Jan 20, 2022

Bradford Watt of Colorado Financial Service Corporation

DID BRADFORD LEE WATT CAUSE YOU INVESTMENT LOSSES? Bradford Lee Watt with Colorado Financial Service Corporation Has One Customer Complaint For Alleged Broker Misconduct In the Past Year Who is Bradford L. Watt with Colorado Financial Service Corporation? Bradford Watt (CRD #2565438) who is currently registered with Colorado Financial Service Corporation and located in Centennial, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to Colorado Financial Service Corporation, Bradford Watt was associated with Provasi Capital Partners LP and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Bradford Watt Customer Complaint In his career, Bradford Watt has been the subject of one customer complaint that we know about, that was filed in the last year to recover investment losses. Bradford Watt failed to disclose his commission on the sale. The client alleged the customer complaint settled in favor of investors. Bradford Watt Red Flags & Your Rights As An Investor Of course, Bradford Watt 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 Bradford Watt at Colorado Financial Service Corporation and Provasi Capital Partners LP on alert to review carefully the activity and performance of their accounts and question whether Bradford Watt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Colorado Financial Service Corporation and Provasi Capital Partners LP 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 Colorado Financial Service Corporation If you have questions about Colorado Financial Service Corporation, Provasi Capital Partners LP and/or Bradford Watt 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

Brett Weichbrod of Sagepoint Financial, Inc.

DID BRETT EDWARD WEICHBROD CAUSE YOU INVESTMENT LOSSES? Brett Edward Weichbrod with Sagepoint Financial, Inc. Has One Customer Complaint For Alleged Broker Misconduct In the Past Year Who is Brett E. Weichbrod with Sagepoint Financial, Inc.? Brett Weichbrod (CRD #4595377) who is currently registered with Sagepoint Financial, Inc. and located in Santa Barbara, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Sagepoint Financial, Inc., Brett Weichbrod was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sagepoint Financial, Inc. Broker Misconduct In his career, Brett Weichbrod 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 are that Brett Weichbrod recommended unsuitable private securities transactions. The customer complaint filed against Brett Weichbrod’s current employer Sagepoint Financial, Inc. for investment losses caused by his alleged misconduct is still pending. Brett Weichbrod Red Flags & Your Rights As An Investor Of course, Brett Weichbrod 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 Brett Weichbrod at Sagepoint Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Brett Weichbrod has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sagepoint Financial, Inc. also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Sagepoint Financial, Inc. If you have questions about Sagepoint Financial, Inc. and/or Brett Weichbrod 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

Scott Kaup of Cetera Advisor Networks

DID SCOTT VINCENT KAUP CAUSE YOU INVESTMENT LOSSES? Scott Vincent Kaup Of Cetera Advisor Networks Has 3 Customer Complaints for Alleged Broker Misconduct Who is Scott V. Kaup of Cetera Advisor Networks? Scott Kaup (CRD #1002907) who is currently registered with Cetera Advisor Networks and located in Stuart, Nebraska is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisor Networks, Scott Kaup was associated with Summit Brokerage Services and 8 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cetera Advisor Networks Broker Misconduct In his career, Scott Kaup 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. All three customer complaints against Scott Kaupp arose at VSR Financial Services and all 3 were settled in favor of investors. Allegations Against Scott Kaup 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 Scott Kaup made unsuitable investment recommendations, material misrepresentations, and omissions, and supervisory due diligence failures. Scott Kaup made unsuitable recommendations and committed common law fraud, breach of fiduciary duty, and negligence. Scott Kaup Red Flags & Your Rights as An Investor Of course, Scott Kaup 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 Scott Kaup at Cetera Advisor Networks on alert to review carefully the activity and performance of their accounts and question whether Scott Kaup has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Cetera Advisor Networks 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 Advisor Networks If you have questions about Cetera Advisor Networks and/or Scott Kaup 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

Richard Riggenbach of Woodbury Financial Services

DID RICHARD CHARLES RIGGENBACH CAUSE YOU INVESTMENT LOSSES? Richard Charles Riggenbach of Woodbury Financial Services Has One Customer Complaint for Alleged Broker Misconduct Who is Richard C. Riggenbach of Woodbury Financial Services? Richard Riggenbach (CRD #1686839) who is currently registered with Woodbury Financial Services and located in Bloomfield, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Prior to Woodbury Financial Services, Richard Riggenbach was associated with Questar Capital and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Riggenbach Customer Complaint In his career, Richard Riggenbach has been the subject of one customer complaint that we know about. Customers allege the representative made recommendations that did not meet the clients’ needs and allegedly caused losses. This complaint is currently pending against Woodbury Financial Services for investment losses caused by Richard Riggenbach’s alleged misconduct. Richard Riggenbach Red Flags & Your Rights as An Investor Of course, Richard Riggenbach 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 Richard Riggenbach at Woodbury Financial Services on alert to review carefully the activity and performance of their accounts and question whether Richard Riggenbach has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Woodbury Financial Services 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 Woodbury Financial Services If you have questions about Woodbury Financial Services and/or Richard Riggenbach 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

Steven Colacurcio of Dawson James Securities

DID STEVEN PAUL COLACURCIO CAUSE YOU INVESTMENT LOSSES? Steven Paul Colacurcio Of Dawson James Securities Has 7 Customer Complaints for Alleged Broker Misconduct Who is Steven P. Colacurcio of Dawson James Securities? Steven Colacurcio (CRD #1717483) who is currently registered with Dawson James Securities and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Dawson James Securities, Steven Colacurcio was associated with Raymond James Financial Services and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Steven Colacurcios has had his own regulatory problems. In September 2016, he consented to the sanctions and entry of findings by FINRA that he exercised discretionary power in a customer’s account without written authorization and was suspended and fined. Dawson James Securities Broker Misconduct In his career, Steven Colacurcio has been the subject of 7 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. 2 of Steven Colacurcio’s 7 customer complaints were settled in favor of investors. 4 of the customer’s complaints were denied and the customers did not take any further action. There is currently one pending customer complaint filed against Dawson James Securities for investment losses caused by Steven Colacurcio’s alleged misconduct. Allegations Against Steven Colacurcio A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Steven Colacurcio failed to explain the risks and fees associated with the purchases of 2 REITs. The customer’s attorney alleged that the investments into a mutual fund and a variable annuity through the former representative Steven Colacurcio were unsuitable. Breach of contract; violation of FINRA rules; negligence; breach of fiduciary duty; violation of Massachusetts general laws, Chapter 93a. The client claimed that the annuity was misrepresented by Steven Colacurcio as a safe investment. The client alleged that the former representative Steven Colacurcio misled her regarding the possibility of market loss in her investments. Florida resident complains that Steven Colacurcio forged her signature on the change of broker-dealer form. Steven Colacurcio Red Flags & Your Rights as An Investor Of course, Steven Colacurcio 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 Steven Colacurcio at Dawson James Securities alert to review carefully the activity and performance of their accounts and question whether Steven Colacurcio has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Dawson James 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 Dawson James Securities If you have questions about Dawson James Securities and/or Steven Colacurcio 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

Robert Denouden of Sagepoint Financial

DID ROBERT HENRY DENOUDEN CAUSE YOU INVESTMENT LOSSES? Robert Henry Denouden Formerly with Sagepoint Financial Has One Customer Complaint for Alleged Broker Misconduct Who is Robert H. Denouden formerly with Sagepoint Financial? Robert Denouden (CRD #2457728) who was formerly registered with Sagepoint Financial and located in St.  Joseph, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to Sagepoint Financial, Robert Denouden was associated with Berthel Fisher Company Financial Services and two other broker-dealers with a history of customer complaints and securities industry regulatory problems. Robert Denouden Customer Complaint In his career, Robert Denouden has been the subject of one customer complaint that we know about. The clients allege the investments purchased were illiquid and not suitable for them. In addition, the clients allege the product sponsor’s offerings were misrepresented. The client also alleges the firm was negligent and failed to conduct adequate due diligence. Robert Denouden Red Flags & Your Rights as An Investor Of course, Robert Denouden 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 Robert Denouden at Sagepoint Financial on alert to review carefully the activity and performance of their accounts and question whether Robert Denouden 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 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 Sagepoint Financial If you have questions about Sagepoint Financial and/or Robert Denouden 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

Patricia Gleason of Cetera Advisors

DID PATRICIA ANN GLEASON CAUSE YOU INVESTMENT LOSSES? Patricia Ann Gleason of Cetera Advisors Has 3 Customer Complaints for Alleged Broker Misconduct Who is Patricia A. Gleason of Cetera Advisors? Patricia Gleason (CRD #2811669) who is currently registered with Cetera Advisors and located in Alachua, FL is the subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors, Patricia Gleason was associated with Morgan Stanley & Co. and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Patricia Gleason Customer Complaints In his/her career, Patricia Gleason 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 Patricia Gleason’s 3 customer complaints was settled in favor of investors. Two of the customer’s complaints were denied and the customers did not take any further action. Allegations Against Patricia Gleason A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Unsuitable investments, excessive commissions, mismanagement, and churning by Patricia Gleason. The client alleges that rolling over his 401 k into a 2005 IRA brokerage account and then utilizing some of the funds to repay other debts was not suitable advice. The client alleges agent Patricia Gleason filled out and signed their names to an annuity change of dealer form. Patricia Gleason Red Flags & Your Rights as An Investor Of course, Patricia Gleason 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 Patricia Gleason at Cetera Advisors on alert to review carefully the activity and performance of their accounts and question whether Patricia Gleason 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 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 If you have questions about Cetera Advisors and/or Patricia Gleason 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

Preston Bellaire of MML Investors Services

DID PRESTON JASON BELLAIRE CAUSE YOU INVESTMENT LOSSES? Preston Jason Bellaire of MML Investors Services Has 2 Customer Complaints for Alleged Broker Misconduct Who is Preston J. Bellaire of MML Investors Services? Preston Bellaire (CRD #4028710) who is currently registered with MML Investors Services and located in Orlando, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Preston Bellaire was associated with MSI Financial Services and 1 other investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. MML Investors Services Broker Misconduct In his career, Preston Bellaire 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 the customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against MSI Financial Services for investment losses caused by Preston Bellaire’s alleged misconduct. Allegations Against Preston Bellaire 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 that the representative Preston Bellaire misrepresented the risk of speculative investment in order to secure a high commission sale in and around February of 2015. The customer alleged the representative Preston Bellaire provided incorrect information regarding the settlement options available to a beneficiary of variable annuities. Preston Bellaire Red Flags & Your Rights as An Investor Of course, Preston Bellaire 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 Preston Bellaire at MML Investors Services on alert to review carefully the activity and performance of their accounts and question whether Preston Bellaire has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at MML Investors Services 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 MML Investors Services If you have questions about MML Investors Servicesand/or Preston Bellaire 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

Samuel Gramentz of Northland Securities

DID SAMUEL DARIN GRAMENTZ CAUSE YOU INVESTMENT LOSSES? Samuel Darin Gramentz Of Northland Securities Has One Customer Complaint for Alleged Broker Misconduct Who is Samuel D. Gramentz of Northland Securities? Samuel Gramentz (CRD #4494493) who is currently registered with Northland Securities and located in Minneapolis, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Northland Securities Broker Misconduct In his career, Samuel Gramentz has been the subject of one customer complaint that we know about. Beneficiaries allege that from early 2014 until the client’s death in September 2018, Samuel Gramentz managed his client’s accounts poorly and performance would have been better had he not solicited investments in securities with high costs or were overly risky. This complaint is currently pending against Northland Securities for investment losses caused by Samuel Gramentz’s alleged misconduct. Samuel Gramentz Red Flags & Your Rights as An Investor Of course, Samuel Gramentz 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 Samuel Gramentz at Northland Securities on alert to review carefully the activity and performance of their accounts and question whether Samuel Gramentz has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Northland 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 Northland Securities If you have questions about Northland Securities and/or Samuel Gramentz 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

Wesley Foltz of Prospera Financial Services

DID WESLEY JUSTIN FOLTZ CAUSE YOU INVESTMENT LOSSES? Wesley Justin Foltz formerly with Prospera Financial Services Has 2 Customer Complaints for Alleged Broker Misconduct Who is Wesley J. Foltz formerly with Prospera Financial Services? Wesley Foltz (CRD #4617507) who was formerly registered with Prospera Financial Services and located in Alexandria, Louisiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to Prospera Financial Services, Wesley Foltz was associated with LPL Financial and 1 other investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Wesley Foltz has had his own regulatory problems. In October 2018, without admitting or denying the allegations, Wesley Foltz consented to sanctions and entry of findings by FINRA that he recommended certain L-share variable annuities without any reasonable basis for believing the recommendations were suitable. As a result, he was suspended by FINRA for 30 days and fined. Wesley J. Foltz Customer Complaints In his/her career, Wesley Foltz 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 the customer’s complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against LPL Financial for investment losses caused by Wesley Foltz’s alleged misconduct. Allegations Against Wesley Foltz 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 that Wesley Foltz’s recommendation of REIT investment in December 2008 was unsuitable and seeks recovery of investment losses, which he estimates to be $40,000 to $50,000. The customer alleges that Wesley Foltz purchased REITs for his account that were unsuitable. Wesley Foltz Red Flags & Your Rights as An Investor Of course, Wesley Foltz 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 Wesley Foltz at Prospera Financial Services on alert to review carefully the activity and performance of their accounts and question whether Wesley Foltz has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Prospera Financial Services 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 Prospera Financial Services If you have questions about Prospera Financial Services and/or Wesley Foltz 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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