Jan 20, 2022

Aaron Adcock of CapFinancial Securities, LLC

DID AARON ADCOCK CAUSE YOU INVESTMENT LOSSES? Aaron Adcock of CapFinancial Securities, LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Aaron Adcock of CapFinancial Securities? Aaron Adcock (CRD #4849315) who is currently registered with CapFinancial Securities, LLC and located in Chesterton, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to CapFinancial Securities, LLC, Aaron Adcock was associated with Lakeside Wealth Management Group and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. CapFinancial Securities, LLC Broker Misconduct In his career, Aaron Adcock has been the subject of one customer complaint that we know about. This complaint was settled in favor of investors. Allegations Against Aaron Adcock A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client states that REIT was misrepresented in 2013. Aaron Adcock Red Flags & Your Rights As An Investor Of course, Aaron Adcock 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 Aaron Adcock at CapFinancial Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Aaron Adcock has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at CapFinancial Securities, 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 CapFinancial Securities, LLC If you have questions about CapFinancial Securities, LLC and/or Aaron Adcock 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

Adam Lunceford of LPL Financial LLC

DID ADAM ROSS LUNCEFORD CAUSE YOU INVESTMENT LOSSES? Adam Ross Lunceford of LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Adam R. Lunceford of LPL Financial LLC? Adam Lunceford (CRD #4686499) who is currently registered with LPL Financial LLC and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Adam Lunceford was associated with Householder Group Financial Advisors and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Adam Lunceford Broker Misconduct In his career, Adam Lunceford has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. One of Adam Lunceford’s 2 customer complaints was settled in favor of investors. One of the customers’ complaints was denied and the customers did not take any further action. Allegations Against Adam Lunceford A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: It is alleged that Mr. Lunceford disregarded the Claimant’s objectives by recommending that he invest more than half his portfolio at SSN in illiquid non-traded REITs. Customers allege that investment objective for their accounts  was changed without their approval which resulted in unsuitable trades. Adam Lunceford Red Flags & Your Rights As An Investor Of course, Adam Lunceford 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 Adam Lunceford at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Adam Lunceford 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 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 If you have questions about LPL Financial LLC and/or Adam Lunceford 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

Allen Mckell of FSC Securities

DID ALLEN GLADE MCKELL CAUSE YOU INVESTMENT LOSSES? Allen Glade Mckell Formerly With FSC Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Allen G. Mckell formerly with FSC Securities? Allen Mckell (CRD #2494700) who was formerly registered with FSC Securities and located in Valencia, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to FSC Securities, Allen Mckell was associated with 1st Global Capital and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. FSC Securities Broker Misconduct In his career, Allen Mckell has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. One of Allen Mckell’s 2 customer complaints was settled in favor of investors. One of the customers’ complaints was denied and the customers did not take any further action. Allegations Against Allen Mckell A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleges recommendation of alternative investment was not suitable. Claimant asserts registered representative recommendation of Wells REIT was unsuitable. Allen Mckell Red Flags & Your Rights As An Investor Of course, Allen Mckell 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 Allen Mckell at FSC Securities on alert to review carefully the activity and performance of their accounts and question whether Allen Mckell has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at FSC Securities 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 FSC Securities If you have questions about FSC Securities and/or Allen Mckell 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 Fenwick of First Kentucky Securities

DID WILLIAM CRANSTON FENWICK CAUSE YOU INVESTMENT LOSSES? William Cranston Fenwick of First Kentucky Securities Has 4 Customer Complaints For Alleged Broker Misconduct Who is William C. Fenwick of First Kentucky Securities? William Fenwick (CRD #1547907) who is currently registered with First Kentucky Securities and located in Louisville, Kentucky is a subject of one of our many securities industry sales practice abuse investigations. First Kentucky Securities has a history of customer complaints and securities industry regulatory problems. First Kentucky Securities Broker Misconduct In his career, William Fenwick has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. 2 arbitration awards were entered against William Fenwick’s former employers First Kentucky Securities for his alleged misconduct causing investors losses. One of William Fenwick’s 4 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against First Kentucky Securities for investment losses caused by William Fenwick’s alleged misconduct. Allegations Against William Fenwick A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleges that Mr. Fenwick recommended two positions in energy stocks in 2015. The claimant further alleges those recommendations resulted in: (1) breach of fiduciary duty, (2) violation of Kentucky’s Securities Act, KRS Chapter 292, (3) breach of contract, (4) negligence, (5) common law fraud, (6) unjust enrichment, and (7) negligent supervision. William c. Fenwick, Jr. was a subject of the customers’ complaint against his member firms that asserted the following causes of action: unsuitable recommendations, failure to disclose risk, violation of FINRA rules, failure to supervise, breach of the duty of fair dealing, failure to observe just and equitable principles of trade, and violations of the anti-fraud provisions of the Texas civ. Stat. Art 581-33. The causes of action related to claimants’ allegations that respondent recommended an unsuitable asset allocation, including oil related stocks. Fenwick was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty, violation of KRS 292.320(1)(b), violation of KRS 292.320(2), breach of contract, and negligence. Client alleged unsuitable investments after investments lost market value. William Fenwick Red Flags & Your Rights As An Investor Of course, William Fenwick 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 Fenwick at First Kentucky Securities on alert to review carefully the activity and performance of their accounts and question whether William Fenwick has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at First Kentucky Securities 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 First Kentucky Securities If you have questions about First Kentucky Securities and/or William Fenwick 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

Alfred Bonardi of Oppenheimer & Co. Inc.

DID ALFRED BONARDI CAUSE YOU INVESTMENT LOSSES? Alfred Bonardi of Oppenheimer & Co. Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Alfred Bonardi of Oppenheimer & Co. Inc.? Alfred Bonardi (CRD #1361351) who is currently registered with Oppenheimer & Co. Inc. and located in Delray Beach, FL is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co. Inc., Alfred Bonardi was associated with Citigroup Global Markets and 2 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, Alfred Bonardi has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. One of Alfred Bonardi’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Oppenheimer & Co. Inc. for investment losses caused by Alfred Bonardi’s alleged misconduct. Allegations Against Alfred Bonardi A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleges unauthorized transactions were made in her account. Breach of fiduciary duty, breach of contract, negligence and unsuitability. Alfred Bonardi Red Flags & Your Rights As An Investor Of course, Alfred Bonardi 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 Alfred Bonardi at Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Alfred Bonardi 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 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 Oppenheimer & Co. Inc. If you have questions about Oppenheimer & Co. Inc. and/or Alfred Bonardi 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

Alan Vandeweerd of Securities America, Inc.

DID ALAN LEE VANDEWEERD CAUSE YOU INVESTMENT LOSSES? Alan Lee Vandeweerd formerly with Securities America, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Alan L. Vandeweerd formerly with Securities America, Inc.? Alan Vandeweerd (CRD #829161) who was formerly registered with Securities America, Inc. and located in Sac City, IA is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securities America, Inc., Alan Vandeweerd was associated with Securities America Advisors and 1 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Securities America, Inc. Broker Misconduct In his career, Alan Vandeweerd has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. One of Alan Vandeweerd’s 2 customer complaints was settled in favor of investors. Allegations Against Alan Vandeweerd A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Executor alleges the representative put the client into an unsuitable investment. Mutual fund unsuitable for investor. Alan Vandeweerd Red Flags & Your Rights As An Investor Of course, Alan Vandeweerd 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 Alan Vandeweerd at Securities America, Inc. on alert to review carefully the activity and performance of their accounts and question whether Alan Vandeweerd has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Securities America, 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 Securities America, Inc. If you have questions about Securities America, Inc. and/or Alan Vandeweerd 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

Blair Horne of Morgan Stanley

DID BLAIR LOUIS HORNE CAUSE YOU INVESTMENT LOSSES? Blair Louis Horne of Morgan Stanley Has 2 Customer Complaints for Alleged Broker Misconduct Who is Blair L. Horne of Morgan Stanley? Blair Horne (CRD #1270875) who is currently registered with Morgan Stanley and located in New York, NY is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Blair Horne was associated with Morgan Stanley Co. and 1 other investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his/her career, Blair Horne has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. One of Blair Horne’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Morgan Stanley for investment losses caused by Blair Horne’s alleged misconduct. Allegations Against Blair Horne A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Plaintiff alleges, inter alia, failure to follow instructions with respect to liquidation of Stock Option – Feb 06, 2020, to Feb 07, 2020. The customer alleges that auction-rate securities were not suitable for his investment objectives. Blair Horne Red Flags & Your Rights as An Investor Of course, Blair Horne 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 Blair Horne at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Blair Horne has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Morgan Stanley 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 Morgan Stanley If you have questions about Morgan Stanley and/or Blair Horne 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

Barry Pechenik of Morgan Stanley

DID BARRY JAMES PECHENIK CAUSE YOU INVESTMENT LOSSES? Barry James Pechenik of Morgan Stanley Has One Customer Complaint for Alleged Broker Misconduct Who is Barry J. Pechenik of Morgan Stanley? Barry Pechenik (CRD #1720138) who is currently registered with Morgan Stanley and located in Dallas, TX is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Barry Pechenik was associated with Credit Suisse Securities (USA) and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his/her career, Barry Pechenik has been the subject of one customer complaint that we know about. This complaint is currently pending against Morgan Stanley for investment losses caused by Barry Pechenik’s alleged misconduct. Allegations Against Barry Pechenik 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, inter alia, unsuitability with respect to recommendation for managed account strategy – Feb 2017 to Jan 2019. Barry Pechenik Red Flags & Your Rights as An Investor Of course, Barry Pechenik 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 Barry Pechenik at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Barry Pechenik has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Morgan Stanley 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 Morgan Stanley If you have questions about Morgan Stanley and/or Barry Pechenik 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

Andrew Nardella of First Allied Securities

DID ANDREW PAUL NARDELLA CAUSE YOU INVESTMENT LOSSES? Andrew Paul Nardella formerly with First Allied Securities Has 3 Customer Complaints for Alleged Broker Misconduct Who is Andrew P. Nardella formerly with First Allied Securities? Andrew Nardella (CRD #1799354) who was formerly registered with First Allied Securities and located in Cazenovia, NY is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Allied Securities, Andrew Nardella was associated with 1st Discount Brokerage and 1 other investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. First Allied Securities Broker Misconduct In his/her career, Andrew Nardella has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. One of Andrew Nardella’s 3 customer complaints was settled in favor of investors. 2 of the customer’s complaints were denied and the customers did not take any further action. Allegations Against Andrew Nardella 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 misrepresentation in REIT sale in 2014. The client’s attorney-in-fact alleges unauthorized trading in May 2013. The customer claims that his instructions to place stop-loss orders were not placed properly. Andrew Nardella Red Flags & Your Rights as An Investor Of course, Andrew Nardella 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 Andrew Nardella at First Allied Securities on alert to review carefully the activity and performance of their accounts and question whether Andrew Nardella has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at First Allied Securitieswhich 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 If you have questions about First Allied Securities and/or Andrew Nardella 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

Arnold Kuhs of Equitable Advisors

DID ARNOLD BRUCE KUHS CAUSE YOU INVESTMENT LOSSES? Arnold Bruce Kuhs of Equitable Advisors Has One Customer Complaint for Alleged Broker Misconduct Who is Arnold B. Kuhs of Equitable Advisors? Arnold Kuhs (CRD #2124932) who is currently registered with Equitable Advisors and located in Waukesha, WI is a subject of one of our many securities industry sales practice abuse investigations. Prior to Equitable Advisors, Arnold Kuhs was associated with Ameriprise Financial Services and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Equitable Advisors Broker Misconduct In his/her career, Arnold Kuhs has been the subject of one customer complaint that we know about. This complaint was denied and the customers did not take any further action. Allegations Against Arnold Kuhs 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 that RR made unsuitable recommendations to purchase annuities. The claimant also accuses RR of churning her accounts. Arnold Kuhs Red Flags & Your Rights as An Investor Of course, Arnold Kuhs 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 Arnold Kuhs at Equitable Advisorson alert to review carefully the activity and performance of their accounts and question whether Arnold Kuhs has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Equitable Advisors 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 Equitable Advisors If you have questions about Equitable Advisors and/or Arnold Kuhs 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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