Jan 20, 2022

David Adams of Ameriprise Financial Services, LLC

DID DAVID NORMAN ADAMS CAUSE YOU INVESTMENT LOSSES? David Adams of Ameriprise Financial Services, LLC And Formerly With Sagepoint Financial Has 2 Customer Complaints For Alleged Broker Misconduct Who is David Adams of Ameriprise Financial Services, LLC? David Adams (CRD #1575083) who is currently registered with Ameriprise Financial Services, LLC and located in Jacksonville, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, LLC, David Adams was associated with Sagepoint Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Adams Customer Complaints David Adams has been the subject of 2 customer complaints customer complaints that we know about, with one of those complaints filed in the last year to recover investment losses. There is currently one pending customer complaint filed against David Adams’ former employer Sagepoint Financial for investment losses caused by the alleged misconduct. Allegations Against David Adams 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 that David Adams made an investment in GPB holdings that is unsuitable. Policyowner alleges that he was led to believe by David Adams that new policy would be the same as whole life and has been trying to reduce the face amount of the policy. David Adams Red Flags & Your Rights As An Investor Of course, David Adams 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 David Adams at Ameriprise Financial Services, LLC and Sagepoint Financial on alert to review carefully the activity and performance of their accounts and question whether David Adams has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC and Sagepoint 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 Ameriprise Financial Services, LLC And Sagepoint Financial Due To David Adams If you have questions about Ameriprise Financial Services, LLC, Sagepoint Financial, and/or David Adams 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

David Boydell of Mutual Advisors, LLC

DID DAVID CODD BOYDELL CAUSE YOU INVESTMENT LOSSES? David Boydell of Mutual Advisors, LLC And Formerly With Concert Wealth Management, Mid Atlantic Capital, Mid Atlantic Financial Management, And Mutual Securities Has 4 Customer Complaints For Alleged Broker Misconduct Who is David Boydell of Mutual Advisors, LLC? David Boydell (CRD #1817613) who is currently registered with Mutual Advisors, LLC and located in Sonoma, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Mutual Advisors, LLC, David Boydell was associated with Concert Wealth Management, Mid Atlantic Capital, Mid Atlantic Financial Management, Mutual Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Boydell Customer Complaints David Boydell has been the subject of 4 customer complaints customer complaints that we know about. Three of David Boydell’s 4 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against David Boydell’s former employer Mid Atlantic Capital Corporation for investment losses caused by the alleged misconduct. Allegations Against David Boydell A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: David Boydell’s Breach of Fiduciary Duty, Common Law Fraud, Negligence/Negligent Misrepresentation/Omission, Breach of Contract, Restitution, Negligent Supervision. David Boydell allegedly committed common law fraud, breach of fiduciary duty, negligent failure to supervise, negligence related to the sale of a private placement fund. David Boydell allegedly committed fraud, lack of supervision and suitability. Suitability, failure to supervise and other charges related to the sale of limited partnership interest by David Boydell. David Boydell Red Flags & Your Rights As An Investor Of course, David Boydell 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 David Boydell at Mutual Advisors, LLC, Concert Wealth Management, Mid Atlantic Capital, Mid Atlantic Financial Management, and Mutual Securities on alert to review carefully the activity and performance of their accounts and question whether David Boydell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Mutual Advisors, LLC, Concert Wealth Management, Mid Atlantic Capital, Mid Atlantic Financial Management, and Mutual Securities 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 Mutual Advisors, LLC And Mid Atlantic Capital Due To David Boydell If you have questions about Mutual Advisors, LLC, Concert Wealth Management, Mid Atlantic Capital, Mid Atlantic Financial Management, Mutual Securities, and/or David Boydell 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

David Frankel of National Asset Management, Inc.

DID DAVID LLOYD FRANKEL CAUSE YOU INVESTMENT LOSSES? David Frankel of National Asset Management, Inc., National Securities Corp. And Formerly With Wells Fargo Advisors Financial Network Has One Customer Complaint For Alleged Broker Misconduct Who is David Frankel of National Asset Management, Inc.? David Frankel (CRD #2691073) who is currently registered with National Asset Management, Inc., National Securities Corp. and located in Jericho, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to National Asset Management, Inc. and National Securities Corp., David Frankel was associated with Wells Fargo Advisors Financial Network and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Frankel Customer Complaint David Frankel 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 for misrepresentation. The customer complaint filed against David Frankel’s current employer National Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. David Frankel Red Flags & Your Rights As An Investor Of course, David Frankel 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 David Frankel at National Asset Management, Inc., National Securities Corp. and Wells Fargo Advisors Financial Network on alert to review carefully the activity and performance of their accounts and question whether David Frankel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Asset Management, Inc., National Securities Corp. and Wells Fargo Advisors Financial Network 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 National Asset Management, Inc. Due To David Frankel If you have questions about National Asset Management, Inc., National Securities Corp., Wells Fargo Advisors Financial Network, and/or David Frankel 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

David Gwynn of H. Beck, Inc.

DID DAVID FOOTE GWYNN CAUSE YOU INVESTMENT LOSSES? David Gwynn of H. Beck, Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is David Gwynn of H. Beck, Inc.? David Gwynn (CRD #232599) who is currently registered with H. Beck, Inc. and located in Victor, New York is a subject of one of our many securities industry sales practice abuse investigations. David Gwynn Customer Complaint David Gwynn 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 that the client alleges an unsuitable recommendation in a Real Estate Investment Trust. David Gwynn’s customer complaint was denied and the customers did not take any further action. David Gwynn Red Flags & Your Rights As An Investor Of course, David Gwynn 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 David Gwynn at H. Beck, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Gwynn has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at H. Beck, Inc. 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 H. Beck, Inc. Due To David Gwynn If you have questions about H. Beck, Inc. and/or David Gwynn 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

David Hale of Perigon Wealth Management, LLC

DID DAVID NATHAN HALE CAUSE YOU INVESTMENT LOSSES? David Hale of Perigon Wealth Management, LLC, Purshe Kaplan Sterling Investments And Formerly With Avondale Conquest And Avondale Partners Has 2 Customer Complaints For Alleged Broker Misconduct Who is David Hale of Perigon Wealth Management, LLC? David Hale (CRD #4340566) who is currently registered with Perigon Wealth Management, LLC, Purshe Kaplan Sterling Investments and located in San Francisco, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Perigon Wealth Management, LLC and Purshe Kaplan Sterling Investments, David Hale was associated with Avondale Conquest, Avondale Partners and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Hale Customer Complaints David Hale has been the subject of 2 customer complaints that we know about. One of David Hale’s 2 customer complaints was settled in favor of investors. One of David Hale’s customers complaints was denied and the customers did not take any further action. Allegations Against David Hale A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleges David Hale committed reverse churning in their advisory account held with Fidelity and managed through an unaffiliated Registered Investment Advisory firm: Avondale Partners. Client alleges David Hale was churning her account. The alleged damages are estimated to be in excess of $5000. David Hale Red Flags & Your Rights As An Investor Of course, David Hale 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 David Hale at Perigon Wealth Management, LLC, Purshe Kaplan Sterling Investments, Avondale Conquest, and Avondale Partners on alert to review carefully the activity and performance of their accounts and question whether David Hale has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Perigon Wealth Management, LLC, Purshe Kaplan Sterling Investments, Avondale Conquest, and Avondale Partners 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 Perigon Wealth Management, LLC and Purshe Kaplan Sterling Investments Due To David Hale If you have questions about Perigon Wealth Management, LLC, Purshe Kaplan Sterling Investments, Avondale Conquest, Avondale Partners, and/or David Hale 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

David Lex of BMO Harris Financial Advisors, Inc.

DID DAVID SCOTT LEX CAUSE YOU INVESTMENT LOSSES? David Lex of BMO Harris Financial Advisors, Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is David Lex of BMO Harris Financial Advisors, Inc.? David Lex (CRD #4386158) who is currently registered with BMO Harris Financial Advisors, Inc. and located in Mequon, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. David Lex Customer Complaint David Lex 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 that the customer alleges unsuitability, failure to follow instructions, and misrepresentation in connection with a Unit Investment Trust. The customer complaint filed against David Lex’s current employer BMO Harris Financial Advisors, Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. David Lex Red Flags & Your Rights As An Investor Of course, David Lex 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 David Lex at BMO Harris Financial Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Lex has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at BMO Harris Financial Advisors, Inc. 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 BMO Harris Financial Advisors, Inc. Due To David Lex If you have questions about BMO Harris Financial Advisors, Inc., and/or David Lex 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

Dennis Reeve of Cetera Investment Services LLC

DID DENNIS ALLEN REEVE CAUSE YOU INVESTMENT LOSSES? Dennis Reeve Formerly With Cetera Investment Services LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Dennis Reeve formerly with Cetera Investment Services LLC? Dennis Reeve (CRD #1603350) who was formerly registered with Cetera Investment Services LLC and located in Warsaw, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Dennis Reeve Customer Complaint Dennis Reeve 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 client alleges breach of fiduciary duty, violation of FINRA rules, breach of contract and negligence. Dennis Reeve’s customer complaint was settled in favor of investors. Dennis Reeve Red Flags & Your Rights As An Investor Of course, Dennis Reeve 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 Dennis Reeve at Cetera Investment Services LLC on alert to review carefully the activity and performance of their accounts and question whether Dennis Reeve has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Investment Services 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 Cetera Investment Services LLC Due To Dennis Reeve If you have questions about Cetera Investment Services LLC, and/or Dennis Reeve 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

David Reynolds of Allstate Financial Services, LLC

DID DAVID LEE REYNOLDS CAUSE YOU INVESTMENT LOSSES? David Reynolds Formerly With Allstate Financial Services, LLC And Princor Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is David Reynolds formerly with Allstate Financial Services, LLC? David Reynolds (CRD #4685302) who was formerly registered with Allstate Financial Services, LLC and located in Modesto, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Allstate Financial Services, David Reynolds was associated with Princor Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Reynolds has had his own problems with the regulators. In November 2017, he was permanently barred from association with any FINRA member firm in any capacity for allegedly failing to produce FINRA requested documents and information in connection with its review of allegations that he had misappropriated customer funds. David Reynolds Customer Complaints David Reynolds has been the subject of 3 customer complaints that we know about. Two of David Reynolds’ 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against David Reynolds’ former employer Princor Financial Services for investment losses caused by the alleged misconduct.  Allegations Against David Reynolds A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleges David Reynolds fraudulently took $38,000 for investment, along with breakpoint violations, churning, unsuitable investments and elder abuse. Customer alleges that David Reynolds gave representative money to invest and the representative has not returned his monies. Customer alleges that she gave David Reynolds money to invest and David Reynolds has not returned her monies. David Reynolds Red Flags & Your Rights As An Investor Of course, David Reynolds 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 David Reynolds at Allstate Financial Services, LLC and Princor Financial Services on alert to review carefully the activity and performance of their accounts and question whether David Reynolds has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Allstate Financial Services, LLC and Princor 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 Allstate Financial Services, LLC Due To David Reynolds If you have questions about Allstate Financial Services, LLC, Princor Financial Services, and/or David Reynolds 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

David Bittermann of Oppenheimer & Co. Inc

DID DAVID ALLAN BITTERMANN CAUSE YOU INVESTMENT LOSSES? David Allan Bittermann Of Oppenheimer & Co. Inc. Has A Customer Complaint for Alleged Broker Misconduct in The Past Year Who is David A. Bittermann with Oppenheimer & Co. Inc.? David Bittermann (CRD #1081760) who is currently registered with Oppenheimer & Co. Inc. and located in Fort Worth, Texas is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Oppenheimer & Co. Inc., David Bittermann was associated with 3 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, David Bittermann has been the subject of 2 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. Both of David Bittermann’s customer complaints were settled in favor of investors. Allegations Against David Bittermann A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleged that David Bittermann failed to fully explain the nature, mechanics, and risks of an investment in made unsuitable investment recommendations. The customer alleged David Bittermann engaged in unauthorized trading, excessive trading, and failure to follow his instructions. David Bittermann Red Flags & Your Rights as An Investor Of course, David Bittermann 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 David Bittermann at Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether David Bittermann has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Oppenheimer & Co. Inc. which 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. If you have questions about Oppenheimer & Co. Inc. and/or David Bittermann 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

Daniel Dillard of Union Capital Company

DID DANIEL G. DILLARD CAUSE YOU INVESTMENT LOSSES? Daniel G. Dillard Formerly with Union Capital Company, And Sagepoint Financial, Inc. Has A Customer Complaint for Alleged Broker Misconduct in The Past Year Who is Daniel G. Dillard formerly with Union Capital Company? Daniel Dillard (CRD #4289333) who was formerly registered with Union Capital Company and located in Austin, Texas is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Union Capital Company, Daniel Dillard was associated with Sagepoint Financial, Inc. and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Daniel Dillard has had his own problems with the regulators. In September 2015, while he was working for LPL Financial, LLC, he was suspended by FINRA from association with any member firm in any capacity for 3 months and fined $5,000.  Daniel Dillard consented to FINRA’s findings, without admitting or denying the allegations, that he took a firm form and falsified information on the document. Sagepoint Financial, Inc. Broker Misconduct Daniel Dillard has recently been the subject of a customer complaint that we know about that was filed in the last year to recover investment losses. The claimant alleged in the complaint that Daniel Dillard made unsuitable investment recommendations, misrepresentations and breached his fiduciary duties in connection with variable annuity and other direct investments.  The customer complaint filed against Daniel Dillard’s former employer Sagepoint Financial, Inc. for investment losses caused by his alleged misconduct is still pending. Daniel Dillard Red Flags & Your Rights as An Investor Of course, Daniel Dillard 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 Daniel Dillard at Union Capital Company and Sagepoint Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Daniel Dillard has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Sagepoint Financial, Inc. 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 Union Capital Company If you have questions about Union Capital Company, Sagepoint Financial, Inc., and/or Daniel Dillard 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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