Jan 20, 2022

Harry Carroll of MML Investors Services

DID HARRY ALOYSIUS CARROLL CAUSE YOU INVESTMENT LOSSES? Harry Carroll of MML Investors Services and Formerly with MSI Financial Services and NewSquare Capital Has 5 Customer Complaints for Alleged Broker Misconduct Who is Harry Carroll of MML Investors Services? Harry Carroll (CRD #2617434) who is currently registered with MML Investors Services and located in Marlton, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Harry Carroll was associated with MSI Financial Services, NewSquare Capital, and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Harry Carroll Customer Complaints Harry Carroll has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of Harry Carroll’s 5 customer complaints were settled in favor of investors. Two of Harry Carroll’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Harry Carroll A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Civil conspiracy, fraud, suitability, and lack of supervision with a stated account loss of $165,000.00 allegedly committed by Harry Carroll. The customer alleges Harry Carroll violated NASD Rule 2310 by not dealing fairly with a customer. The alleged compensatory damage amount was unspecified. The customer alleged that Harry Carroll did not place trades as requested within the sub-accounts of variable annuities. Customers have alleged disappointment in Harry Carroll’s recommendation to invest in Ridgewood Energy. The complainant alleges that he was sold an unsuitable product by Harry Carroll that was designed to be purchased by accredited investors, which he states he was not. He alleges that erroneous financial information was entered on his investment documents so that it appeared that the investment was suitable for him when it was not. Harry Carroll Red Flags & Your Rights as An Investor Of course, Harry Carroll 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 Harry Carroll at MML Investors Services, MSI Financial Services, and NewSquare Capital on alert to review carefully the activity and performance of their accounts and question whether Harry Carroll has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at MML Investors Services, MSI Financial Services, and NewSquare Capital also raises questions about the brokerage firms’ 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 MML Investors Services and MSI Financial Services Due to Harry Carroll If you have questions about MML Investors Services, MSI Financial Services, and NewSquare Capital, and/or Harry Carroll 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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Jan 20, 2022

Gregory Dean of Worden Capital Management

DID GREGORY THOMAS DEAN CAUSE YOU INVESTMENT LOSSES? Gregory Dean Formerly with Worden Capital Management Has 13 Customer Complaints for Alleged Broker Misconduct Who is Gregory Dean formerly with Worden Capital Management? Gregory Dean (CRD #4922996) who was formerly registered with Worden Capital Management and located in Rockville Centre, New York is a subject of one of our many securities industry sales practice abuse investigations. Our investigation was precipitated by the two investigations of the regulators, the United States Securities and Exchange Commission (SEC), and FINRA. In August 2019, FINRA permanently barred Gregory Dean from any association with any FINRA member firm in any capacity for allegedly engaging in churning and quantitatively unsuitable trading in the accounts of customers.  That same year, the SEC settled a civil action, it filed against Gregory Dean and permanently enjoined him from further violations of the federal securities laws. Gregory Dean Customer Complaints Gregory Dean has been the subject of13 customer complaints that we know about. Twelve of Gregory Dean’s 13 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Worden Capital Management for investment losses caused by Gregory Dean’s alleged misconduct. Allegations Against Gregory Dean A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged claims involve churning, negligence, unsuitability, overconcentration, and failure to supervise by Gregory Dean. Churning and excessive trading, unsuitability, violation of FINRA rules, State Blue Sky Laws, and Section 10(B) and Rule 10B-5 of the exchange act of 1934, violation of FINRA Rules 2010, IM-2310-2, and 2020, failure to supervise allegedly committed by Gregory Dean. Churning, unsuitability, negligent supervision, markup or commission abuse, breach of fiduciary duty allegedly made by Gregory Dean. Churning, unsuitability, negligent supervision, markup or commission abuse, overconcentration, breach of fiduciary duty allegedly committed by Gregory Dean. Churning; unsuitability; breach of fiduciary duty; common law fraud; breach of contract; negligent supervision allegedly by Gregory Dean. Excessive Commission, Churning, and Unsuitable Transactions allegedly committed by Gregory Dean. Excessive trading, Churning, Unsuitability, Unauthorized Transactions, Failure to Supervise, Respondent Superior, Ownership Liability allegedly by Gregory Dean. Failed to follow instructions on a stop-loss order. Request to recover losses on missed stop-loss allegedly made by Gregory Dean. Unsuitable trading, excessive turnover/churning by Gregory Dean. Unsuitability and overconcentration; excessive trading and margin abuse; failure to supervise; breach of fiduciary duty; negligence; fraudulent misrepresentation; and, breach of contract allegedly by Gregory Dean. Unsuitable Investments and Negligent Account Management; Churning; Misrepresentations, omissions, and violations of the Indiana Securities Act and Regulations thereunder, Breach of contract; Breach of fiduciary duty and Constructive Fraud; Violations of the FINRA Conduct Rules and NYSE Rules by Gregory Dean. Gregory Dean Red Flags & Your Rights as An Investor Of course, Gregory Dean 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 Gregory Dean at Worden Capital Management on alert to review carefully the activity and performance of their accounts and question whether Gregory Dean has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Worden Capital Management also raises questions about the brokerage firms’ 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 Due to Gregory Dean If you have questions about Worden Capital Management, and/or Gregory Dean 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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Jan 20, 2022

Guy Harrigan of Lion Street Financial

DID GUY ANTHONY HARRIGAN CAUSE YOU INVESTMENT LOSSES? Guy Harrigan of Lion Street Financial and Formerly with Triad Advisors Has A Customer Complaint for Alleged Broker Misconduct Who is Guy Harrigan of Lion Street Financial? Guy Harrigan (CRD #1817525) who is currently registered with Lion Street Financial and located in Boulder, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to Lion Street Financial, Lion Street Advisors, Guy Harrigan was associated with Triad Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Guy Harrigan Customer Complaint Guy Harrigan has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were the claimant alleges unsuitable investments in REITs and GPB private placements, spanning Representative’s association with three broker-dealers. The customer complaint filed against Guy Harrigan’s current and former employers, Lion Street Financial, LPL Financial, and Triad Advisors for investment losses caused by the alleged misconduct is pending as of the date of this report. Guy Harrigan Red Flags & Your Rights as An Investor Of course, Guy Harrigan 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 Guy Harrigan at Lion Street Financial, Lion Street Advisors, and Triad Advisors on alert to review carefully the activity and performance of their accounts and question whether Guy Harrigan has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Lion Street Financial, Lion Street Advisors, and Triad Advisors also raises questions about the brokerage firm’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 Lion Street Financial, Lion Street Advisors Due to Guy Harrigan If you have questions about Lion Street Financial, Lion Street Advisors, Triad Advisors, and/or Guy Harrigan 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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Jan 20, 2022

Gregory Kinkead of Centaurus Financial

DID GREGORY SCOTT KINKEAD CAUSE YOU INVESTMENT LOSSES? Gregory Kinkead of Centaurus Financial Has 7 Customer Complaints for Alleged Broker Misconduct Who is Gregory Kinkead of Centaurus Financial? Gregory Kinkead (CRD #2473933) who is currently registered with Centaurus Financial and located in Las Vegas, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Gregory Kinkead Customer Complaints Gregory Kinkead has been the subject of 7 customer complaints that we know about. One of Gregory Kinkead’s 7 customer complaints was settled in favor of investors. Six of Gregory Kinkead’s customer’s complaints were denied and the customers did not take any further action. Allegations Against Gregory Kinkead A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Gross mismanagement of accounts and unsuitable recommendations made by Gregory Kinkead. The client alleged gross mismanagement and unsuitable investments made by Gregory Kinkead. The client’s alleged misrepresentation of an annuity by Gregory Kinkead. The customer alleges that Gregory Kinkead recommended investments that were unsuitable, illiquid, and were based on compensation. The client alleged misrepresentation with regard to an annuity made by Gregory Kinkead. The client alleged misrepresentation of an annuity made by Gregory Kinkead. The client alleged misrepresentation of an annuity made by Gregory Kinkead. Gregory Kinkead Red Flags & Your Rights as An Investor Of course, Gregory Kinkead 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 Gregory Kinkead at Centaurus Financial on alert to review carefully the activity and performance of their accounts and question whether Gregory Kinkead has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Centaurus Financial also raises questions about the brokerage firms’ 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 Centaurus Financial Due to Gregory Kinkead If you have questions about Centaurus Financial and/or Gregory Kinkead 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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Jan 20, 2022

Gregory Matsen of First Allied Securities

DID GREGORY DAVID MATSEN CAUSE YOU INVESTMENT LOSSES? Gregory Matsen Formerly with First Allied Securities Has A Customer Complaint for Alleged Broker Misconduct Who is Gregory Matsen formerly with First Allied Securities? Gregory Matsen (CRD #5239725) who was formerly registered with First Allied Securities, First Allied Advisory Services, and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Gregory Matsen Customer Complaint Gregory Matsen has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were client alleges unsuitability and misrepresentation. Gregory Matsen’s customer complaint was settled in favor of the investors. Gregory Matsen Red Flags & Your Rights as An Investor Of course, Gregory Matsen 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 Gregory Matsen at First Allied Securities and First Allied Advisory Services on alert to review carefully the activity and performance of their accounts and question whether Gregory Matsen has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at First Allied Securities and First Allied Advisory Services also raises questions about the brokerage firm’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 First Allied Securities Due to Gregory Matsen If you have questions about First Allied Securities, First Allied Advisory Services, and/or Gregory Matsen 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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Jan 20, 2022

Gordon Shalek of Ameriprise Financial Services

DID GORDON SCOTT SHALEK CAUSE YOU INVESTMENT LOSSES? Gordon Shalek of Ameriprise Financial Services Has 3 Customer Complaints for Alleged Broker Misconduct Who is Gordon Shalek of Ameriprise Financial Services? Gordon Shalek (CRD #1557601) who is currently registered with Ameriprise Financial Services and located in Plantation, Florida is a subject of one of our many securities industry sales practice abuse investigations. Gordon Shalek Customer Complaints Gordon Shalek has been the subject of3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Gordon Shalek’s 3 customer complaints was settled in favor of investors. Two of Gordon Shalek’s customer’s complaints were denied and the customers did not take any further action. Allegations Against Gordon Shalek A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Clients allege claims of unsuitability, misrepresentation, breach of fiduciary duty, and fraud against AEFA and Gordon Shalek in the recommendation and handling of their account. In addition, they allege their advisor was not licensed in Colorado at the time he sold AEFA products to the clients. The client alleged that Gordon Shalek misappropriated a wire transfer representing a spin-off from a Real Estate Investment Trust. The clients alleged that Gordon Shalek transferred their investments from a moderately conservative portfolio to a portfolio consisting of mostly equities, which they felt was an unsuitable recommendation. Gordon Shalek Red Flags & Your Rights as An Investor Of course, Gordon Shalek 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 Gordon Shalek at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Gordon Shalek has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Ameriprise Financial Services also raises questions about the brokerage firms’ 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 Due to Gordon Shalek If you have questions about Ameriprise Financial Services, and/or Gordon Shalek 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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Jan 20, 2022

Harold Weber of Aegis Capital

DID HAROLD WEBER CAUSE YOU INVESTMENT LOSSES? Harold Weber of Aegis Capital and Formerly with Wells Fargo Advisors Has 5 Customer Complaints for Alleged Broker Misconduct Who is Harold Weber of Aegis Capital? Harold Weber (CRD #1047064) who is currently registered with Aegis Capitaland located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Harold Weber was associated with Wells Fargo Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Harold Weber Customer Complaints Harold Weber has been the subject of 5 customer complaints that we know about.  All five of Harold Weber’s customer complaints were settled in favor of investors. Allegations Against Harold Weber A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleges Harold Weber over concentrated his retirement account in volatile and speculative penny stocks. The claimant alleges that upon transferring his accounts from Morgan Stanley to Wells Fargo Advisors, Harold Weber continued to make unsuitable investment recommendations and that he continued to misrepresent material facts about specific investments. Claimants alleged, inter alia, unsuitability with respect to investments made by Harold Weber. The clients allege excessive trading and allege investments made by Harold Weber were not suitable. The client claims misrepresentation and unsuitable investments in mutual fund securities allegedly committed by Harold Weber. Evolved into an arbitration whereas the representative is not named but is the subject. Arbitration: claimant alleges unsuitable investments were recommended to him. Harold Weber Red Flags & Your Rights as An Investor Of course, Harold Weber 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 Harold Weber at Aegis Capital and Wells Fargo Advisors on alert to review carefully the activity and performance of their accounts and question whether Harold Weber has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Aegis Capital and Wells Fargo Advisors also raises questions about the brokerage firms’ 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 Aegis Capital Due to Harold Weber If you have questions about Aegis Capital, Wells Fargo Advisors, and/or Harold Weber 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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Jan 20, 2022

Heather Weber of Merrill Lynch

DID HEATHER PETERSON WEBER CAUSE YOU INVESTMENT LOSSES? Heather Weber of Merrill Lynch Pierce Fenner & Smith Has 10 Customer Complaints for Alleged Broker Misconduct Who is Heather Weber of Merrill Lynch Pierce Fenner & Smith? Heather Weber (CRD #2911524) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Clearwater, Florida is a subject of one of our many securities industry sales practice abuse investigations. Heather Weber Customer Complaints Heather Weber has been the subject of 10 customer complaints that we know about. Seven of Heather Weber’s 10 customer complaints were settled in favor of investors. Three of Heather Weber’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Heather Weber A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client alleged misrepresentation with regard to the purchase of an annuity made by Heather Weber. The client alleged misrepresentation with regard to the purchase of equity made by Heather Weber. The customer alleges misrepresentation by Heather Weber. The customer alleges unsuitable investment recommendations and misrepresentation and omission of material facts committed by Heather Weber. The customer alleges unsuitable investment recommendations and misrepresentation.  The The customers in 5 separate arbitrations all allege unsuitable investment recommendations and misrepresentation by Heather Weber. The customers allege unsuitable investment recommendations and misrepresentation and omission of material facts made by Heather Weber. Heather Weber Red Flags & Your Rights as An Investor Of course, Heather Weber 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 Heather Weber at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Heather Weber has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Merrill Lynch Pierce Fenner & Smith also raises questions about the brokerage firms’ 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 Merrill Lynch Pierce Fenner & Smith Due to Heather Weber If you have questions about Merrill Lynch Pierce Fenner & Smith, and/or Heather Weber 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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Jan 20, 2022

Gloria Barbier of Equitable Advisors, LLC

DID GLORIA BARBIER CAUSE YOU INVESTMENT LOSSES? Gloria Barbier of Equitable Advisors, LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Gloria Barbier of Equitable Advisors, LLC? Gloria Barbier (CRD #5719709) who is currently registered with Equitable Advisors, LLC and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Gloria Barbier Customer Complaint Gloria Barbier has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that the Claimant alleges Gloria Barbier made unsuitable recommendations in the sale of three REITs, an equity managed account, and a variable annuity in 2014, and did not adequately disclose the risks attendant to the products. The customer complaint filed against Gloria Barbier’s former employer AXA Advisors for investment losses caused by the alleged misconduct is pending as of the date of this report. Gloria Barbier Red Flags & Your Rights As An Investor Of course, Gloria Barbier 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 Gloria Barbier at Equitable Advisors, LLC and AXA Advisors on alert to review carefully the activity and performance of their accounts and question whether Gloria Barbier has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, LLC and AXA Advisors also raises questions about the brokerage firm’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 Equitable Advisors, LLC and AXA Advisors Due To Gloria Barbier If you have questions about Equitable Advisors, LLC, AXA Advisors, and/or Gloria Barbier 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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Jan 20, 2022

George Byykkonen of LPL Financial LLC

DID GEORGE WILLIAM BYYKKONEN CAUSE YOU INVESTMENT LOSSES? George Byykkonen of LPL Financial LLC Has One Customer Complaint For Alleged Broker Misconduct Who is George Byykkonen of LPL Financial LLC? George Byykkonen (CRD #2085016) who is currently registered with LPL Financial LLC and located in Platteville, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. George Byykkonen Customer Complaint George Byykkonen has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that the customer alleges misrepresentation. George Byykkonen’s customer complaint was denied and the customers did not take any further action. George Byykkonen Red Flags & Your Rights As An Investor Of course, George Byykkonen 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 Byykkonen at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether George Byykkonen 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 the brokerage firm’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 LPL Financial Due To George Byykkonen If you have questions about LPL Financial LLC and/or George Byykkonen 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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