Investor Of course, Michael Haffling 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 Hafflingat Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether Michael Hafflinghas engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints 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 Kalos Capital, Inc. If you have questions about Kalos Capital, Inc. and/or Michael Hafflingand 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

Charles Kulch of Next Financial Group, Inc

DID CHARLES CHESTER KULCH CAUSE YOU INVESTMENT LOSSES? Charles Chester Kulch formerly with Next Financial Group, Inc. Has 10 Customer Complaints for Alleged Broker Misconduct Who is Charles C. Kulch formerly with Next Financial Group, Inc.? Charles Kulch (CRD #2371584) who was formerly registered with Next Financial Group, Inc. and located in Nashua, New Hampshire is a subject of one of our many securities industry sales practice abuse investigations. Prior to Next Financial Group, Inc., Charles Kulch has associated with two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. But Charles Kulch’s former employers were not the only ones with regulatory problems.  He has been the subject of 3 different regulatory actions, three in the state of New Hampshire and one in New York. Charles Kulch was suspended, ordered to cease-and-desist, and/or fined for allegedly operating an unqualified branch office; making a false statement on an insurance license application; and failing to supervise the distribution of marketing materials that contained inaccurate information.  The latest regulatory complaint was filed by the Massachusetts Securities Division for allegedly over concentrating customers in illiquid, risky, and high commission products, including non-traded real estate investment trust and variable annuities. Next Financial Group, Inc. Broker Misconduct In his career, Charles Kulch has been the subject of 10 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Five of Charles Kulch’s 10 customer complaints were settled in favor of investors. Two of those complaints were denied by his former employer, and to date, the customers have not taken any further action.  There are currently 3 pending customer complaints filed against Charles Kulch’s former employer Next Financial Group, Inc. for investment losses caused by his alleged misconduct. Allegations Against Charles Kulch   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleged unsuitable sale of non-traded REITs. The customer alleges unsuitable investment recommendations related to private placements in violation of the financial advisor’s fiduciary duty, and violation of the New Hampshire Securities Act. The claimant alleges that the financial advisor misrepresented the risk associated with the investments in certain Tenant-In-Common (TIC) investments and that the investments were unsuitable since the fees and risks far outweigh the potential for tax deferment. The customer alleged that the financial advisor made misrepresentations and unsuitable investment recommendations related to direct investments in the oil and gas in real estate sectors. The customer alleges that the registered representative recommended he invest most of his net worth in numerous high risk, speculative, and illiquid private placements and Tenant-In-Common investments that were unsuitable investment recommendations. Charles Kulch Red Flags & Your Rights as An Investor Of course, Charles Kulch 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 Charles Kulch at Next Financial Group, Inc. on alert to review carefully the activity and performance of their accounts and question whether Charles Kulchhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Next Financial Group, 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 Next Financial Group, Inc. If you have questions about Next Financial Group, Inc. and/or Charles Kulchand the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 4, 2022

Andre Labarbera of Titus Rockefeller, LLC

DID ANDRE VINCENT LABARBERA CAUSE YOU INVESTMENT LOSSES? Andre Vincent Labarbera formerly with Titus Rockefeller, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Andre V. Labarbera formerly with Titus Rockefeller, LLC? Andre Labarbera (CRD #2072370) who was formerly registered with Titus Rockefeller, LLC and located in Dix Hills, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Titus Rockefeller, LLC, Andre Labarbera has associated with10other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Not only has Andre Labarbera’s former employers had multiple regulatory problems but he has been the subject of 2 regulatory events as well. In fact, he has been permanently barred in the State of Florida for allegedly engaging in unsuitable customer transactions, churning customer accounts, trading customer accounts on margin without margin agreements, and engaging in fraudulent transactions.  Andre Labarbera has also been permanently barred from association with any FINRA member firm in any capacity for excessively trading or churning customer accounts after hearing on the merits, and an appeal that upheld the initial administrative decision. Titus Rockefeller, LLC Broker Misconduct In his career, Andre Labarberahas been the subject of 6 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Four of Andre Labarbera’s 6 customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against Andre Labarbera’s former employer Titus Rockefeller, LLC for investment losses caused by his alleged misconduct. Allegations Against Andre Labarbera   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleged churning, unsuitable investment recommendations, breach of fiduciary duty, common law fraud, breach of contract, and unauthorized trading. Misrepresentation in connection with investment recommendations of the exchange-traded funds. Misrepresentation and omission of material facts connection with penny stock transactions. The claimant alleges unsuitability, overconcentration, churning, breach of fiduciary duty, and fraudulent misrepresentations in connection with common stock transactions. Andre Labarbera Red Flags & Your Rights As An Investor Of course, Andre Labarbera did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Andre Labarbera at Titus Rockefeller, LLC on alert to review carefully the activity and performance of their accounts and question whether Andre Labarbera has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Titus Rockefeller, 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 Titus Rockefeller, LLC   If you have questions about Titus Rockefeller, LLC and/or Andre Labarberaand the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 4, 2022

William McLaughlin of Coastal Equities, Inc.

DID WILLIAM JOHN MCLAUGHLIN JR CAUSE YOU INVESTMENT LOSSES? William John McLaughlin Jr formerly with Coastal Equities, Inc. Has 4 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is William J. McLaughlin Jr formerly with Coastal Equities, Inc.? William McLaughlin (CRD #1014583) who was formerly registered with Coastal Equities, Inc. and located in Wall, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Coastal Equities, Inc., William McLaughlin was associated with 12 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Coastal Equities, Inc. Broker Misconduct In his career, William McLaughlin has been the subject of 4 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. One of William McLaughlin’s 4 customer complaints was settled in favor of investors. There are currently 3 pending customer complaints filed against William McLaughlin’s former employer Coastal Equities, Inc. for investment losses caused by his alleged misconduct. Allegations Against William McLaughlin 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 breach of fiduciary duty, and that the advisor made unsuitable recommendations in a portfolio, material misrepresentations in connection with direct investments and limited partnership interests. The claimant alleges that unsuitable investment recommendations were made to him in his advisory account. The claimant alleges that unsuitable investment recommendations in the real estate sector were made to her in her advisory account William McLaughlin Red Flags & Your Rights as An Investor Of course, William McLaughlin 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 William McLaughlin at Coastal Equities, Inc. on alert to review carefully the activity and performance of their accounts and question whether William McLaughlin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Coastal Equities, 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 Coastal Equities, Inc. If you have questions about Coastal Equities, Inc. and/or William McLaughlin 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

Christopher Miller of Emerson Equity, LLC

DID CHRISTOPHER THOMAS MILLER CAUSE YOU INVESTMENT LOSSES? Christopher Thomas Miller with Emerson Equity, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Christopher T. Miller of Emerson Equity, LLC Formerly with Sandlapper Securities, LLC? Christopher Miller (CRD #4044818) who is currently registered with Emerson Equity, LLC and located in San Mateo, California is subject of one of our many securities industry sales practice abuse investigations. Prior to Emerson Equity, LLC, Christopher Miller was associated with Sandlapper Securities, LLC and 9 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sandlapper Securities, LLC Broker Misconduct In his career, Christopher Miller has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last two years against his former employer Sandlapper Securities, LLC to recover investment losses. One of Christopher Miller’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Christopher Miller’s current employer Sandlapper Securities, LLC for investment losses caused by his alleged misconduct. Allegations Against Christopher Miller   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleged that the financial advisor recommended unsuitable investments and an unsuitable investment strategy which was in breach of his fiduciary duty, financial elder abuse, and violation of the California Code. The customer alleges financial elder abuse connection with the offer and sale of real estate securities. Christopher Miller Red Flags & Your Rights as An Investor Of course, Christopher Miller 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 Christopher Millerat Emerson Equity, LLC and Sandlapper Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Christopher Miller has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Sandlapper Securities, LLC also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses At Emerson Equity LLC And Sandlapper Securities, LLC If you have questions about Emerson Equity LLC, Sandlapper Securities, LLC and/or Christopher Miller 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

Hugh Barndollar of Crown Capital

UPDATED ON: December 1, 2020 DID HUGH BARNDOLLAR CAUSE YOU INVESTMENT LOSSES? Hugh Barndollar Of Crown Capital And Formerly Cornerstone Securities Has 6 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Hugh Barndollar Of Crown Capital And Formerly Cornerstone Securities? Hugh Ordway Barndollar III (CRD #3027317) who is currently registered with Crown Capital Securities, Purepath Wealth Management and Barndoor Financial and located in Land O’Lakes, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Crown Capital Securities he was registered with Cornerstone Securities and nine (9) other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Crown Capital And Cornerstone Securities Broker Misconduct In his career, Mr. Barndollar has been the subject of seven (7) customer complaints that we know about, six (6) of those complaints were filed in the last year. Two of those customer complaints were settled in favor of investors. There are currently five (5) pending customer complaints filed against Mr. Barndollar’s current employer Crown Capital for his alleged misconduct. Allegations Against Hugh Barndollar A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints are as follows: Sale of unregistered securities, fraud, breach of contract, breach of fiduciary duty, negligence and gross negligence. Alleged unsuitability, alleged negligence, alleged fraud, alleged misrepresentation, and alleged breach of fiduciary duty. Customer alleges lack of suitability, negligence, misrepresentations and omissions of material facts in regard to transactions in nontraditional, alternative and/or nontraded REIT investments. The customer alleges lack of proper due diligence, breach of fiduciary duty, and suitability obligations as it relates to the purchase of illiquid alternative investments. Hugh Barndollar Red Flags & Your Rights As An Investor Of course, Mr. Barndollar 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 Mr. Barndollar at Crown Capital on alert to review carefully the activity and performance of their accounts and question whether Mr. Barndollar has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints also raises questions about Crown Capital’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Crown Capital And Cornerstone Securities If you have questions about Centaurus Financial and J. P. Turner & Company and/or Mr. Barndollar 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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