Mar 4, 2022

George Merhoff of Cetera Advisors

DID GEORGE CRAIG MERHOFF, JR. CAUSE YOU INVESTMENT LOSSES? George C. Merhoff, Jr., Formerly With Cetera Advisors Has  49 Customer Complaints For Alleged Broker Misconduct Who is George C. Merhoff, Jr., Formerly With Cetera Advisors? George Merhoff (CRD# 2918171) who was formerly registered with Cetera Advisors and located in Kalmouth Falls, Oregon is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Cetera Advisors George Merhoff was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. George Merhoff was terminated by Cetera Advisors for making undisclosed payments to clients.  He was subsequently barred from association with any securities broker-dealer permanently by the FINRA and subject of a Cease and Desist Order by the Oregon Division of Financial Regulation George Merhoff Broker Misconduct In his career, George Merhoff has been the subject of 49 customer complaints that we know about, 15 of those complaints were filed in the last two years to recover investment losses. Thirty-four of George Merhoff’s customer complaints were settled in favor of investors. There are currently 15 pending customer complaints filed against George Merhoff most recent employer Cetera Advisors for investment losses caused by his alleged misconduct.  Allegations Against George Merhoff A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:  Claimant alleges unsuitable investment recommendations. Violation of Oregon securities law, breach of fiduciary duty, unsuitable investment recommendations, violation of FINRA rules, and negligence. Breach of fiduciary duty, unsuitable investment recommendations, violation of FINRA’s rules, negligence, and breach of contract. Incurred investment losses due to over-concentration. Breach of fiduciary duty, fraud, material omissions of fact, breach of contract, professional negligence, violation of Oregon and SEC securities laws. Negligence, breach of fiduciary duty, and violation of Oregon securities laws. Negligence and breach of fiduciary duty. Unsuitable investments, common law fraud, breach of contract, breach of fiduciary duty, violation of Oregon securities laws. Unsuitable investments which resulted in portfolio decline. Violation of Oregon securities laws, violation of California Corporation code, and negligence George Merhoff Red Flags & Your Rights As An Investor Of course, George Merhoff 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 George Merhoff at on alert to review carefully the activity and performance of their accounts and question whether George Merhoff has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors 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  If you have questions about Cetera Advisors and/or George Merhoff 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 or locally at 561-338-0037.

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Mar 4, 2022

Joseph Michaletz of DAI Wealth

DID  JOSEPH  GERARD  MICHALETZ  CAUSE YOU INVESTMENT LOSSES? Joseph Michaletz of DAI Wealth and DAI Securities and formerly with Concorde Investment Services and Triad Advisors Has  9 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Joseph Michaletz of DAI Wealth and DAI Securities and formerly with Concorde Investment Services and Triad Advisors? Joesph Michaletz (CRD# 1327534) who is currently registered with DAI Wealth and DAI Securities located in Mankato, Minnesota is a subject of one of our many securities industry sales practice abuse investigations.  Prior to DAI Securities Joesph Michaletz was associated with Concorde Investment Services, and Triad Advisors  and one other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.  DAI Securities, Concorde Investment Services and Triad Advisors Broker Misconduct In his career, Joesph Michaletz has been the subject of 9 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses.  All of those customer complaints filed against Joesph Michaletz current and former employers DAI Securities, Concorde Investment Services, and Triad Advisors for investment losses caused by  his alleged misconduct.  Allegations Against Joesph Michaletz A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:  Claimant alleges breach of fiduciary duty, negligence and breach of contract related to investments made between August 2017 and May 2018. Claimant is alleging breach of fiduciary duty, negligence, breach of contract, and failure to supervise, relating to various private placement investments made from April 2015 to 2018 Claimants allege unsuitable alternative investments beginning in 2015, during the registered representatives association with Triad advisors, and continuing at registered representatives to successive broker-dealers, Concorde Investment Services and DAI Securities. Claimant alleges breach of fiduciary duty, negligence, breach of contract, and failure to supervise related to a $100,000 investment in GPB Automotive private placement in April 2017. Claimants seek unspecified compensatory damages relating to a $75,000 investment in GPB Holdings I through Triad Advisors in 2014 and $75,000 investment in GPB Automotive through Concorde Investment Services. It appears that Joesph Michaletz and his employer failed to do their Due Diligence before recommending these private placement investments.  Joesph Michaletz Red Flags & Your Rights As An Investor Of course, Joesph Michaletz 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 Joesph Michaletz at DAI Securities, Concorde Investment Services, and Triad Advisors alert to review carefully the activity and performance of their accounts and question whether Joesph Michaletz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at DAI Securities, Concorde Investment Services, and Triad Advisors 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 DAI Securities, Concorde Investment Services, and Triad Advisors If you have questions about  DAI Securities, Concorde Investment Services, and Triad Advisors and/or Joseph Michaletz 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 or locally at 561-338-0037.

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Mar 4, 2022

Jay Ambroson with Gould, Ambroson & Associates

DID JAY ALLAN AMBROSON CAUSE YOU INVESTMENT LOSSES? Jay A. Ambroson Formerly With Gould, Ambroson & Associates Has 10 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Jay Ambroson formerly with Gould, Ambroson & Associates? Jay Ambroson (CRD # 859012) who was formerly registered with Gould, Ambroson & Associates and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Jay Ambroson was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gould, Ambroson & Associates Broker Misconduct In his career, Jay Ambroson has been the subject of 10 customer complaints that we know about which were filed in the last 2 years to recover investment losses. Eight of Jay Ambroson customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against Jay Ambroson current employer Gould, Ambroson & Associates investment losses caused by his alleged misconduct. Allegations Against Jay Ambroson A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer filed a FINRA arbitration claim for unsuitability, common law fraud, breach of contract, negligent supervision, breach of fiduciary duty, violations of the racketeer influenced and corrupt organizations act, and conversion. Customer filed a FINRA arbitration claim alleging unsuitability, common law fraud, breach of contract, negligent supervision, breach of fiduciary duty, violation of the racketeer influenced and corrupt organizations act, conversion, violation of California or Securities Act, and sale of unregistered securities. Customer filed a FINRA arbitration claim for unsuitability, misrepresentation and omission, breach of fiduciary duty, breach of duty of good faith and fair dealing, breach of contract, fraud, churning, violations of FINRA conduct rules, and control person liability. Customer filed a FINRA arbitration claim for unsuitability, breach of contract, negligent supervision, failure to implement a reasonable compliance program, breach of fiduciary duty, and claims under New Jersey securities and consumer laws. Claimants filed a FINRA arbitration claim alleging negligent supervision, RICO and conversion. Jay Ambroson Red Flags & Your Rights As An Investor Of course, Jay Ambroson 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 Jay Ambroson at Gould, Ambroson & Associates on alert to review carefully the activity and performance of their accounts and question whether Jay Ambroson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Gould, Ambroson & Associates 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 Gould, Ambroson & Associates If you have questions about Gould, Ambroson & Associates and/or Jay Ambroson 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

Kevin C. Fretz of LPL Financial, LLC

DID KEVIN CHARLES FRETZ CAUSE YOU INVESTMENT LOSSES? Kevin C. Fretz Formerly with LPL Financial, LLC Has 5 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Kevin C. Fretz Formerly with LPL Financial, LLC? Kevin Fretz (CRD # 4128808) who was formerly registered with LPL Financial, LLC and located in South Windsor, Connecticut is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial, LLC, Kevin Fretz was associated with two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. LPL Financial, LLC terminated Kevin Fretz’s employment in 2019 for allegedly failing to report customer complaints and failing to follow customer instructions. LPL Financial, LLC Broker Misconduct In his career, Kevin Fretzhas been the subject of 6 customer complaints that we know about, 5 of those complaints were filed in the last year to recover investment losses. Four of Kevin Fretz’s customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Kevin Fretz’s former employer for investment losses caused by his alleged misconduct. Allegations Against Kevin C. Fretz A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleges misrepresentation and unsuitability of a structured note. Customer alleges advisor failed to follow instructions to invest funds. Customer alleges forgery and misrepresentation of investment recommendations. Customer alleges misrepresentation and unsuitability of a real estate security. Kevin C. Fretz Red Flags & Your Rights as An Investor Of course, Kevin Fretzdid not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kevin Fretzat LPL Financial, LLC on alert to review carefully the activity and performance of their accounts and question whether Kevin Fretz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, 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 LPL Financial, LLC If you have questions about LPL Financial, LLC and/or Kevin Fretz 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 D. Freeze of Fortune Financial Services, Inc

DID JONATHAN D. FREEZE CAUSE YOU INVESTMENT LOSSES? Jonathan D. Freeze Formerly With Fortune Financial Services, Inc. And Summit Brokerage Services, Inc. Has 9 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Jonathan D. Freeze Formerly With Fortune Financial Services, Inc. And Summit Brokerage Services, Inc.? Jonathan Freeze (CRD # 2642023) who was formerly registered with Fortune Financial Services, Inc. and Summit Brokerage Services, Inc. and working from offices located in Canonsburg, Pennsylvania and Fredericksburg, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Fortune Financial Services, Inc. and Summit Brokerage Services, Inc. Jonathan Freeze was once associated with and terminated by LPL Financial, LLC, another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. In 2017, Jonathan Freeze was permanently barred by FINRA from association with any broker-dealer. Fortune Financial Services, Inc. And Summit Brokerage Services, Inc. Broker Misconduct In his career, Jonathan Freeze has been the subject of 9 customer complaints that we know about, all 9 of those complaints were filed in the last two years to recover investment losses. Thus far, none of Jonathan Freeze’s customer complaints have been settled in favor of investors. One complaint was summarily denied by his former employer and not pursued by the customer. There are currently 8 pending customer complaints filed against Jonathan Freeze and former employer Fortune Financial Services, Inc. for investment losses caused by his alleged misconduct. Allegations Against Jonathan D. Freeze A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleges that Mr. freeze facilitated the authorized liquidation of a client’s account to purchase promissory notes. Selling Away and investment known as Alternative Energy Holdings. Jonathan D. Freeze Red Flags & Your Rights as An Investor Of course, Jonathan Freeze 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 Jonathan Freeze at Fortune Financial Services, Inc. and Summit Brokerage Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jonathan Freeze has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fortune 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 Fortune Financial Services, Inc. And Summit Brokerage Services, Inc. If you have questions about Fortune Financial Services, Inc. and Summit Brokerage Services, Inc. and/or Jonathan Freeze 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

Gerard Joesph Costello of UBS Financial Services, Inc

DID GERARD JOESPH COSTELLO CAUSE YOU INVESTMENT LOSSES? Gerard J. Costello Of UBS Financial Services, Inc.  Has 8 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Gerard J. Costello Of UBS Financial Services, Inc.? Gerard Costello (CRD #1551511) who is currently registered with UBS Financial Services and located in New York City, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services, Gerard Costello was associated with Credit Suisse Securities and one other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services Broker Misconduct In his career, Gerard Costello has been the subject of 8 customer complaints that we know about, all 8 of those complaints were filed in the last two years to recover investment losses. One of Gerard Costello 8 customer complaints was settled in favor of investors. Three of those complaints were denied by the firm and so far, have not been pursued by the investor. There are currently 4 pending customer complaints filed against Gerard Costello’s current employer UBS Financial Services for investment losses caused by his alleged misconduct. Allegations Against Gerard J. Costello A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege unsuitability and misrepresentation with respect to recommendations to invest in and hold an option overlay strategy. The client alleges that the volatility of the investment was misrepresented to him. Client alleges that option strategy was sold as a very low risk product and with inadequate financial disclosure on past performance.  Client further states that the marketing presentation was misleading. Gerard J. Costello Red Flags & Your Rights As An Investor Of course, Gerard Costello 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 Gerard Costello at UBS Financial Services and Credit Suisse Securities on alert to review carefully the activity and performance of their accounts and question whether Gerard Costello has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses At UBS Financial Services If you have questions about UBS Financial Services, Credit Suisse Securities, and/or Gerard Costello 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 Cohen of Moloney Securities Co., Inc

DID JEFFREY MAX COHEN CAUSE YOU INVESTMENT LOSSES? Jeffrey M. Cohen Has 6 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Jeffrey M. Cohen of Moloney Securities Co., Inc.? Jeffrey Cohen (CRD# 2528929) who is currently registered with Moloney Securities Co. and Moloney Investment Advisory and located in Manchester, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to Moloney Securities Co. Jeffrey Cohen was associated with Western International Securities, Inc. other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Moloney Securities Co., Inc. Broker Misconduct In his career, Jeffrey Cohen has been the subject of 7 customer complaints that we know about, 6of those complaints were filed in the last two years to recover investment losses. So far only one of Jeffrey Cohen customer complaints was settled in favor of investors. There are currently 6 pending customer complaints filed against Jeffrey Cohen current employer Moloney Securities Co. for investment losses caused by his alleged misconduct. Allegations Against Jeffrey M. Cohen A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleges intentional misrepresentation, negligent misrepresentation, and breach of fiduciary duty related to financial advice. Claimant alleges unsuitability related to direct investments in limited partnership interests. Claimant alleged that registered representative made unsuitable recommendations to invest in alternative investments. Jeffrey M. Cohen Red Flags & Your Rights as An Investor Of course, Jeffrey Cohen 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 Jeffrey Cohen at Moloney Securities Co. on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Cohen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Moloney Securities Co. 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 Moloney Securities Co., Inc. If you have questions about Moloney Securities Co.and/or Jeffrey Cohen 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

Dawn Bennet of Western International Securities

DID DAWN BENNET CAUSE YOU INVESTMENT LOSSES? Fawn Bennett Has 25 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Dawn Bennett Formerly with Western International Securities? Dawn Bennett (CRD# 1567051) who is currently registered with Western International Securities and located in Washington, D.C. is a subject of one of our many securities industry sales practice abuse investigations.  Dawn Bennett has been permanently barred by FINRA and SEC from any further association with any firm in the securities industry. Prior to Western International Securities Dawn Bennett was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Western International Securities Broker Misconduct In her career, Dawn Bennett has been the subject of 40 customer complaints that we know about, 25 of those complaints were filed in the last two years to recover investment losses. There were 3 arbitration awards entered against her former employer for her alleged misconduct. Thirty-three of Dawn Bennett customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against Dawn Bennett current employer Western International Securities for investment losses caused by  her alleged misconduct. Allegations Against Dawn Bennett A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Breach of the general duties of reasonable care, honesty and disclosure, recommending unsuitable investments in violation of section 517.301, Florida statutes, common law fraud, breach of fiduciary duty, and negligence relating to exchange traded funds. Churning, misrepresentation, omission of material facts, fraud, breach of fiduciary duty, constructive fraud, breach of contract, negligence, unsuitability, and violation of the Virginia Securities Act. Offer and sale of unregistered securities, unsuitable recommendations, misrepresentations and omissions of material fact, fraud, breach of fiduciary duty related to a promissory note. Unsuitable recommendations, fraud, breach of fiduciary duty, related to a promissory note and exchange traded fund. Negligence and breach of fiduciary duty related to a promissory note.  Breach of fiduciary duty, fraud, unsuitable recommendations, misrepresentations and omissions of material fact related to a promissory note. Breach of fiduciary duty, fraud, unsuitable recommendations related to a mutual fund and exchange traded fund. Unsuitable recommendations related to exchange traded funds. Claimants allege lack of diversification and portfolio. Dawn Bennett Red Flags & Your Rights as An Investor Of course, Dawn Bennett 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 Dawn Bennett at Western International Securities on alert to review carefully the activity and performance of their accounts and question whether Dawn Bennett has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International 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 Western International Securities If you have questions about Western International Securities and/or Dawn Bennett 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

Steven Roland Knuttila of Capital Financial Services, Inc

DID STEVEN ROLAND KNUTTILA CAUSE YOU INVESTMENT LOSSES? Steven R. Knuttila Formerly with Capital Financial Services, Inc. Has 43 Customer Complaints for Alleged Broker Misconduct Who is Steven R. Knuttila Formerly with Capital Financial Services, Inc.? Steven Knuttila (CRD # 3039112) who was formerly registered with Capital Financial Services, Inc. and located in Perham, Minnesota is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Capital Financial Services, Inc., Steven Knuttila was associated with two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Capital Financial Services, Inc. Broker Misconduct In his career, Steven Knuttila has been the subject of 43 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. 22 of Steven Knuttila’s 43 customer complaints were settled in favor of investors. There are currently 7 pending customer complaints filed against Steven Knuttila former employer Capital Financial Services, Inc. for investment losses caused by his alleged misconduct. Allegations Against Steven R. Knuttila A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleges unsuitability, breach of fiduciary duty, and breach of contract related to an oil and gas investment. Client alleged common law fraud, breach of fiduciary duty, negligent failure to supervise related to equipment leasing, oil and gas, and real estate securities investments. Client alleged unsuitability, breach of fiduciary duty, and breach of contract related to direct investments in the oil and gas, and real estate sectors. Customer is alleging unsuitability, breach of fiduciary duty, and failure to supervise related to investments in common stock, preferred stocks, oil and gas, and real estate investments. Claimants alleged violations of the Minnesota Securities Act, unsuitability, breach of fiduciary duty, negligence, negligent misrepresentation, intentional misrepresentations, negligent supervision, and breach of contract in the sale of various oil and gas investments and REITs. Claimant alleged unsuitability, breach of fiduciary duty, common law fraud, breach of contract, negligent supervision, negligent hiring, in violation of the Minnesota Securities Act and the offer and sale of speculative private placement investments, including, REITs, oil and gas investments, equipment leasing funds and annuities. Steven R. Knuttila Red Flags & Your Rights as An Investor Of course, Steven Knuttila 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 Steven Knuttila at Capital Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Steven Knuttila has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Capital 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 Capital Financial Services, Inc. If you have questions about Capital Financial Services, Inc. and/or Steven Knuttila 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

William Helms Humbarer of NY Life

DID WILLIAM HELMS HUMBARER CAUSE YOU INVESTMENT LOSSES? William H. Humbarger Formerly with NY Life Securities, LLC Has 5 Customer Complaints for Alleged Broker Misconduct In the Past Year Who is William H. Humbarger Formerly with NY Life Securities, LLC? William Humbarger (CRD #1144599) who was formerly registered with NY Life Securities, LLC and located in Indianola, Mississippi is a subject of one of our many securities industry sales practice abuse investigations. NY Life Securities, LLC Broker Misconduct In his career, William Humbarger has been the subject of 12 customer complaints that we know about, 5 of those complaints were filed in the last year to recover investment losses. Four of William Humbarger’s 12 customer complaints were settled in favor of investors. There are currently 6 pending customer complaints filed against William Humbarger’s former employer NY Life Securities, LLC for investment losses caused by his alleged misconduct. Allegations Against William H. Humbarger 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 variable annuities purchased were detrimental to his goal of Legacy planning. Claimant claimed that a variable universal life insurance policy was misrepresented and unsuitable for him. Claimant alleged the agent misrepresented the benefits and advantages of the policies and failed to mention all of the risks involved. Customer allege their misled when they exchange their Whole Life Policy for a Variable Universal Life Policy and that the policy was not suitable for them. William H. Humbarger Red Flags & Your Rights As An Investor Of course, William Humbarger did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of William Humbarger at NY Life Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether William Humbarger has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NY Life 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 NY Life Securities, LLC If you have questions about NY Life Securities, LLC and/or William Humbarger 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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