Jan 20, 2022

William Davis of Janney Montgomery Scott LLC

DID WILLIAM GEORGE DAVIS III CAUSE YOU INVESTMENT LOSSES? William George Davis III with Janney Montgomery Scott LLC Has 7 Customer Complaints For Alleged Broker Misconduct Who is William G. Davis III with Janney Montgomery Scott LLC? William Davis (CRD #1057933) who is currently registered with Janney Montgomery Scott LLC and located in Palm Beach Gardens, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Janney Montgomery Scott LLC, William Davis was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Janney Montgomery Scott LLC Broker Misconduct In his career, William Davis has been the subject of 7 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. There is currently one pending customer complaint filed against William Davis’ current employer Janney Montgomery Scott LLC for investment losses caused by his alleged misconduct. Allegations Against William Davis A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleged that William Davis purchased 2 mutual funds that were unsuitable investments. Client alleged that his financial advisor misrepresented an AXA annuity. Claimant alleged misrepresentation regarding the amount of insurance premiums. Client alleged that William Davis purchase annuities that were not suitable and further, sold under false and misleading pretenses. Client alleged that the stockbroker recommended an asset allocation there was improper. Claimant alleged William Davis made an unsuitable allocation and of assets in high-yield securities. William Davis Red Flags & Your Rights As An Investor Of course, William Davis did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of William Davis at Janney Montgomery Scott LLC on alert to review carefully the activity and performance of their accounts and question whether William Davis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Janney Montgomery Scott LLC 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 Janney Montgomery Scott LLC If you have questions about Janney Montgomery Scott LLC and/or William Davis 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

Billy Martin of Cetera Advisors LLC

DID BILLY WAYNE MARTIN CAUSE YOU INVESTMENT LOSSES? Billy Wayne Martin formerly with Cetera Advisors LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Billy W. Martin formerly with Cetera Advisors LLC? Billy Martin (CRD #2021424) who was formerly registered with Cetera Advisors LLC and located in Cape Girardeau, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors LLC, Billy Martin was associated with 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cetera Advisors LLC Broker Misconduct In his career, Billy Martin 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. One of Billy Martin’s customer’s complaints was settled in favor of investors. There is currently one pending customer complaint filed against Billy Martin’s former employer Cetera Advisors LLC for investment losses caused by his alleged misconduct. Allegations Against Billy Martin A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged that Billy Martin made unsuitable investment recommendations to invest in direct investments. Customers alleged that Billy Martin made unsuitable investment recommendations to cause them to invest in a direct investment involving real estate. Billy Martin Red Flags & Your Rights As An Investor Of course, Billy Martin 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 Billy Martin at Cetera Advisors LLC on alert to review carefully the activity and performance of their accounts and question whether Billy Martin has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Cetera Advisors LLC which 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 Cetera Advisors LLC If you have questions about Cetera Advisors LLC and/or Billy Martin 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

William McDonald of Valic Financial Advisors, Inc.

DID WILLIAM DAVID MCDONALD CAUSE YOU INVESTMENT LOSSES? William David McDonald formerly with Valic Financial Advisors, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is William D. McDonald formerly with Valic Financial Advisors, Inc.? William McDonald (CRD # 6159098) who was formerly registered with Valic Financial Advisors, Inc. and located in Overland Park, Kansas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Valic Financial Advisors, Inc., William McDonald was associated with another investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Valic Financial Advisors, Inc. Broker Misconduct In his career, William McDonald 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. One of William McDonald’s customer complaints was settled in favor of investors. There are currently one pending customer complaint filed against William McDonald’s former employer Valic Financial Advisors, Inc. for investment losses caused by his alleged misconduct. Allegations Against William McDonald   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleged that William McDonald in his capacity as a financial advisor did intentionally and without authority withdraw funds from the clients account. His former employer Valic Financial Advisors, Inc. settled the claim for the full amount allegedly withdrawn without the client’s authority. Client alleges that the financial advisor (her ex-husband) moved funds from her account without her authorization. William McDonald Red Flags & Your Rights As An Investor Of course, William McDonald did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of William McDonald at Valic Financial Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether William McDonald has engaged in any stockbroker misconduct that may have caused them investment losses. There are a large number of customer complaints at Valic Financial Advisors, Inc. which 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 Valic Financial Advisors, Inc. If you have questions about Valic Financial Advisors, Inc. and/or William McDonald 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

Christopher Neston of Ausdal Financial Partners, Inc.

DID CHRISTOPHER WILLIAM NESTON CAUSE YOU INVESTMENT LOSSES? Christopher William Neston with Ausdal Financial Partners, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Christopher W. Neston with Ausdal Financial Partners, Inc.? Christopher Neston (CRD #2741497) who is currently registered with Ausdal Financial Partners, Inc. and located in Lino Lakes, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ausdal Financial Partners, Inc., Christopher Neston was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ausdal Financial Partners, Inc. Broker Misconduct In his career, Christopher Neston has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. Both of Christopher Neston’s customer’s complaints were settled in favor of investors. Allegations Against Christopher Neston   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged that Christopher Neston over-concentrated the investments in his portfolio and speculative, high commission securities, which mostly included private placements involving equipment leasing, oil and gas industry and real estate securities. Customer alleged that Christopher Neston made unsuitable investment recommendations for speculative investments in a retirement account. Christopher Neston Red Flags & Your Rights As An Investor Of course, Christopher Neston 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 Christopher Neston at Ausdal Financial Partners, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Neston has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Ausdal Financial Partners, Inc. which 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 Ausdal Financial Partners, Inc. If you have questions about Ausdal Financial Partners, Inc. and/or Christopher Neston 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

William Ornstein of The GMS Group, LLC

DID WILLIAM MARTIN ORNSTEIN CAUSE YOU INVESTMENT LOSSES? William Martin Ornstein with The GMS Group, LLC Has 11 Customer Complaints For Alleged Broker Misconduct Who is William M. Ornstein with The GMS Group, LLC? William Ornstein (CRD #500470) who is currently registered with The GMS Group, LLC and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to The GMS Group, LLC, William Ornstein was associated with 8 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Ornstein has had his own share of regulatory problems with FINRA f/k/a NASD. He was suspended for 30 days and all capacities for allegedly sharing commissions with an unregistered person in failing to amend his U-4 registration application to disclose a customer complaint. The GMS Group, LLC Broker Misconduct In his career, William Ornstein has been the subject of 11 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. Nine of William Ornstein’s 11 customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against William Ornstein’s current employer The GMS Group, LLC for investment losses caused by his alleged misconduct. Allegations Against William Ornstein A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Clients alleged negligence and breach of fiduciary duty in connection with the offer and sale of municipal bonds. Client alleged fraudulent sales practices and over-concentration of investments in master limited partnerships and municipal bonds. Client alleged unsuitable investment recommendations related to corporate debt. Client alleged that William Ornstein engage in unauthorized and unsuitable trading in her account. Claimant alleged that William Ornstein made false and material misrepresentations concerning the sale of equipment leases, and other securities which constituted a breach of fiduciary duty and fraud. Claimant alleged negligence, misrepresentation, breach of fiduciary duty, and financial exploitation of an elderly in connection with securities investments. William Ornstein Red Flags & Your Rights As An Investor Of course, William Ornstein did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of William Ornstein at The GMS Group, LLC on alert to review carefully the activity and performance of their accounts and question whether William Ornstein has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The GMS Group, LLC about William Ornstein 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 The GMS Group, LLC If you have questions about The GMS Group, LLC and/or William Ornstein 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

William Shreve of UBS Financial Services Inc.

DID WILLIAM BURTON SHREVE CAUSE YOU INVESTMENT LOSSES? William Burton Shreve with UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is William B. Shreve with UBS Financial Services Inc.? William Shreve (CRD #852878) who is currently registered with UBS Financial Services Inc. and located in Lincoln, Nebraska is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., William Shreve was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services Inc. Broker Misconduct In his career, William Shreve has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. One of William Shreve’s customer complaints resulted in an arbitration award against him and his employer. Two of William Shreve’s for customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against William Shreve’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct. Allegations Against William Shreve A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged unauthorized transactions, securities fraud, and common law fraud related to options trading in an arbitration proceeding that resulted in an arbitration award in the investor’s favor. Claimant alleged failure to liquidate securities as instructed. Claimant alleged William Shreve made misrepresentations and unsuitable investment recommendations related to an investment in an options overlay strategy known as the UBS Yield Enhancement Strategy. William Shreve Red Flags & Your Rights As An Investor Of course, William Shreve did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of William Shreve at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether William Shreve has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. about the UBS Yield Enhancement Strategy 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 UBS Financial Services Inc. If you have questions about UBS Financial Services Inc. and/or William Shreve 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

Jeffrey Armstrong of LPL Financial, LLC

DID JEFFREY MARK ARMSTRONG CAUSE YOU INVESTMENT LOSSES? Jeffrey Mark Armstrong Of LPL Financial, LLC And Formerly with Lincoln Financial Advisors Corporation Has Had A Customer Complaint for Alleged Broker Misconduct in the Past Year Who is Jeffrey M. Armstrong with LPL Financial, LLC? Jeffrey Armstrong (CRD #2808264) who is currently registered with LPL Financial, LLC and located in Fairfax, Virginia is a subject of one of our many securities industry sales practice abuse investigations.   Prior to LPL Financial, LLC, Jeffrey Armstrong was associated with Lincoln Financial Advisors Corporation, 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Lincoln Financial Advisors Corporation Broker Misconduct Jeffrey Armstrong has been the subject of a customer complaint filed in the last year to recover investment losses. The claimants alleged that Jeffrey Armstrong told them unsuitable investments, including several private placements and non-traded REITs.  The customer complaint filed against Jeffrey Armstrong’s current employer LPL Financial, LLC for investment losses caused by his alleged misconduct is pending. Jeffrey Armstrong Red Flags & Your Rights as An Investor Of course, Jeffrey Armstrong did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Jeffrey Armstrong at LPL Financial, LLC and Lincoln Financial Advisors Corporation on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Armstrong has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Lincoln Financial Advisors Corporation which 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 LPL Financial, LLC And Lincoln Financial Advisors Corporation If you have questions about LPL Financial, LLC, Lincoln Financial Advisors Corporation, and/or Jeffrey Armstrong 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 Ascani of LPL Financial, LLC

DID DANIEL LEONARD ASCANI CAUSE YOU INVESTMENT LOSSES? Daniel Leonard Ascani with LPL Financial, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Daniel L. Ascani with LPL Financial, LLC? Daniel Ascani (CRD #1098977) who is currently registered with LPL Financial, LLC and located in Jupiter, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Prior to LPL Financial, LLC, Daniel Ascani was associated with Ameriprise Financial Services, Inc. and 11 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. LPL Financial, LLC And Ameriprise Financial Services Broker Misconduct In his career, Daniel Ascanihas been the subject of 2 customer complaints that we know about, one of those complaints was filed against Ameriprise Financial Services in the last year to recover investment losses. One of Daniel Ascani’s customer complaints was denied by LPL Financial, LLC and the investor took no further action. The other customer complaint recently filed against Daniel Ascani’s former employer Ameriprise Financial Services for investment losses caused by his alleged misconduct is still pending. Allegations Against Daniel Ascani A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged unsuitable investment recommendations purchased non-traded REITs. The claimant alleged illiquidity of 2 alternative investments had not been disclosed at the time of purchase. Daniel Ascani Red Flags & Your Rights as An Investor Of course, Daniel Ascani 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 Ascani at LPL Financial, LLC and Ameriprise Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Daniel Ascani has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at LPL Financial, LLC and Ameriprise Financial Services, Inc. which also raises questions about their supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses at LPL Financial, LLC And Ameriprise Financial Services If you have questions about LPL Financial, LLC, Ameriprise Financial Services, Inc., and/or Daniel Ascani 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

Frederick Atiyeh of Crown Capital Securities, L.P.

DID FREDERICK MARK ATIYEH CAUSE YOU INVESTMENT LOSSES? Frederick Mark Atiyeh with Crown Capital Securities, L.P. Has Had A Customer Complaint for Alleged Broker Misconduct in the Past Year Who is Frederick M. Atiyeh with Crown Capital Securities, L.P.? Frederick Atiyeh (CRD #872352) who is currently registered with Crown Capital Securities, L.P. and located in Whitmore Lake, Michigan is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Crown Capital Securities, L.P., Frederick Atiyeh was associated with 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Crown Capital Securities, L.P. Broker Misconduct In his career, Frederick Atiyehhas 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 Frederick Atiyeh’scustomer complaints were settled in favor of investors. Allegations Against Frederick Atiyeh A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleged that Frederick Atiyeh breached his fiduciary duties and constructing a portfolio that was over-concentrated in high-risk and illiquid alternative investments. The claimant alleged that the investments were unsuitable. The claimant alleged lack of adequate due diligence, negligence, misrepresentation, and breach of fiduciary duty relating to the purchase of UDF stock. Frederick Atiyeh Red Flags & Your Rights as An Investor Of course, Frederick Atiyeh 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 Frederick Atiyeh at Crown Capital Securities, L.P. on alert to review carefully the activity and performance of their accounts and question whether Frederick Atiyeh has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Crown Capital Securities, L.P.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 Crown Capital Securities, L.P. If you have questions about Crown Capital Securities, L.P. and/or Frederick Atiyeh 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

Douglas Hyer of First Allied Securities, Inc

DID DOUGLAS KEITH HYER CAUSE YOU INVESTMENT LOSSES? Douglas Keith Hyer with First Allied Securities, Inc. Has 4 Customer Complaints for Alleged Broker Misconduct Who is Douglas K. Hyer with First Allied Securities, Inc.? Douglas Hyer (CRD #254358) who is currently registered with First Allied Securities, Inc. and located in Great Neck, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Allied Securities, Inc., Douglas Hyer was associated with 10 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. First Allied Securities, Inc. Broker Misconduct In his career, Douglas Hyer has been the subject of 4 customer complaints that we know about, one of those complaints were filed in the last 2 years to recover investment losses. Two of Douglas Hyer’s customer complaints were settled in favor of investors.  The other 2 complaints were denied by Douglas Hyer’s former employers and the customers took no further action Allegations Against Douglas Hyer A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Clients in separate customer complaints alleged unsuitable investment recommendations related to mutual fund investments. The claimant alleged that Douglas Hyer made unsuitable investment recommendations and churned his account and further made recommendations to avoid breakpoints and lower the commissions for the customer.  The claimant alleged that the financial advisor recommended unsuitable alternative investments. Douglas Hyer Red Flags & Your Rights as An Investor Of course, Douglas Hyer 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 Douglas Hyer at First Allied Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Douglas Hyer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Allied Securities, Inc. about Douglas Hyer 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 First Allied Securities, Inc.   If you have questions about First Allied Securities, Inc. and/or Douglas Hyer 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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