Jan 20, 2022

Dale Roehrich of Parkland Securities, LLC

DID DALE FRANCIS ROEHRICH CAUSE YOU INVESTMENT LOSSES? Dale Francis Roehrich with Parkland Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Dale F. Roehrich with Parkland Securities, LLC? Dale Roehrich (CRD #1775964) who is currently registered with Parkland Securities, LLC and located in Fargo, North Dakota is a subject of one of our many securities industry sales practice abuse investigations. Prior to Parkland Securities, LLC, Dale Roehrich was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Dale Roehrich also has had regulatory problems. The State of North Dakota alleged that he exchanged a life insurance policy for a variable life insurance policy that was not suitable for the investor for which he was fined Parkland Securities, LLC Broker Misconduct In his career, Dale Roehrich has been the subject of 5 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. Two of Dale Roehrich’s 5 customer complaints were settled in favor of investors. The other 3 customer complaints were denied by his current and former employers and to date, the customers have not taken any further action Allegations Against Dale Roehrich   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleged that the financial advisor made an unsuitable recommendation regarding the replacement of insurance policy by borrowing from an existing policy to pay the premium on the new policy. Client alleged that Dale Roehrich misrepresented a variable appreciable life insurance policy. Client alleges that the registered representative misrepresented and recommended an unsuitable fixed index annuity. Customer alleged that Dale Roehrich did not fully disclose all the facts regarding the premium flexibility of an insurance policy offered and sold to him. Dale Roehrich Red Flags & Your Rights As An Investor Of course, Dale Roehrich 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 Dale Roehrich at Parkland Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Dale Roehrich has engaged in any stockbroker misconduct that may have caused them investment losses. The customer complaint at Parkland Securities, LLC 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 Parkland Securities, LLC If you have questions about Parkland Securities, LLC and/or Dale Roehrich and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Daniel Lauletta of MML Investors Services, LLC

DID DANIEL JAMES LAULETTA CAUSE YOU INVESTMENT LOSSES? Daniel James Lauletta with MML Investors Services, LLC Has 3 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Daniel J. Lauletta with MML Investors Services, LLC? Daniel Lauletta (CRD #2659123) who is currently registered with MML Investors Services, LLC and located in Cleveland, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, LLC, Daniel Lauletta was associated with MSI Financial Services, Inc. and 13 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. MSI Financial Services, Inc.  And Ameriprise Financial Services, Inc. Broker Misconduct In his career, Daniel Lauletta has been the subject of 5 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. One of Daniel Lauletta’s 5 customer complaints was settled in favor of investors. There are currently 3 pending customer complaints filed against Daniel Lauletta’s former employer, MSI Financial Services, Inc. and America’s Financial Services, Inc. for investment losses caused by hisalleged misconduct. Allegations Against Daniel Lauletta A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleged unauthorized exchange of 2 variable annuities to a fixed index annuity. Client alleged that surrender charges associated with his variable annuity purchase were not disclosed by Daniel Lauletta. The claimant alleges that Daniel Lauletta provided, negligent advice and utilize deceptive sales tactics to prompt the purchase of life insurance policies that were unsuitable recommendations. Further, that the insurance policies were finance in a manner that was unsustainable, depleted his retirement investments to pay collateral obligations and caused him unnecessary surrender charges and tax penalties. Plaintiff alleged that the financial advisor made misrepresentations and fraudulently induced him to purchase and unsuitable whole life insurance policy. Plaintiff alleges that defendants made misrepresentations to induce the purchase of several variable universal life insurance policies. Daniel Lauletta Red Flags & Your Rights As An Investor Of course, Daniel Lauletta 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 Daniel Lauletta 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 Daniel Lauletta has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about Daniel Lauletta at MSI Financial Services, Inc. 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, LLC And MSI Financial Services, Inc. If you have any questions about MML Investors Services, LLC, MSI Financial Services, Inc., and/or Daniel Lauletta and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Daniel Soliman of J.P Morgan Securities, LLC

DID DANIEL M. SOLIMAN CAUSE YOU INVESTMENT LOSSES? Daniel M. Soliman Formerly With J.P. Morgan, LLC Securities And Traderfield Securities Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Daniel M. Soliman Formerly With J.P. Morgan Securities LLC, And Trader field Securities, Inc.? Daniel Soliman (CRD #6053300) who was formerly registered with J.P. Morgan Securities LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to J.P. Morgan Securities LLC, Daniel Soliman was associated with Traderfield Securities Inc. and Legend Securities, Inc. and 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Daniel Soliman also has had regulatory problems. In June 2019, he was permanently barred by FINRA from any further registration with any member firm in any capacity in securities industry for failing to appear and give testimony in connection with an investigation it was conducting into whether he had violated the federal securities laws or regulations or FINRA rules relating to the trading of customer’s accounts. Traderfield Securities, Inc. Broker Misconduct In his career, Daniel Soliman has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. Both customer complaints filed against Daniel Soliman’s former employer Trader field Securities, Inc. for investment losses caused by his alleged misconduct. Allegations Against Daniel Soliman   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Two  clients in 2 separate arbitration proceedings allege that Daniel Soliman committed fraud by making misrepresentations in connection with common and preferred stock transactions Daniel Soliman Red Flags & Your Rights As An Investor Of course, Daniel Soliman 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 Daniel Soliman at J.P. Morgan Securities LLC, Traderfield Securities, Inc. and Legend Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Daniel Soliman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Traderfield Securities, Inc. about Daniel Soliman 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 J.P. Morgan Securities LLC  And Traderfield Securities, Inc. If you have questions about J.P. Morgan Securities LLC, Traderfield Securities Inc., Legend Securities, Inc. and/or Daniel Soliman 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

Donald Dever of UBS Financial Services Inc.

DID DONALD J. DEVER CAUSE YOU INVESTMENT LOSSES? Donald J. Dever with UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Donald J. Dever with UBS Financial Services Inc.? Donald Dever (CRD #5317492) who is currently registered with UBS Financial Services Inc. and located in West Palm Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., Donald Dever was associated with Credit Suisse Securities (USA) LLC and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services Inc. Broker Misconduct In his career, Donald Dever has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. One of Donald Dever’s customer complaints was settled in favor of investors. There is currently 1 pending customer complaint filed against Donald Dever’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct. Allegations Against Donald Dever A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleged that transactions were executed in his account without his authority. Claimant alleged that Donald Dever made misrepresentations and unsuitable recommendations with respect to an options overlay strategy known as the UBS-YES strategy. Donald Dever Red Flags & Your Rights As An Investor Of course, Donald Dever 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 Donald Dever at UBS Financial Services Inc. and Credit Suisse Securities (USA) LLC on alert to review carefully the activity and performance of their accounts and question whether Donald Dever has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. about Donald Dever in such a short period 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 UBS Financial Services Inc.   If you have questions about UBS Financial Services Inc., Credit Suisse Securities (USA) LLC and/or Donald Dever and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Daniel Brunette of First Allied Securities, Inc.

DID DANIEL EDWARD BRUNETTE CAUSE YOU INVESTMENT LOSSES? Daniel Edward Brunette with First Allied Securities, Inc. Has 16 Customer Complaints For Alleged Broker Misconduct, 3 Complaints In the Past Year Who is Daniel E. Brunette with First Allied Securities, Inc.? Daniel Brunette (CRD #813924) who is currently registered with First Allied Securities, Inc. and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Allied Securities, Inc., Daniel Brunette was associated with 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Daniel Brunette has had his own share of regulatory problems. While he was employed with Northwestern Mutual investment Services, LLC, it was alleged that he misrepresented variable life insurance policies in the NASD censured, suspended and fined him for that alleged misconduct. Thereafter, he failed to notify the states of Indiana, Ohio, Wisconsin, Pennsylvania, and Illinois of the any as the action and he was subject to a variety of sanctions, including, revocation of his licenses, withdrawals of his registration, probation, heightened supervision, censures, cease-and-desist orders, and/or fines. First Allied Securities, Inc. And Northwestern Mutual Investment Services, LLC Broker Misconduct In his career, Daniel Brunette has been the subject of 16 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Nine of Daniel Brunette’s 16 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Daniel Brunette’s current employer First Allied Securities, Inc. for investment losses caused by his alleged misconduct. Allegations Against Daniel Brunette   A sample of the allegations made in the FINRA reported customer complaints, arbitration claims and settlements and pending complaints for investment losses are as follows: Multiple customers in separate arbitrations and written complaints alleged misrepresentation of variable life insurance policy. Complainant alleged that Daniel Brunette is misleading sales materials in misrepresenting a variable life insurance policy. Client alleged that financial advisor misrepresented a variable life insurance policy as a private pension plan and further that his signature and initials on certain applications were forgeries. Customer alleged that a variable life insurance policy offered and sold was not a suitable investment recommendation. Customers alleged that variable life insurance policy sold to them were misrepresented to be private pension plans and that Daniel Burnett guaranteed a certain rate of tax-free return, and further that the actual return would be greater than the guaranteed rate or return. Moreover, customers alleged that the registered representative stated they would only have to pay the premiums until the age of 55 and thereafter, the policy would provide certain annual payments, tax-free for a source of retirement income. Daniel Brunette Red Flags & Your Rights As An Investor Of course, Daniel Brunette 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 Daniel Brunette at First Allied Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Daniel Brunette has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment Services, LLC also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At First Allied Securities, Inc. and Northwestern Mutual Investment Services, LLC If you have questions about First Allied Securities, Inc., Northwestern Mutual Investment Services, LLC, and/or Daniel Brunette 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

Brian Btesh of Northwestern Mutual Investment Services, LLC

DID BRIAN BTESH CAUSE YOU INVESTMENT LOSSES? Brian Btesh formerly with Northwestern Mutual Investment Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Brian Btesh formerly with Northwestern Mutual Investment Services, LLC? Brian Btesh (CRD #6112889) who was formerly registered with Northwestern Mutual Investment Services, LLC and located in Aventura, Florida is a subject of one of our many securities industry sales practice abuse investigations. Northwestern Mutual Investment Services, LLC is an investment advisory and brokerage firm with a history of customer complaints. Rather than terminate Brian Btesh for apparent misconduct, Northwestern Mutual Investment Services, LLC permitted him to resign from his position after a review of sales practice complaints, including his applying large payments to premium and initiating policy changes promptly after the payments are exhausted; initiating and collecting payment amounts which were inconsistent with the amounts of premiums due; and basing the amount of the policy, death benefit on the corresponding premium amount, rather than the client need. Rather than terminate him for suspected forgery, and admissions that he altered documentation, they permitted him to resign. Based on the foregoing, one wonders what it would take for Northwestern Mutual Investment Services, LLC to terminate any financial advisor for misconduct.  Northwestern Mutual Investment Services, LLC Broker Misconduct In his career, Brian Btesh has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. Both of Brian Btesh’s customer complaints were settled in favor of investors. Allegations Against Brian Btesh A sample of the allegations made in the FINRA reported arbitration claim settlements for investment losses are as follows: A customer alleged that she did not sign policy change forms for 2 non-variable life insurance policies. Another customer alleged that she had not signed forms related to changes for her 3 non-variable life insurance policies or even requested any policy changes. Brian Btesh Red Flags & Your Rights As An Investor Of course, Brian Btesh 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 Brian Btesh at Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Brian Btesh has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment Services, LLC about Brian Btesh 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 Northwestern Mutual Investment Services, LLC If you have questions about Northwestern Mutual Investment Services, LLC and/or Brian Btesh 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

Bryan Davidson of BMO Harris Financial Advisors, Inc.

DID BRYAN EDWARD DAVIDSON CAUSE YOU INVESTMENT LOSSES? Bryan Edward Davidson with BMO Harris Financial Advisors, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Bryan E. Davidson with BMO Harris Financial Advisors, Inc.? Bryan Davidson (CRD #5445540) who is currently registered with BMO Harris Financial Advisors, Inc. and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to BMO Harris Financial Advisors, Inc., Bryan Davidson was associated with PNC Investments and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Bryan Davidson also was the subject of a regulatory action in the State of Wisconsin where his registration to sell securities was revoked. BMO Harris Financial Advisors, Inc. Broker Misconduct In his career, Bryan Davidson has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. Both of Bryan Davidson’s customer complaints were settled in favor of investors. Allegations Against Bryan Davidson The allegations made in the 2 FINRA reported arbitration claim settlements for investment losses were that Bryan Davidson allegedly engaged in unauthorized trading in mutual funds in two different customers’ accounts. Bryan Davidson Red Flags & Your Rights As An Investor Of course, Bryan Davidson 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 Bryan Davidson at BMO Harris Financial Advisors, Inc. and PNC Investments  on alert to review carefully the activity and performance of their accounts and question whether Bryan Davidson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at BMO Harris Financial Advisors, Inc., in a short period about Bryan Davidson 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 BMO Harris Financial Advisors, Inc.   If you have questions about BMO Harris Financial Advisors, Inc., PNC Investments and/or Bryan Davidson 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

Charles Howell of Bankers Life Securities, Inc.

DID CHARLES EDWARD HOWELL CAUSE YOU INVESTMENT LOSSES? Charles Edward Howell with Bankers Life Securities, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Charles E. Howell with Bankers Life Securities, Inc.? Charles Howell (CRD #4757297) who is currently registered with Bankers Life Securities, Inc. and located in Plantation, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Bankers Life Securities, Inc., Charles Howell was associated with Proequities, Inc. and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Bankers Life Securities, Inc. Broker Misconduct In his career, Charles Howell has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. One of Charles Howell’s 4 customer complaints was settled in favor of investors. Bankers Life Securities, Inc. and Proequities, Inc. recently denied 3 customer complaints made against Charles Howell for investment losses caused by his alleged misconduct. To date, the customers have not filed any arbitration claims. Allegations Against Charles Howell A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customers alleged that Charles Howell sold shares of mutual funds without their authority in order to meet monthly distribution requirements. Customer alleged that Charles Howell did not inform her of how her money would be invested and that she was asked to sign blank account documents she opened her account. Customer alleged that Charles Howell falsified account documents. Claimants alleged that Charles Howell made unsuitable investment recommendations to invest in variable annuities, over-concentrated the portfolio and certain investments and made false and misleading statements in connection with the recommendations made and Pro-equities paid the customer $330,000 to settle the dispute. Charles Howell Red Flags & Your Rights As An Investor Of course, Charles Howell 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 Charles Howell at Bankers Life Securities, Inc. and Proequities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Charles Howell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Bankers Life Securities, Inc. and Proequities, Inc. 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 Bankers Life Securities, Inc., and Proequities, Inc. If you have questions about Bankers Life Securities, Inc., Proequities, Inc. and/or Charles Howell 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

Charles Lee of Bankers Life Securities, Inc.

DID CHARLES LEE CAUSE YOU INVESTMENT LOSSES? Charles Lee with Bankers Life Securities, Inc. Has to Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Charles Lee with Bankers Life Securities, Inc.? Charles Lee (CRD #4686159) who is currently registered with Bankers Life Securities, Inc. and located in Farmington, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Bankers Life Securities, Inc., Charles Lee was associated with Proequities, Inc. and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Bankers Life Securities, Inc. Broker Misconduct In his career, Charles Lee has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. Bankers Life Securities, Inc. and Pro-equities, Inc. denied the customer complaints for investment losses caused by his alleged misconduct. To date, customers have not taken any further action while Bankers Life Securities, Inc. continues to investigate the allegations of broker misconduct described below. Allegations Against Charles Lee A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: A family member of a customer who was allegedly suffering of diminished capacity and claimed that Charles Lee used high pressure sales tactics to have his brother surrender his variable annuity and reinvest into premium bonus indexed annuities. Further, was alleged that there was no disclosure of the high surrender charges associated with the annuity transfers. In another case, another family member complained the financial advisor pressured her brother-in-law who suffers from cognitive and memory issues to surrender his variable annuities and reinvest in premium bonus indexed annuities and a guaranteed life income annuity which were unsuitable investment recommendations. Customer alleges that he was not informed at the investment made was not guaranteed that the value of the mutual fund shares he owned could decrease. Charles Lee Red Flags & Your Rights As An Investor Of course, Charles Lee 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 Charles Lee at Bankers Life Securities, Inc. and Proequities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Charles Lee has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Bankers Life Securities, Inc. and Proequities, Inc. about Charles Lee 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 Bankers Life Securities, Inc. And Proequities, Inc. If you have questions about Bankers Life Securities, Inc., Proequities, Inc. and/or Charles Lee 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

Brandon Potter of J.P. Morgan Securities, LLC

DID BRANDON POTTER CAUSE YOU INVESTMENT LOSSES? Brandon Potter formerly with J.P. Morgan Securities LLC Has to Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Brandon Potter formerly with J.P. Morgan Securities LLC? Brandon Potter (CRD #6279793) who was formerly registered with J.P. Morgan Securities LLC and located in Bayside, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to J.P. Morgan Securities LLC, Brandon Potter was associated with Morgan Stanley another investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. J.P. Morgan Securities LLC Broker Misconduct In his career, Brandon Potter has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. Both of those customer complaints filed against Brandon Potter’s former employer J.P. Morgan Securities LLC for investment losses caused by his alleged misconduct were recently denied by the company. To date, the customers have not filed their arbitration claims. Allegations Against Brandon Potter A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleged unsuitable investment recommendations relating to mutual fund investments. Client alleged that Brandon Potter failed to disclose fees associated with mutual fund investment. Brandon Potter Red Flags & Your Rights As An Investor Of course, Brandon Potter 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 Brandon Potter at J.P. Morgan Securities LLC and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Brandon Potter has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities LLC about Brandon Potter in such a short period 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 J.P. Morgan Securities LLC If you have questions about J.P. Morgan Securities LLC, Morgan Stanley and/or Brandon Potter 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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