Feb 4, 2022

Aaron Gore of Ameriprise Financial Services, LLC

DID AARON JUSTIN GORE CAUSE YOU INVESTMENT LOSSES? Aaron Gore Of Ameriprise Financial Services, LLC And Formerly With Voya Financial Advisors, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Aaron Gore of Ameriprise Financial Services, LLC? Aaron Gore (CRD #3251335) who is currently registered with Ameriprise Financial Services, LLC and located in Myrtle Beach, South Carolina is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Ameriprise Financial Services, LLC,Aaron Gore was associated with Voya Financial Advisors, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Aaron Gore Customer Complaint Aaron Gore 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 Mr. Gore recommended an unsuitable, high risk, speculative, and high commission business development company, investment. Aaron Gore’s customer complaint was settled in favor of the investors. Aaron Gore Red Flags & Your Rights As An Investor Of course, Aaron Gore 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 Gore at Ameriprise Financial Services, LLC and Voya Financial Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Aaron Gore has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC and Voya Financial Advisors, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Ameriprise Financial Services, LLC Due To Aaron Gore If you have questions about Ameriprise Financial Services and/or Aaron Gore 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 4, 2022

Aaron Curry Of Raymond James Financial Services, Inc.

DID AARON B. CURRY CAUSE YOU INVESTMENT LOSSES? Aaron Curry Of Raymond James Financial Services, Inc. And Formerly With The Huntington Investment Company Has A Customer Complaint For Alleged Broker Misconduct Who is Aaron Curry of Raymond James Financial Services, Inc.? Aaron Curry (CRD #5841844) who is currently registered with Raymond James Financial Services, Inc. and located in Cuyahoga, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Financial Services, Inc., Aaron Curry was associated with The Huntington Investment Company and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Aaron Curry Customer Complaint Aaron Curry 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 a client alleged that her former advisor forged her initials and the dates on documents associated with the transfer of funds from an individual retirement account. Aaron Curry’s customer complaint was denied and, to date, the customer has not taken any further action. Aaron Curry Red Flags & Your Rights As An Investor Of course, Aaron Curry 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 Curry at Raymond James Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Aaron Curry has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, 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 Raymond James Financial Services, Inc. Due To Aaron Curry If you have questions about Raymond James Financial Services, Inc. and/or Aaron Curry 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 Gordon of RBC Capital Markets

DID STEVEN A. GORDON CAUSE YOU INVESTMENT LOSSES? Steven Gordon of RBC Capital Markets And Formerly With Oppenheimer & Co. Has A Customer Complaint For Alleged Broker Misconduct Who is Steven Gordon of RBC Capital Markets? Steven Gordon (CRD #1112019) who is currently registered with RBC Capital Markets and located in Westport, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, Steven Gordon was associated with Oppenheimer & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Steven Gordon Customer Complaint Steven Gordon has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were Claimant alleged that the commissions charged on three specific trades were excessive. An arbitration award was entered against Oppenheimer & Co. for the alleged misconduct causing investors losses. Steven Gordon Red Flags & Your Rights As An Investor Of course, Steven Gordon 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 Gordon at RBC Capital Markets and Oppenheimer & Co. on alert to review carefully the activity and performance of their accounts and question whether Steven Gordon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets and Oppenheimer & Co. also raises questions about the brokerage firm’ssupervisory 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 RBC Capital Markets Due To Steven Gordon If you have questions about RBC Capital Markets, Oppenheimer & Co., and/or Steven Gordon 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

Melvin Frank formerly with RBC Capital Markets

DID MELVIN FRANK CAUSE YOU INVESTMENT LOSSES? Melvin Frank Formerly With RBC Capital Markets Has A Customer Complaint For Alleged Broker Misconduct Who is Melvin Frank formerly with RBC Capital Markets? Melvin Frank (CRD #500396) who was formerly registered with RBC Capital Markets and located in Parsippany, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Melvin Frank Customer Complaint Melvin Frank has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were claimants allege financial advisor sold claimants unsuitable Puerto Rico bonds, and that such bonds caused overconcentration in their account. Melvin Frank’s customer complaint was settled in favor of the investors. Melvin Frank Red Flags & Your Rights As An Investor Of course, Melvin Frank 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 Melvin Frank at RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Melvin Frank has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets 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 RBC Capital Markets Due To Melvin Frank If you have questions about RBC Capital Markets and/or Melvin Frank 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

Michael Greenstone of Merrill Lynch Pierce Fenner & Smith

DID MICHAEL FRANK GREENSTONE CAUSE YOU INVESTMENT LOSSES? Michael Greenstone of Merrill Lynch Pierce Fenner & Smith And Formerly With Morgan Stanley Has 9 Customer Complaints For Alleged Broker Misconduct Who is Michael Greenstone of Merrill Lynch Pierce Fenner & Smith? Michael Greenstone (CRD #709165) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Glen Rock, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Michael Greenstone was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Greenstone Customer Complaints Michael Greenstone has been the subject of 9 customer complaints that we know about. Seven of Michael Greenstone’s 9 customer complaints were settled in favor of investors. Two of Michael Greenstone’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Michael Greenstone A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleges unsuitability, among other things, with respect to investment recommendations made by Michael Greenstone. The customer alleges unsuitable investment recommendations by Michael Greenstone. The client alleges that Michael Greenstone failed to disclose that if the Highbridge Hedge Fund investment was taken out of an IRA account there would be severe tax ramifications. Client further alleges that now the IRS is viewing his investment as taxable when he redeemed his funds since it came out of his IRA. Client alleges his financial advisor failed to advise him of the details of the investment. The client alleged that Michael Greenstone placed her in a portfolio that was not suitable for her risk tolerance and her age. Michael Greenstone Red Flags & Your Rights As An Investor Of course, Michael Greenstone 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 Michael Greenstone at Merrill Lynch Pierce Fenner & Smith and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Michael Greenstone has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith 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 Merrill Lynch Pierce Fenner & Smith Due To Michael Greenstone If you have questions about Merrill Lynch Pierce Fenner & Smith, Morgan Stanley, and/or Michael Greenstone 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 Harger of Harger And Company

DID ROBERT LEE HARGER CAUSE YOU INVESTMENT LOSSES? Robert Harger of Harger And Company Has 3 Customer Complaints For Alleged Broker Misconduct Who is Robert Harger of Harger And Company? Robert Harger (CRD #863069) who is currently registered with Harger And Company and located in Alexandria, Louisiana is a subject of one of our many securities industry sales practice abuse investigations. Robert Harger has had his problems with the regulators as well as evident by the 6 disclosures on its BrokerCheck.  The most recent regulatory action was in 2019 when he was suspended by FINRA for 3 months and fined $15,000. Robert Harger Customer Complaints Robert Harger has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Robert Harger’s 3 customer complaints was settled in favor of investors. Two of Robert Harger’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Robert Harger A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Beneficiaries of client claim that they are owed the sales commission that was charged by Nationwide when their father died. Customer alleges that the firm by Robert Harger failed to execute a stop-loss to sell IP and GP stock if IP stock reached $53. Customer claimed that she was misled allegedly by Robert Harger when she transferred her ING Variable Annuity to Jackson National. She claimed that there was a $6,416.57 charge which could not be accounted for. This was the contingent deferred sales charge. She also claimed that benefits with the new contract were not the same and were in fact less than her old contract. Robert Harger Red Flags & Your Rights As An Investor Of course, Robert Harger 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 Robert Harger at Harger And Company on alert to review carefully the activity and performance of their accounts and question whether Robert Harger has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Harger And Company 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 Harger And Company Due To Robert Harger If you have questions about Harger And Company and/or Robert Harger 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 Fredette formerly with Cantella & Co.

DID RICHARD NOEL FREDETTE CAUSE YOU INVESTMENT LOSSES? Richard Fredette Formerly With Cantella & Co., Calton & Associates, and IMS Securities Has 4 Customer Complaints For Alleged Broker Misconduct Who is Richard Fredette formerly with Cantella & Co.? Richard Fredette (CRD #1283377) who was formerly registered with Cantella & Co.and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cantella & Co., Richard Fredette was associated with Calton & Associates, IMS Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Fredette Customer Complaints Richard Fredette has been the subject of 4 customer complaints that we know about. Two of Richard Fredette’s 4 customer complaints were settled in favor of investors. One of Richard Fredette’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against IMS Securities and Calton & Associates for investment losses caused by Richard Fredette’s alleged misconduct. Allegations Against Richard Fredette A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendations were allegedly made by Richard Fredette. Richard Fredette’s allegedly gave fraudulent investment advice and breached his fiduciary duty when making unsuitable investment recommendations. Richard Fredette Red Flags & Your Rights As An Investor Of course, Richard Fredette 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 Richard Fredette at Cantella & Co., Calton & Associates and IMS Securities on alert to review carefully the activity and performance of their accounts and question whether Richard Fredette has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cantella & Co., Calton & Associates and IMS Securities also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Cantella & Co., Calton & Associates and IMS Securities Due To Richard Fredette If you have questions about Cantella & Co., Calton & Associates, IMS Securities, and/or Richard Fredette 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 Friedmar of MML Investors Services

DID ROBERT ALLEN FRIEDMAR CAUSE YOU INVESTMENT LOSSES? Robert Friedmar of MML Investors Services And Formerly With MSI Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Robert Friedmar of MML Investors Services? Robert Friedmar (CRD #1008852) who is currently registered with MML Investors Services and located in Plantation, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Robert Friedmar was associated with MSI Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Friedmar Customer Complaints Robert Friedmar has been the subject of2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Robert Friedmar’s 2 customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against MML Investors Services for investment losses caused by Robert Friedmar’s alleged misconduct. Allegations Against Robert Friedmar A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged Robert Friedmar did not sell stock as she instructed and was instead put on margin. The complainant alleges that Robert Friedmar ignored her requests to place trades in a timely manner on her behalf, which caused her to incur a financial loss on multiple occasions. Robert Friedmar Red Flags & Your Rights As An Investor Of course, Robert Friedmar 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 Robert Friedmar at MML Investors Services and MSI Financial Services on alert to review carefully the activity and performance of their accounts and question whether Robert Friedmar has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services and MSI Financial Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At MML Investors Services Due To Robert Friedmar If you have questions about MML Investors Services, MSI Financial Services, and/or Robert Friedmar and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

David Harris formerly with MML Investors Services

DID DAVID LEE HARRIS CAUSE YOU INVESTMENT LOSSES? David Harris Formerly With MML Investors Services Has 4 Customer Complaints For Alleged Broker Misconduct Who is David Harris formerly with MML Investors Services? David Harris (CRD #1245328) who was formerly registered with MML Investors Services and located in Kingsport, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. David Harris Customer Complaints David Harris 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 David Harris’ 4 customer complaints was settled in favor of investors. Three of David Harris’ customers’ complaints were denied and the customers did not take any further action. Allegations Against David Harris A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client purchased several variable universal life insurance contracts. Client alleged policies are unsuitable and that the policies were misrepresented by David Harris. It is alleged that David Harris told the plaintiff that his variable life insurance policies should remain as written and the investments were a sound decision. This caused the plaintiff to continue funding the policies, resulting in financial losses. The complainant alleged that the variable life insurance policies that he purchased allegedly by David Harris were unsuitable. David Harris Red Flags & Your Rights As An Investor Of course, David Harris did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of David Harris at MML Investors Services on alert to review carefully the activity and performance of their accounts and question whether David Harris has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At MML Investors Services Due To David Harris If you have questions about MML Investors Services and/or David Harris 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

Dorine Harter formerly with NYLIFE Securities

DID DORINE DILAK HARTER CAUSE YOU INVESTMENT LOSSES? Dorine Harter Formerly With NYLIFE Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Dorine Harter formerly with NYLIFE Securities? Dorine Harter (CRD #1165056) who was formerly registered with NYLIFE Securities and located in Emporia, Kansas is a subject of one of our many securities industry sales practice abuse investigations. Dorine Harter Customer Complaint Dorine Harter has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were the Power of Attorney for a customer alleged that investments held in several investment accounts-including a two brokerage accounts and two variable annuities-were unsuitable recommendations given the customer’s investment profile and tax planning needs. Dorine Harter’s customer complaint was settled in favor of the investors. Dorine Harter Red Flags & Your Rights As An Investor Of course, Dorine Harter 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 Dorine Harter at NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Dorine Harter has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLIFE Securities 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 NYLIFE Securities Due To Dorine Harter If you have questions about NYLIFE Securities and/or Dorine Harter 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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