Jan 20, 2022

Thomas Forbes of Morgan Stanley

DID THOMAS HESS FORBES CAUSE YOU INVESTMENT LOSSES? Thomas Forbes of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Thomas Forbes of Morgan Stanley? Thomas Forbes (CRD #818699) who is currently registered with Morgan Stanley and located in Bloomfield Hills, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Thomas Forbes Customer Complaints Thomas Forbes has been the subject of 2 customer complaints that we know about, which was filed in the last year to recover investment losses. One of Thomas Forbes’ 2 customer complaints was settled in favor of investors. One of Thomas Forbes’ customer complaints was denied and the customer did not take any further action. Allegations Against Thomas Forbes A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Trustee verbally alleged Thomas Forbes’ failure to follow instructions with respect to liquidation of shares in trust accounts. Customer alleged that Thomas Forbes transferred an annuity contract to a new contract with an early surrender charge. Thomas Forbes Red Flags & Your Rights As An Investor Of course, Thomas Forbes 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 Thomas Forbes at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Thomas Forbes has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley 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 Morgan Stanley Due To Thomas Forbes If you have questions about Morgan Stanley and/or Thomas Forbes 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

Gerald Bye of MML Investors Services

DID GERALD DANIEL BYE CAUSE YOU INVESTMENT LOSSES? Gerald Bye of MML Investors Services and Formerly with MetLife Securities Has 2 Customer Complaints for Alleged Broker Misconduct Who is Gerald Bye of MML Investors Services? Gerald Bye (CRD #1067750) who is currently registered with MML Investors Services and located in Gurnee, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Gerald Bye was associated with MetLife Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gerald Bye Customer Complaints Gerald Bye has been the subject of 2 customer complaints that we know about. Both of Gerald Bye’s customer’s complaints were denied and the customers did not take any further action. Allegations Against Gerald Bye A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Clients allege that the Variable Universal Life Insurance Policies sold to them by Gerald Bye were not suitable for someone of their age. The customer alleged that Gerald Bye misled him to believe that the issuance of the contract was time sensitive Gerald Bye Red Flags & Your Rights as An Investor Of course, Gerald Bye 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 Gerald Bye at MML Investors Services and MetLife Securities on alert to review carefully the activity and performance of their accounts and question whether Gerald Bye has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at MML Investors Services and MetLife 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 MML Investors Services and MetLife Securities Due to Gerald Bye If you have questions about MML Investors Services, MetLife Securities, and/or Gerald Bye and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

William Byrd of B.B. Graham & Company

DID WILLIAM DEAN BYRD CAUSE YOU INVESTMENT LOSSES? William Byrd of B.B. Graham & Company and Formerly with Capital Financial Services, Invest Financial, and Transamerica Financial Advisors Has 5 Customer Complaints for Alleged Broker Misconduct Who is William Byrd of B.B. Graham & Company? William Byrd (CRD #1334634) who is currently registered with B.B. Graham & Company and located in Tampa, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to B.B. Graham & Company, William Byrd was associated with Capital Financial Services, Invest Financial, Transamerica Financial Advisors, and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Byrd Customer Complaints William Byrd has been the subject of 5 customer complaints that we know about. Four of William Byrd’s 5 customer complaints were settled in favor of investors. One of William Byrd’s customer’s complaints was denied and the customers did not take any further action. Allegations Against William Byrd A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The claimant alleged William Byrd made unsuitable recommendations, misrepresented investments, and breached his fiduciary duty. The claimant alleges William Byrd made unsuitable investments ignoring the claimant’s changing circumstances. The claimant further alleges the representative made material misrepresentations regarding the recommended investments. Claimant alleges that William Byrd sold them unsuitable concentrated mutual fund transactions and products, lacking any reasonable investment strategy, designed solely to maximize commissions. The client submitted a complaint alleging that William Byrd made unsuitable recommendations which resulted in investment losses. The clients have alleged William Byrd made unsuitable recommendations which resulted in investment losses. William Byrd Red Flags & Your Rights as An Investor Of course, William Byrd 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 William Byrd at B.B. Graham & Company, Capital Financial Services, Invest Financial, and Transamerica Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether William Byrd has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at B.B. Graham & Company, Capital Financial Services, Invest Financial, and Transamerica Financial 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 B.B. Graham & Company and Capital Financial Services Due to William Byrd If you have questions about B.B. Graham & Company, Capital Financial Services, Invest Financial, Transamerica Financial Advisors, and/or William Byrd 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

John Carroll of Berthel Fisher & Company Financial Services

DID JOHN WILLIAM CARROLL CAUSE YOU INVESTMENT LOSSES? John Carroll Formerly with Berthel Fisher & Company Financial Services Has 4 Customer Complaints for Alleged Broker Misconduct Who is John Carroll formerly with Berthel Fisher & Company Financial Services? John Carroll (CRD #41769) who was formerly registered with Berthel Fisher & Company Financial Services and located in Maumee, Ohio is a subject of one of our many securities industry sales practice abuse investigations. He was discharged a two broker-dealers. John Carroll Customer Complaints John Carroll 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 John Carroll’s 4 customer complaints was settled in favor of investors. There are currently three pending customer complaints filed against Berthel Fisher & Company Financial Services for investment losses caused by John Carroll’s alleged misconduct. Allegations Against John Carroll A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client alleged the investments she purchased were unsuitable and misrepresented to her by John Carroll. The client also alleges the firm failed to supervise the actions of the representative. The client is alleged that John Carroll’s advice and investment decisions have caused him financial distress. He is upset that the representative allocated 90% of his portfolio into one security. The power of attorney on behalf of the client alleges the investments made by John Carroll are unsuitable and is upset that they are illiquid. John Carroll Red Flags & Your Rights as An Investor Of course, John Carroll 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 John Carroll at Berthel Fisher & Company Financial Services on alert to review carefully the activity and performance of their accounts and question whether John Carroll has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Berthel Fisher & Company 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 Berthel Fisher & Company Financial Services Due to John Carroll If you have questions about Berthel Fisher & Company Financial Services, and/or John Carroll 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

Mark Carroll of Morgan Stanley

DID MARK EDWARD CARROLL CAUSE YOU INVESTMENT LOSSES? Mark Carroll of Morgan Stanley Has A Customer Complaint for Alleged Broker Misconduct Who is Mark Carroll of Morgan Stanley? Mark Carroll (CRD #1306479) who is currently registered with Morgan Stanley and located in Brea, California is a subject of one of our many securities industry sales practice abuse investigations. Mark Carroll Customer Complaint Mark Carroll 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 for unauthorized purchases of stock in the client’s trust account. Mark Carroll’s customer complaint was settled in favor of the investors. Mark Carroll Red Flags & Your Rights as An Investor Of course, Mark Carroll 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 Mark Carroll at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Mark Carroll has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Morgan Stanley 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 Morgan Stanley Due to Mark Carroll If you have questions about Morgan Stanley, and/or Mark Carroll 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 Casolari of Voya Financial Advisors

DID RICHARD BRUNO CASOLARI CAUSE YOU INVESTMENT LOSSES? Richard Casolari of Voya Financial Advisors and Formerly with MetLife Securities Has 4 Customer Complaints for Alleged Broker Misconduct Who is Richard Casolari of Voya Financial Advisors? Richard Casolari (CRD #42779) who is currently registered with Voya Financial Advisors and located in Palos Heights, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Voya Financial Advisors, Richard Casolari was associated with MetLife Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Casolari Customer Complaints Richard Casolari 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. Three of Richard Casolari’s 4 customer complaints were settled in favor of investors. One of Richard Casolari’s customers’ complaints was denied and the customers did not take any further action. Allegations Against Richard Casolari A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The claimant’s allegations against Richard Casolari include negligence, breach of fiduciary duty, and violation of the Illinois Securities Act arising from allocation decisions with respect to the claimant’s portfolio. Claimants allege that Richard Casolari violated his fiduciary duty by “making material misrepresentations; failing to disclose material facts; and recommending transactions that were inappropriate and excessive given their financial position, needs, and investment objectives.” The client alleges Richard Casolari made unsuitable recommendations, material misrepresentations, exercised discretionary power in the client’s account, and failed to disclose material facts regarding his investments. The complainant alleges that Richard Casolari took money from her annuity account at various times. Richard Casolari Red Flags & Your Rights as An Investor Of course, Richard Casolari 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 Casolari at Voya Financial Advisors and MetLife Securities on alert to review carefully the activity and performance of their accounts and question whether Richard Casolari has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Voya Financial Advisors and MetLife 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 Voya Financial Advisors Due to Richard Casolari If you have questions about Voya Financial Advisors, MetLife Securities, and/or Richard Casolari 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 Christiansen of Wells Fargo Clearing Services

DID CHARLES WINSTON CHRISTIANSEN CAUSE YOU INVESTMENT LOSSES? Charles Christiansen of Wells Fargo Clearing Services Has 2 Customer Complaints for Alleged Broker Misconduct Who is Charles Christiansen of Wells Fargo Clearing Services? Charles Christiansen (CRD #816900) who is currently registered with Wells Fargo Clearing Services and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations. Charles Christiansen Customer Complaints Charles Christiansen has been the subject of 2 customer complaints that we know about. One of Charles Christiansen’s 2 customer complaints resulted in an arbitration award in favor of the investors. One of Charles Christiansen’s 2 customer complaints was settled in favor of investors for $1,750,000. Allegations Against Charles Christiansen A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Charles Christiansen’s alleged failure to supervise financial advisor’s handling of accounts. The claimant alleges that the branch manager failed to supervise Charles Christiansen the FA managing the Claimant’s accounts. Charles Christiansen Red Flags & Your Rights as An Investor Of course, Charles Christiansen 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 Charles Christiansen at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Charles Christiansen has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Wells Fargo Clearing 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 Wells Fargo Clearing Services Due to Charles Christiansen If you have questions about Wells Fargo Clearing Services and/or Charles Christiansen 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

Bruce Ciallella of Cabot Lodge Securities

DID BRUCE ANTHONY CIALLELLA CAUSE YOU INVESTMENT LOSSES? Bruce Ciallella of Cabot Lodge Securities and Formerly with IFS Securities and Summit Brokerage Services Has 7 Customer Complaints for Alleged Broker Misconduct Who is Bruce Ciallella of Cabot Lodge Securities? Bruce Ciallella (CRD #719050) who is currently registered with Cabot Lodge Securities and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cabot Lodge Securities, Bruce Ciallella was associated with IFS Securities, Summit Brokerage Services, and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Bruce Ciallella Customer Complaints Bruce Ciallella has been the subject of 7 customer complaints that we know about. One of Bruce Ciallella’s 7 customer complaints resulted in an arbitration award in favor of the investors. Four of Bruce Ciallella’s 7 customer complaints were settled in favor of investors. One of Bruce Ciallella’s customer’s complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against Summit Brokerage Services for investment losses caused by Bruce Ciallella’s alleged misconduct. Allegations Against Bruce Ciallella A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client alleges illegal investment advice by Bruce Ciallella. The client states that Bruce Ciallella allegedly recommended unsuitable securities while at JW Genesis. The client alleges self-dealing and fraud, excessive trading, unsuitable investments, concentrated stock positions, failure to properly manage the account, unauthorized trading, breach of fiduciary duty, misrepresentation and omissions, violation of the Florida Securities and Investor Protection Act by Bruce Ciallella. Bruce Ciallella Red Flags & Your Rights as An Investor Of course, Bruce Ciallella 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 Bruce Ciallella at Cabot Lodge Securities, IFS Securities, and Summit Brokerage Services on alert to review carefully the activity and performance of their accounts and question whether Bruce Ciallella has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Cabot Lodge Securities, IFS Securities, and Summit Brokerage 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 Cabot Lodge Securities Due to Bruce Ciallella If you have questions about Cabot Lodge Securities, IFS Securities, Summit Brokerage Services, and/or Bruce Ciallella 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

Wilson Colberg-trigo of First Southern

DID WILSON DENNIS COLBERG-TRIGO CAUSE YOU INVESTMENT LOSSES? Wilson Colberg-trigo of First Southern, And Formerly with Herbert J. Sims & Co Has 80 Customer Complaints for Alleged Broker Misconduct Who is Wilson Colberg-trigo of First Southern? Wilson Colberg-trigo (CRD #1226126) who is currently registered with First Southern and located in Guaynabo, Puerto Rico is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Southern, Wilson Colberg-trigo was associated with Herbert J. Sims & Co and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wilson Colberg-trigo Customer Complaints Wilson Colberg-trigo has been the subject of 83 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Almost all of the complaints allege unsuitable recommendations to invest in and hold Puerto Rico Bonds and Puerto Rico closed-end funds, overconcentration and Puerto Rico investments, and over-leveraging of clients’ accounts.   Sixty-one of Wilson Colberg-trigo’s 83 customer complaints were settled in favor of investors for tens of millions of dollars. There are currently eleven pending customer complaints filed against UBS Financial Services for investment losses caused by Wilson Colberg-trigo’s alleged misconduct. Eleven of Wilson Colberg-trigo’s customer’s complaints were denied and the customers did not take any further action. Wilson Colberg-trigo Red Flags & Your Rights as An Investor Of course, Wilson Colberg-trigo 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 Wilson Colberg-trigo at First Southern and Herbert J. Sims & Co on alert to review carefully the activity and performance of their accounts and question whether Wilson Colberg-trigo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Southern and Herbert J. Sims & Co 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 First Southern Due to Wilson Colberg-trigo If you have questions about First Southern, Herbert J. Sims & Co, and/or Wilson Colberg-trigo 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

Dawn Coleman-Hyman of Pruco Securities

DID DAWN ANNE COLEMAN-HYMAN CAUSE YOU INVESTMENT LOSSES? Dawn Coleman-Hyman of Pruco Securities Has A Customer Complaint for Alleged Broker Misconduct Who is Dawn Coleman-Hyman of Pruco Securities? Dawn Coleman-Hyman (CRD #1320756) who is currently registered with Pruco Securities and located in Long Beach, California is a subject of one of our many securities industry sales practice abuse investigations. Dawn Coleman-Hyman Customer Complaint Dawn Coleman-Hyman 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 plaintiffs allege that the representative misrepresented the features of an annuity in the sale of the product and that a withdrawal form for the annuity was subsequently altered by one or more of the defendants in the lawsuit. The customer complaint filed against Dawn Coleman-Hyman’s current employer Pruco Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Dawn Coleman-Hyman Red Flags & Your Rights as An Investor Of course, Dawn Coleman-Hyman 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 Dawn Coleman-Hyman at Pruco Securities on alert to review carefully the activity and performance of their accounts and question whether Dawn Coleman-Hyman has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Pruco Securities also raises questions about the brokerage firm 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 Pruco Securities Due to Dawn Coleman-Hyman If you have questions about Pruco Securities and/or Dawn Coleman-Hyman 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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