Feb 10, 2022

Aly Mady formerly with Edward Jones

DID ALY N. MADY CAUSE YOU INVESTMENT LOSSES? Aly Mady Formerly With Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Aly Mady formerly with Edward Jones? Aly Mady (CRD #7041623) who was formerly registered with Edward Jones and located in Brooklyn, New York is a subject of one of our many securities industry sales practice abuse investigations. Aly Mady Customer Complaint Aly Mady 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 Aly Mady misrepresented the 529 plan investment options to the customer.  Aly Mady’s customer complaint was settled in favor of the investors. Aly Mady Red Flags & Your Rights As An Investor Of course, Aly Mady 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 Aly Mady at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Aly Mady has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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 Edward Jones Due To Aly Mady If you have questions about Edward Jones and/or Aly Mady 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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Feb 10, 2022

Alma Faerber of Orchard Securities, LLC

DID ALMA EDWARDS FAERBER CAUSE YOU INVESTMENT LOSSES? Alma Faerber Of Orchard Securities, LLC And Formerly With Triad Advisors, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Alma Faerber of Orchard Securities, LLC? Alma Faerber (CRD #3125557) who is currently registered with Orchard Securities, LLC and located in Pleasant Grove, Utah is a subject of one of our many securities industry sales practice abuse investigations. Prior to Orchard Securities, LLC, Alma Faerber was associated with Triad Advisors, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Alma Faerber Customer Complaint Alma Faerber 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 Alma Faerber made unsuitable recommendations to customers to invest in alternative investments.  The customer complaint filed against Alma Faerber’s former employer Triad Advisors, Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Alma Faerber Red Flags & Your Rights As An Investor Of course, Alma Faerber 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 Alma Faerber at Orchard Securities, LLC and Triad Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Alma Faerber has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Orchard Securities, LLC and Triad 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 Orchard Securities, LLC Due To Alma Faerber If you have questions about Orchard Securities, LLC, Triad Advisors, Inc. and/or Alma Faerber 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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Feb 10, 2022

Allan Montalbano formerly with Worden Capital Management LLC

DID ALLAN P. MONTALBANO CAUSE YOU INVESTMENT LOSSES? Allan Montalbano Formerly With Worden Capital Management LLC And Four Points Capital Partners LLC Has 15 Customer Complaints For Alleged Broker Misconduct Who is Allan Montalbano formerly with Worden Capital Management LLC? Allan Montalbano (CRD #4507029) who was formerly registered with Worden Capital Management LLC and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Worden Capital Management LLC, Allan Montalbano was associated with Four Points Capital Partners LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Allan Montalbano Customer Complaints Allan Montalbano has been the subject of 15 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Twelve of Allan Montalbano’s 15 customer complaints were settled in favor of investors. Two of Allan Montalbano’s customer complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Allan Montalbano’s former employer Four Points Capital Partners LLC for investment losses caused by the alleged misconduct. Allegations Against Allan Montalbano A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Multiple claims of Breach of fiduciary duty, negligence, negligent misrepresentation and breach of contract related to the trading of common stocks and separately filed arbitration proceedings. Churning, unsuitability, breach of fiduciary duty, common law fraud, breach of contract related to the trading of common stock and preferred stock. Violation of the Iowa Uniform Securities Act, breach of fiduciary duty, negligent misrepresentation, negligence, and breach of contract related to the trading of common stocks Failure to follow instructions. Unauthorized Trading. Allan Montalbano Red Flags & Your Rights As An Investor Of course, Allan Montalbano 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 Allan Montalbano at Worden Capital Management LLC and Four Points Capital Partners LLC on alert to review carefully the activity and performance of their accounts and question whether Allan Montalbano has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Worden Capital Management LLC and Four Points Capital Partners LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Worden Capital Management LLC Due To Allan Montalbano If you have questions about Worden Capital Management LLC, Four Points Capital Partners LLC and/or Allan Montalbano 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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Feb 9, 2022

Alfred Chan formerly with NI Advisors

DID ALFRED KAI KWONG CHAN CAUSE YOU INVESTMENT LOSSES? Alfred Chan Formerly With NI Advisors Has 3 Customer Complaints For Alleged Broker Misconduct Who is Alfred Chan formerly with NI Advisors? Alfred Chan (CRD #4473594) who was formerly registered with NI Advisors and located in Oakland, California is a subject of one of our many securities industry sales practice abuse investigations. Alfred Chan Customer Complaints Alfred Chan has been the subject of 3 customer complaints that we know about,one of those complaints were filed in the last year to recover investment losses. One of Alfred Chan’s customer complaints was denied and, to date, the customer has not taken any further action. There are currently 2 pending customer complaints filed against Alfred Chan’s former employers NI Advisors and Signator Investors Inc. for investment losses caused by the alleged misconduct. Allegations Against Alfred Chan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged that Alfred Chan sold insurance that was not needed and with large surrender fees. Customer alleged misrepresentations and unsuitable investment recommendations and 3 REITs. Customer alleged excessive sales of insurance and unsuitable annuities. Alfred Chan Red Flags & Your Rights As An Investor Of course, Alfred Chan 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 Chan at NI Advisors on alert to review carefully the activity and performance of their accounts and question whether Alfred Chan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NI Advisors also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At NI Advisors Due To Alfred Chan If you have questions about NI Advisors and/or Alfred Chan 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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Feb 8, 2022

Alex Mathis of Western International Securities, Inc.

DID ALEX BOYD MATHIS CAUSE YOU INVESTMENT LOSSES? Alex Mathis Of Western International Securities, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Alex Mathis of Western International Securities, Inc.? Alex Mathis (CRD #2235598) who is currently registered with Western International Securities, Inc. and located in Westlake Village, California is a subject of one of our many securities industry sales practice abuse investigations. Alex Mathis Customer Complaints Alex Mathis has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Alex Mathis’ 4 customer complaints was settled in favor of investors.  Three of Alex Mathis’ customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Alan Silverman A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged unsuitable investment recommendations, misrepresentations, and unauthorized trading in connection with mutual funds. Customer alleged unsuitable REIT investment recommendation. Customer alleged that Alex Mathis made unsuitable investment recommendations to purchase a non-traded REIT and mutual fund. Customer alleged unsuitable mutual fund investments by Alex Mathis. Alex Mathis Red Flags & Your Rights As An Investor Of course, Alex Mathis 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 Alex Mathis at Western International Securities, Inc.on alert to review carefully the activity and performance of their accounts and question whether Alex Mathis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, Inc.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 Western International Securities, Inc. Due To Alex Mathis If you have questions about Western International Securities, Inc. and/or Alex Mathis 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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Feb 8, 2022

Alberto Castaner Of Oppenheimer & Co. Inc.

DID ALBERTO CASTANER CAUSE YOU INVESTMENT LOSSES? Alberto Castaner Of Oppenheimer & Co. Inc. And Formerly With Morgan Stanley Has 9 Customer Complaints For Alleged Broker Misconduct Who is Alberto Castaner of Oppenheimer & Co. Inc.? Alberto Castaner (CRD #1603341) who is currently registered with Oppenheimer & Co. Inc. and located in Fort Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Oppenheimer & Co. Inc., Alberto Castaner was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Alberto Castaner Customer Complaints Alberto Castaner has been the subject of 9 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Seven of Alberto Castaner’s 9 customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against Alberto Castaner’s former employer Popular Securities for investment losses caused by the alleged misconduct. Allegations Against Alberto Castaner A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Seven different customer and separate arbitration proceedings alleged unsuitable investment recommendations to purchase Puerto Rico securities, when it was well known that the financial condition of the Commonwealth was deteriorating. Claimant alleged that Alberto Castaner made false and misleading statements regarding the risks of Puerto Rico bank stocks. Customer alleged unsuitable investment recommendations in connection with a margin account. Alberto Castaner Red Flags & Your Rights As An Investor Of course, Alberto Castaner 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 Alberto Castaner at Oppenheimer & Co. Inc. and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Alberto Castaner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. Inc. and Morgan Stanley 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 Oppenheimer & Co. Inc. Due To Alberto Castaner If you have questions about Oppenheimer & Co. Inc., Morgan Stanley and/or Alberto Castaner 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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Feb 8, 2022

Alan Stroshine of Edward Jones

DID ALAN WILLIAM STROSHINE CAUSE YOU INVESTMENT LOSSES? Alan Stroshine Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Alan Stroshine of Edward Jones? Alan Stroshine (CRD #7024036) who is currently registered with Edward Jones and located in Keene, New Hampshire is a subject of one of our many securities industry sales practice abuse investigations. Alan Stroshine Customer Complaint Alan Stroshine 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 Alan Stroshine sold securities in her account without her permission. Alan Stroshine’s customer complaint was denied and, to date, the customer has not taken any further action. Alan Stroshine Red Flags & Your Rights As An Investor Of course, Alan Stroshine 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 Stroshine at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Alan Stroshine has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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 Edward Jones Due To Alan Stroshine If you have questions about Edward Jones and/or Alan Stroshine 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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Feb 8, 2022

Albert Kim of Vanguard Marketing Corporation

DID ALBERT DONGHYUK KIM CAUSE YOU INVESTMENT LOSSES? Albert Kim Of Vanguard Marketing Corporation And Formerly With Lincoln Investment And Legend Equities Corporation Has A Customer Complaint or Alleged Broker Misconduct Who is Albert Kim of Vanguard Marketing Corporation? Albert Kim (CRD #5050106) who is currently registered with Vanguard Marketing Corporation and located in Malvern, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Vanguard Marketing Corporation, Albert Kim was associated with Lincoln Investment, Legend Equities Corporation and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Albert Kim Customer Complaint Albert Kim 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 Albert Kim sold securities without customer’s permission and contrary to customer’s instructions.  Albert Kim’s customer complaint was settled in favor of the investors. Albert Kim Red Flags & Your Rights As An Investor Of course, Albert Kim 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 Albert Kim at Vanguard Marketing Corporation, Lincoln Investment and Legend Equities Corporation on alert to review carefully the activity and performance of their accounts and question whether Albert Kim has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vanguard Marketing Corporation, Lincoln Investment and Legend Equities Corporation 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 Vanguard Marketing Corporation Due To Albert Kim If you have questions about Vanguard Marketing Corporation, Lincoln Investment, Legend Equities Corporation and/or Albert Kim 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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Feb 8, 2022

Alan Bednarchik Of MML Investors Services, LLC

DID ALAN RICHARD BEDNARCHIK CAUSE YOU INVESTMENT LOSSES? Alan Bednarchik Of MML Investors Services, LLC And Formerly With MSI Financial Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Alan Bednarchik of MML Investors Services, LLC? Alan Bednarchik (CRD #1069446) who is currently registered with MML Investors Services, LLC and located in Moosic, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.  Prior to MML Investors Services, LLC, Alan Bednarchik was associated with MSI Financial Services, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Alan Bednarchik Customer Complaints Alan Bednarchik has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Alan Bednarchik’s 2 customer complaints was settled in favor of investors. There is currently 1 pending customer complaint filed against Alan Bednarchik’s former employer MSI Financial Services, Inc. for investment losses caused by the alleged misconduct. Allegations Against Alan Bednarchik A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Customer alleged that Alan Bednarchik misrepresented a variable annuity contract. Customer alleged that Alan Bednarchik misrepresented a variable annuity investment. Alan Bednarchik Red Flags & Your Rights As An Investor Of course, Alan Bednarchik 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 Bednarchik at MML Investors Services, LLC and MSI Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Alan Bednarchik has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services, LLC and MSI Financial Services, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At MML Investors Services, LLC Due To Alan Bednarchik If you have questions about MML Investors Services, LLC, MSI Financial Services, Inc. and/or Alan Bednarchik 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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Feb 8, 2022

Alan Berger of Arkadios Capital

DID ALAN STUART BERGER CAUSE YOU INVESTMENT LOSSES? Alan Berger Of Arkadios Capital And Formerly With Triad Advisors LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Alan Berger of Arkadios Capital? Alan Berger (CRD #702838) who is currently registered with Arkadios Capital and located in Wall, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Arkadios Capital, Alan Berger was associated with Triad Advisors LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Alan Berger Customer Complaint Alan Berger 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 Alan Berger made an unsuitable investment recommendation in connection with GPB Holdings. The customer complaint filed against Alan Berger’s former employer Triad Advisors LLC for investment losses caused by the alleged misconduct is pending as of the date of this report. Alan Berger Red Flags & Your Rights As An Investor Of course, Alan Berger 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 Berger at Arkadios Capital and Triad Advisors LLC on alert to review carefully the activity and performance of their accounts and question whether Alan Berger has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arkadios Capital and Triad Advisors 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 Arkadios Capital Due To Alan Berger If you have questions about Arkadios Capital, Triad Advisors LLC, and/or Alan Berger 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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