Mar 4, 2022

Jon Pariser of Independent Financial Group, LLC

DID JON RICHARD PARISER CAUSE YOU INVESTMENT LOSSES? Jon Richard Pariser formerly with Independent Financial Group, LLC Has 10 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Jon R. Pariser formerly with Independent Financial Group, LLC? Jon Pariser (CRD #2755015) who was formerly registered with Independent Financial Group, LLC and located in Pacific Grove, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Independent Financial Group, LLC, Jon Pariser was associated with SWS Financial Services, Inc. and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. In October 2018, Jon Pariser consented, without admitting or denying the allegations, to the sanction of a permanent bar from working in the securities industry and to findings by FINRA that he failed to provide FINRA with requested documents and information related to allegations that he referred some of his customers to an individual who is not registered, and who may have recommended were sold potentially unsuitable securities to them. Independent Financial Group, LLC Broker Misconduct In his career, Jon Pariser 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. Six of Jon Pariser’s 10 customer complaints were settled in favor of investors. There are currently 3 pending customer complaints filed against Jon Pariser’s former employer Independent Financial Group, LLC for investment losses caused by his alleged misconduct. Allegations Against Jon Pariser 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 Independent Financial Group (“IFG”) was responsible for investments made through an individual Jon Pariser sold his business without IFG’s knowledge. Claimants allege that IFG failed to supervise, its representative, Jon Pariser, allowing him to recommend that they utilize the services of 2 individuals who were not affiliated with IFG and who convince them to take their money from the investments held through IFG and make investments in promissory notes. The claimant made investments in unregistered, non-exempt “notes” through individuals who are not affiliated with IFG. Claimant alleges that representative introduced to an individual who is not licensed and who convinced her to surrender a portion of her variable annuity and invest in promissory notes. The customer alleges unauthorized purchase of equity. The claimant alleged representative convinced her to invest with individuals who were involved in 8 fraudulent, unregistered investments involving promissory notes. The claimant alleges representative was involved with individuals who are running a scam and that he convinced her to invest in fraudulent investments, resulting in a loss. Claimants allege representative convinced them to invest with individuals who are operating a fraudulent investment program, resulting in a loss of their investment.  Jon Pariser Red Flags & Your Rights as An Investor Of course, Jon Pariser 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 Jon Pariser at Independent Financial Group, LLC on alert to review carefully the activity and performance of their accounts and question whether Jon Pariserhas engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Independent Financial Group, LLC also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses At Independent Financial Group, LLC If you have questions about Independent Financial Group, LLC and/or Jon Pariser 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 Rainwater of ACG Wealth Inc.

DID KEVIN LAMAR RAINWATER CAUSE YOU INVESTMENT LOSSES? Kevin Lamar Rainwater with ACG Wealth Inc. and Arkadios Capital Has 4 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Kevin L. Rainwater with ACG Wealth Inc. and Arkadios Capital? Kevin Rainwater (CRD #3098443) who is currently registered with ACG Wealth Inc. and Arkadios Capital and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to ACG Wealth Inc. and Arkadios Capital, Kevin Rainwater was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. ACG Wealth Inc. and Arkadios Capital Broker Misconduct In his career, Kevin Rainwater has been the subject of 4 customer complaints that we know about, all of those complaints were filed in the last two years to recover investment losses. One of Kevin Rainwater’s 4 customer complaints settled was settled by Arkadios Capital in favor of investors. There are currently 3 pending customer complaints filed against Kevin Rainwater’s current employers ACG Wealth Inc. and Arkadios Capital for investment losses caused by his alleged misconduct. Allegations Against Kevin Rainwater A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged unsuitable investment product recommendations, coupled with misrepresentation about the investment. Claimant alleged unsuitable private placement investment recommendations and unauthorized trading. Kevin Rainwater Red Flags & Your Rights As An Investor Of course, Kevin Rainwater did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kevin Rainwater at ACG Wealth Inc. and Arkadios Capital on alert to review carefully the activity and performance of their accounts and question whether Kevin Rainwater has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at ACG Wealth Inc. and Arkadios Capital 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 ACG Wealth Inc. And Arkadios Capital If you have questions about ACG Wealth Inc. and Arkadios Capital and/or Kevin Rainwater 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

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

DID SHLOMO STRUGANO CAUSE YOU INVESTMENT LOSSES? Shlomo Strugano Formerly with First Allied Securities, Inc. And Kovack Securities, Inc. Has 5 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Shlomo Strugano formerly with First Allied Securities, Inc.? Shlomo Strugano (CRD #3108780) who was formerly registered with First Allied Securities, Inc. and located in Reseda, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Allied Securities, Inc., Shlomo Strugano was associated with Kovack Securities Inc. and 9 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. FINRA commenced an investigation into whether Shlomo Strugano forged or falsified customer signatures and initials on account and transaction documents. According to FINRA, Shlomo Strugano failed to appear and provide testimony requested by FINRA. Subsequently, FINRA entered into a consent agreement with Shlomo Strugano, without his admitting or denying the allegations, to a permanent bar from association with any member firm in the securities industry. First Allied Securities, Inc. Broker Misconduct In his career, Shlomo Struganohas been the subject of 6 customer complaints that we know about, 5 of those complaints were filed in the last two years to recover investment losses. Two of Shlomo Strugano’s 6 customer complaints were settled in favor of investors. One was denied by his former employer and the customer has not taken any action to date. There are currently 3 pending customer complaints filed against Shlomo Strugano’s former employers First Allied Securities, Inc. and Kovack Securities, Inc. for investment losses caused by his alleged misconduct. Allegations Against Shlomo Strugano A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleges forgery. The client alleged that the representative misrepresented an additional contribution into an existing variable annuity and that he demanded rescission without surrender charges. The client alleges forgery and misrepresentation of his net worth in connection with a real estate investment. The claimant alleges financial advisor recommended unsuitable alternative investments and misappropriated money through an outside power of attorney entity.  Claimant alleges unsuitability, breach of fiduciary duty, negligence, misrepresentation, and elder abuse. The claimant alleges recommendation of unsuitable investments and forged signatures on account documents. The claimant alleges unauthorized transactions. Shlomo Strugano Red Flags & Your Rights as An Investor Of course, Shlomo Strugano did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Shlomo Strugano at First Allied Securities, Inc. and Kovack Securities Inc. on alert to review carefully the activity and performance of their accounts and question whether Shlomo Strugano has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kovack Securities and First Allied Securities also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At First Allied Securities, Inc. If you have questions about First Allied Securities, Inc., Kovack Securities Inc.  and/or Shlomo Strugano and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 4, 2022

Luis Rosario of Oppenheimer & Co. Inc

DID LUIS ALBERTO ROSARIO CAUSE YOU INVESTMENT LOSSES? Luis Alberto Rosario with Oppenheimer & Co. Inc. Has 21 Customer Complaints For Alleged Broker Misconduct Who is Luis A. Rosario with Oppenheimer & Co. Inc.? Luis Rosario (CRD #4593449) who is currently registered with Oppenheimer & Co. Inc. and located in Fort Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co. Inc., Luis Rosario was associated with UBS Financial Services, Inc. and two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Oppenheimer & Co. Inc. Broker Misconduct In his career, Luis Rosario has been the subject of 21 customer complaints that we know about to recover investment losses. Seventeen of Luis Rosario’s 21 customer complaints were settled in favor of investors. There are currently 4 pending customer complaints filed against Luis Rosario’s former employer, UBS Financial Services, Inc. for investment losses caused by his alleged misconduct. Allegations Against Luis Rosario A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege that the recommendation to invest in and hold Puerto Rico closed-end funds in Puerto Rico bonds was unsuitable and that the account was over-concentrated in those investment. Claimants allege that the recommendation to invest in Puerto Rico funds and bonds was unsuitable and that the Puerto Rican investments were misrepresented. Claimants allege their investments and Puerto Rico closed-end funds and unsuitable, over-concentrated and misrepresented as safe invest. Claimants allege that the financial advisors recommended overly-concentrated positions in risky securities. Luis Rosario Red Flags & Your Rights As An Investor Of course, Luis Rosario did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Luis Rosario at Oppenheimer & Co. Inc. and UBS Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Luis Rosario has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services, Inc. also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Oppenheimer & Co. Inc. And UBS Financial Services, Inc. If you have questions about Oppenheimer & Co. Inc., UBS Financial Services, Inc. and/or Luis Rosario and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 4, 2022

Angelo Talebi of Independent Financial Group, LLC

DID ANGELO TALEBI CAUSE YOU INVESTMENT LOSSES? Angelo Talebi formerly with Independent Financial Group, LLC Has 36 Customer Complaints for Alleged Broker Misconduct Who is Angelo Talebi formerly with Independent Financial Group, LLC? Angelo Talebi (CRD #2243829) who was formerly registered with Independent Financial Group, LLC and located in Sherman Oaks, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Independent Financial Group, LLC, Angelo Talebi was associated with Royal Alliance Associates, Inc. and three other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. In December 2015, Angelo Talebi consented, without admitting or denying the allegations, to a 60-day suspension and $10,000 fine imposed by FINRA for allegedly exercising discretion without advising employer and trading a customer’s account online and another brokerage firm. Independent Financial Group, LLC Broker Misconduct In his career, Angelo Talebi has been the subject of 36 customer complaints that we know about to recover investment losses. Twenty-two of Angelo Talebi’s 36 customer complaints were settled in favor of investors. Thirteen complaints were denied by Angelo Talebi’s former employer’s in the customers took no action to date. There are currently 2 pending customer complaints filed against Angelo Talebi’s former employer Independent Financial Group, LLC for investment losses caused by his alleged misconduct. Allegations Against Angelo Talebi A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleges her assets were invested in complex, risky, and costly investments that were not in line with her stated objectives, including, Real Estate Investment Trusts (“REITs”) and Business Development Companies (“BDCs”). The claimant alleges an appropriate variable annuity, BDC and REIT investments or recommended and misrepresented. The client alleges misrepresentation in connection with the purchase of an annuity and other alternative investments and that the investments were not suitable. Customers allege misrepresentation in connection with unsuitable recommendations to invest in variable annuities and REITs. Suitability, misrepresentation, negligence, violation of FINRA Rules, and breach of contract. Customer’s alleged misrepresentation and unsuitability in connection with the purchase of a limited partnership fund. The claimant alleges misrepresentation and unsuitability in connection with an investment in LEAF IV, a REIT, and a variable annuity. Misrepresentation, unsuitability in connection with an investment in a limited partnership, REIT, and variable annuity.  Additionally, the claimant alleged excessive trading and unsuitable use of margin. The claimant alleges unsuitability, and failure to disclose risks associated with limited partnership investments. Claimants allege mismanagement of securities accounts, including excessive trading, use of margin, over-concentration, and unsuitable investment recommendations. Angelo Talebi Red Flags & Your Rights as An Investor Of course, Angelo Talebi did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Angelo Talebi at Independent Financial Group, LLC on alert to review carefully the activity and performance of their accounts and question whether Angelo Talebi has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Independent Financial Group, LLC also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses At Independent Financial Group, LLC If you have questions about Independent Financial Group, LLC and/or Angelo Talebiand the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 4, 2022

Kevin Wilson of Worden Capital Management LLC

DID KEVIN RICHARD WILSON CAUSE YOU INVESTMENT LOSSES? Kevin Richard Wilson with Worden Capital Management LLC Has 9 Customer Complaints For Alleged Broker Misconduct Who is Kevin R. Wilson with Worden Capital Management LLC? Kevin Wilson (CRD #3262701) who is currently registered with Worden Capital Management LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Worden Capital Management LLC, Kevin Wilson was associated with National Securities Corporation and Laidlaw & Company (UK) Ltd. and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Worden Capital Management LLC Broker Misconduct In his career, Kevin Wilson has been the subject of 9 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Three of Kevin Wilson’s 9 customer complaints were settled in favor of investors. Of the complaints, One was denied by his employer and to date the customer has not taken any further action. There are currently 5 pending customer complaints filed against Kevin Wilson’s current employer Worden Capital Management LLC for investment losses caused by his alleged misconduct. Allegations Against Kevin Wilson A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleges unsuitability with respect to certain private placement investment. The client alleges unsuitable recommendations stocks in private placements. Client alleges unsuitability and overconcentration of private placement, investment. Client alleges unauthorized trading. Kevin Wilson Red Flags & Your Rights As An Investor Of course, Kevin Wilson did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kevin Wilson at Worden Capital Management LLC, National Securities Corporation and Laidlaw & Company (UK) Ltd. on alert to review carefully the activity and performance of their accounts and question whether Kevin Wilson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Laidlaw & Company (UK) Ltd. also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Worden Capital Management LLC, National Securities Corporation, Laidlaw & Company (UK) Ltd. If you have questions about Worden Capital Management LLC, National Securities Corporation, Laidlaw & Company (UK) Ltd. and/or Kevin Wilson and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 4, 2022

John Tarpinian of Paulson Investment Company, LLC

DID JOHN ALEXANDER TARPINIAN CAUSE YOU INVESTMENT LOSSES? John Alexander Tarpinian formerly with Paulson Investment Company, LLC Has 13 Customer Complaints for Alleged Broker Misconduct Who is John A. Tarpinian formerly with Paulson Investment Company, LLC? John Tarpinian (CRD #1013555) who was formerly registered with Paulson Investment Company, LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Paulson Investment Company, LLC, John Tarpinian was associated with Newport Coast Securities, Inc. and 9 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. In January 2018, John Tarpinian, settled an investigation of the United States Securities and Exchange Commission, without admitting or denying the allegations, that he engaged in undisclosed principal trades with advisory clients while he was associated with Newport Coast Securities, Inc. He was ordered to cease-and-desist those activities, pay $50,000, and disgorgement in a civil monetary penalty of $25,000.  Paulson Investment Company LLC Broker Misconduct In his career, John Tarpinian has been the subject of 13 customer complaints that we know about recover investment losses. Eleven of John Tarpinian’s 13 customer complaints were settled in favor of investors. There is currently one customer complaint pending against John Tarpinian’s former employer Paulson Investment Company, LLC for investment losses caused by his alleged misconduct in connection with the purchase of structured notes. Allegations Against John Tarpinian A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege unsuitability, common law fraud, breach of contract, negligent supervision, and breach of fiduciary duty. Claimants allege unsuitability related to bond transactions. Claimants allege unsuitability related to interest rate structured products. The client alleges mismanagement and unauthorized trading in his IRA account. Account related negligence, breach of fiduciary duty, misrepresentation, and breach of contract. The claimant alleges damages due to negligence, breach of fiduciary duty, conversion, fraud, and misrepresentation, breach of contract, and violations of industry standards and rules. Claims allege that representatives engage in unauthorized transactions and churned their accounts.  Further, certain documents did not contain authorized signatures. Claims allege that John Tarpinian made unsuitable recommendations to purchase structured notes. John Tarpinian Red Flags & Your Rights as An Investor Of course, John Tarpinian did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of John Tarpinian at Paulson Investment Company, LLC and Newport Coast Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether John Tarpinian has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Paulson Investment Company, LLC and Newport Coast Securities, Inc. also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses At Paulson Investment Company, LLC If you have questions about Paulson Investment Company LLC, Newport Coast Securities, Inc. and/or John Tarpinianand the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 4, 2022

Derrick Trussell of PFS Investments, Inc

DID DERRICK R. TRUSSELL CAUSE YOU INVESTMENT LOSSES? Derrick R. Trussell formerly with PFS Investments, Inc. Has 4 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Derrick R. Trussell formerly with PFS Investments, Inc? Derrick Trussell (CRD #5197550) who was formerly registered with PFS Investments, Inc. and located in San Antonio, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to PFS Investments, Inc., Derrick Trussell was associated with one other investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. In May 2017, Derrick Trussell was terminated by PFS investments, Inc. after the firm received an allegation that the representative engaged in an unapproved outside business activity and/or an undisclosed private securities transactions in which a client’s funds were used to purchase securities not offered by the firm without the client’s knowledge or consent In December 2018, Derrick Trussell allegedly failed to respond to a FINRA request for information and was suspended. Thereafter, he was automatically barred from Association with any FINRA member, in any capacity.  He is no longer working in the securities industry. In May 2019, Derrick Trussell was charged with 13 counts of securities fraud, 2 counts of money laundering, and 7 counts of securing execution of documents by deception. The charges are pending in Texas state court. PFS Investments, Inc. Broker Misconduct In his career, Derrick Trussell has been the subject of 4 customer complaints that we know about, all of those complaints were filed in the last two years to recover investment losses. All of Derrick Trussell’s 4 customer complaints were settled by PFS Investments, Inc. in favor of investors. Allegations Against Derrick Trussell A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleges that Derrick Trussell misrepresented investments not sold by Primerica. The customer alleges that the representative misrepresented that she was investing money with Primerica. The customer alleges that Derrick Trussell made an unauthorized trade. Derrick Trussell Red Flags & Your Rights as An Investor Of course, Derrick Trussell did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Derrick Trussell at PFS Investments, Inc. on alert to review carefully the activity and performance of their accounts and question whether Derrick Trussell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PFS Investments Inc. also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At PFS Investments, Inc. If you have questions about PFS Investments Inc. and/or Derrick Trusselland the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 4, 2022

Ronald Birnbaum of Advisory Group Equity Services Ltd.

DID RONALD DAVID BIRNBAUM CAUSE YOU INVESTMENT LOSSES? Ronald David Birnbaum with Advisory Group Equity Services Ltd. Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Ronald D. Birnbaum with Advisory Group Equity Services Ltd.? Ronald Birnbaum (CRD #2382580) who is currently registered with Advisory Group Equity Services Ltd. and located in Newton, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to Advisory Group Equity Services Ltd., Ronald Birnbaum was associated with four other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Advisory Group Equity Services Ltd. Broker Misconduct In his career, Ronald Birnbaum has been the subject of 6 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Two of Ronald Birnbaum’s 6 customer complaints were settled in favor of investors. There are currently 4 pending customer complaints filed against Ronald Birnbaum’s current employer Advisory Group Equity Services Ltd. for investment losses caused by his alleged misconduct. It appears that many of the complaints filed against Ronald Birnbaum relate to direct investments in private placements, limited partnership interests and tenant in common investments in the oil and gas and real estate sectors.  The most recent complaints appear to be related to GPB Capital Holdings, LLC sponsored private placements. The typical GPB investments were high risk, high commission (over 11%) and illiquid investments that were not registered with the SEC or any other regulator. These were unsuitable investments for unsophisticated investors at or near retirement primarily because of their illiquidity. Allegations Against Ronald Birnbaum A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants alleged unsuitable investments in breach of fiduciary duty with respect to direct investments in private placements and limited partnership interests involving the oil and gas and real estate industries. Claimants alleged unsuitable investments in private placements and limited partnership interests. Claimant alleged failure to conduct reasonable due diligence, overconcentration and unsuitable investment recommendations in private placements and limited partnership interests. Ronald Birnbaum Red Flags & Your Rights As An Investor Of course, Ronald Birnbaum did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Ronald Birnbaum at Advisory Group Equity Services Ltd. on alert to review carefully the activity and performance of their accounts and question whether Ronald Birnbaum has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Advisory Group Equity Services Ltd. also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Advisory Group Equity Services Ltd. If you have questions about Advisory Group Equity Services Ltd. and/or Ronald Birnbaum and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 4, 2022

Karl Foust of H.D. Vest Investment Services

DID KARL RONALD FOUST JR CAUSE YOU INVESTMENT LOSSES? Karl Ronald Foust Jr formerly with H.D. Vest Investment Services Has 8 Customer Complaints For Alleged Broker Misconduct Who is Karl R. Foust Jr formerly with H.D. Vest Investment Services? Karl Foust (CRD #1010291) who was formerly registered with H.D. Vest Investment Services and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to H.D. Vest Investment Services, Karl Foust was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Karl Foust was recently suspended by FINRA for failure to comply with an arbitration award entered against him in the amount of $200,000, and failure to provide information concerning the status of his compliance with the arbitration award. The award related to his recommendation that the Claimant invest in Wimbleton Health Partners, LLC promissory note which was never repaid. Karl Foust allegedly did not disclose any potential conflicts of interest concerning his relationship with Wimbleton Health Partners, LLC. Claimant also alleges that the investment recommendation was unsuitable for her and the arbitrators apparently agreed by entering the award. H.D. Vest Investment Services Broker Misconduct In his career, Karl Foust has been the subject of 8 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Five of Karl Foust’s 8 customer complaints were settled in favor of investors. There are currently 3 pending customer complaints filed against Karl Foust’s former employer H.D. Vest Investment Services for investment losses caused by his alleged misconduct. Allegations Against Karl Foust A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged negligence, breach of fiduciary duty, negligent supervision in violation of Chapter 517 of the Florida Securities and Investor Protection Act. Client alleged that registered representative recommended an investment in Wimbleton Health Partners, LLC which, according to the investor was an unsuitable and conflicted investment recommendation. Client alleged a registered representative recommended that she invest in Wimbleton Health Partners, LLC and Arrow rad. Karl Foust Red Flags & Your Rights As An Investor Of course, Karl Foust did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Karl Foust at H.D. Vest Investment Services on alert to review carefully the activity and performance of their accounts and question whether Karl Foust has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at H.D. Vest Investment Services about Karl Foust also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At H.D. Vest Investment Services If you have questions about H.D. Vest Investment Services and/or Karl Foust and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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