Jan 20, 2022

Kathleen Almulla of Cetera Advisor Networks

DID KATHLEEN JEAN ALMULLA CAUSE YOU INVESTMENT LOSSES? Kathleen Almulla of Cetera Advisor Networks, Summit Financial Group, And Formerly with Summit Brokerage Services Has A Customer Complaint for Alleged Broker Misconduct Who is Kathleen Almulla of Cetera Advisor Networks? Kathleen Almulla (CRD #1046406) who is currently registered with Cetera Advisor Networks, Summit Financial Group and located in Orlando, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisor Networks, Summit Financial Group, Kathleen Almulla was associated with Summit Brokerage Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kathleen Almulla Customer Complaint Kathleen Almulla has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint about investment losses were a breach of fiduciary duty, interference with an inheritance expectancy. The customer complaint filed against Kathleen Almulla’s current employer Summit Brokerage Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Kathleen Almulla Red Flags & Your Rights as an Investor Of course, Kathleen Almulla 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 Kathleen Almulla at Cetera Advisor Networks, Summit Financial Group, and Summit Brokerage Services on alert to review carefully the activity and performance of their accounts and question whether Kathleen Almulla has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Cetera Advisor Networks, Summit Financial Group, and Summit Brokerage Services 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 Cetera Advisor Networks Due to Kathleen Almulla If you have questions about Cetera Advisor Networks, Summit Financial Group, Summit Brokerage Services, and/or Kathleen Almulla 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

Alexander Altman of Janney Montgomery Scott

DID ALEXANDER ALTMAN CAUSE YOU INVESTMENT LOSSES? Alexander Altman Formerly with Janney Montgomery Scott Has 7 Customer Complaints for Alleged Broker Misconduct Who is Alexander Altman formerly with Janney Montgomery Scott? Alexander Altman (CRD #500333) who was formerly registered with Janney Montgomery Scott and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Alexander Altman has had his share of regulatory problems. Both the United States Securities and Exchange Commission and FINRA f/k/a NASD for stockbroker misconduct in violation of industry rules and regulations.  He was suspended by both agencies and fined by the NASD. Alexander Altman Customer Complaints Alexander Altman has been the subject of 7 customer complaints that we know about. All of Alexander Altman’s 7 customer complaints were settled in favor of investors. Allegations Against Alexander Altman A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The customer alleged that the trade was unsuitable and that the risks associated with that investment were not properly disclosed to her allegedly by Alexander Altman. Alexander Altman’s alleged unsuitable investments, breach of fiduciary duty, failure to follow instructions, common law fraud, material misrepresentations, negligence, and violation of Chapter 517, Florida Statutes. The claimant alleges that unsuitable investments were made in her and her husband’s accounts by Alexander Altman. The client alleged verbally that Alexander Altman guaranteed that she would not lose money on certain bonds backed by airline companies that she had purchased previously. The client alleges that Alexander Altman placed an inappropriate portion of his overall account into a single equity position. Customers alleged verbally that Alexander Altman guaranteed them against loss on certain securities they purchased. The client alleged unsuitable investments, breach of fiduciary, unauthorized trading, failure to follow instructions, misrepresentations and negligence relating to investments allegedly made by Alexander Altman for him. Alexander Altman Red Flags & Your Rights as an Investor Of course, Alexander Altman 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 Alexander Altman at Janney Montgomery Scott on alert to review carefully the activity and performance of their accounts and question whether Alexander Altman has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Janney Montgomery Scott 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 Janney Montgomery Scott Due to Alexander Altman If you have questions about Janney Montgomery Scott, and/or Alexander Altman 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

Alan Appelbaum of Aegis Capital

DID ALAN ZELIG APPELBAUM CAUSE YOU INVESTMENT LOSSES? Alan Appelbaum of Aegis Capital and Formerly with Herbert J. Sims & Co Has 13 Customer Complaints for Alleged Broker Misconduct Who is Alan Appelbaum of Aegis Capital? Alan Appelbaum (CRD #500336) who is currently registered with Aegis Capitaland located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Alan Appelbaum 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. Alan Appelbaum has had his own share of regulatory problems.  He was the subject of investigations by the State of New Hampshire, FINRA F/K/A NASD, and United States Securities and Exchange Commission. All three government agencies censured and/or fined him for alleged stockbroker misconduct. Alan Appelbaum Customer Complaints Alan Appelbaum has been the subject of 13 customer complaints that we know about. One Alan Appelbaum’s 13 customer complaints resulted in an arbitration award in favor of the investors. Eight of Alan Appelbaum’s 13 customer complaints were settled in favor of investors. Two of Alan Appelbaum’s customer’s complaints were denied and the customers did not take any further action. There are currently two pending customer complaints filed against Aegis Capital for investment losses caused by Alan Appelbaum’s alleged misconduct. Allegations Against Alan Appelbaum A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged failure to recognize that change in circumstances and desire to pursue a low-risk conservative strategy, unsuitable trading in proprietary investments and structured products by Alan Appelbaum. The client alleged an unsuitable product and churning by Alan Appelbaum. The client alleges breach of fiduciary duty, negligence, fraud, breach of contract, and violation of NASD and FINRA rules by Alan Appelbaum. Multiple clients expressed dissatisfaction with the recommendation of various municipal bonds allegedly made by Alan Appelbaum. The customer alleges negligence, breach of fiduciary duty, and improper management and monitoring of his account by Alan Appelbaum. The customer feels broker’s mark-up on bonds were excessive. Improper conduct allegedly by Alan Appelbaum. Alan Appelbaum’s client alleged fraud; negligent misrepresentation; strict liability misrepresentation; unsuitability; and common law breach of fiduciary duty. Another client alleged Alan Appelbaum’s recommendations were not consistent with the clients’ investment goals and objectives. Purchases of high yield bonds were contrary to his investment objectives allegedly made by Alan Appelbaum. Alan Appelbaum allegedly made unsuitable investment recommendations. The claimant alleges unsuitability and unauthorized transactions by Alan Appelbaum. Alan Appelbaum Red Flags & Your Rights as an Investor Of course, Alan Appelbaum 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 Alan Appelbaum at Aegis Capital and Herbert J. Sims & Co on alert to review carefully the activity and performance of their accounts and question whether Alan Appelbaum has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital 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 Aegis Capital Due to Alan Appelbaum If you have questions about Aegis Capital, Herbert J. Sims & Co, and/or Alan Appelbaum 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

James Applewhite of BB&T Securities

DID JAMES WILLIAM APPLEWHITE CAUSE YOU INVESTMENT LOSSES? James Applewhite of BB&T Securities Has 5 Customer Complaints for Alleged Broker Misconduct Who is James Applewhite of BB&T Securities? James Applewhite (CRD #1209709) who is currently registered with BB&T Securities and located in Raleigh, North Carolina is a subject of one of our many securities industry sales practice abuse investigations.  James Applewhite was also the subject of a FINRA investigation for allegedly trading in customer’s accounts without obtaining prior written authorization from the customer and without having the accounts accepted as discretionary accounts by his employer.  As a result, he was suspended for one month and fined $5, 000. James Applewhite Customer Complaints James Applewhite has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of James Applewhite’s 5 customer complaints were settled in favor of investors. Two of James Applewhite’s customers’ complaints were denied and the customers did not take any further action. Allegations Against James Applewhite A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customers stated that their $400,000 purchase of GJT – floating rate structured security was misrepresented allegedly by James Applewhite. Clients said they wanted to “park” their funds for 12-18 months while they waited on the construction of two properties. They understood from their financial advisor that the investment would earn interest and fluctuate very little. T.  To the contrary, the investment lost $110,240 or 27% of its value. Plaintiffs filed a class action based on allegations of fraud, misrepresentation and omission, unauthorized transactions, unfair and deceptive trade practices, and violations of federal and state securities laws for bond transactions allegedly by James Applewhite. The client alleges James Applewhite failed to follow his instructions about holding invested instruments so as not to incur a loss by selling at a declined value. James Applewhite Red Flags & Your Rights as an Investor Of course, James Applewhite 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 James Applewhite at BB&T Securities on alert to review carefully the activity and performance of their accounts and question whether James Applewhite has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at BB&T 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 BB&T Securities Due to James Applewhite If you have questions about BB&T Securities and/or James Applewhite 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

Ibrahim Arce of UBS Financial Services

DID IBRAHIM ARCE CAUSE YOU INVESTMENT LOSSES? Ibrahim Arce Formerly with UBS Financial Services Has 17 Customer Complaints for Alleged Broker Misconduct Who is Ibrahim Arce formerly with UBS Financial Services? Ibrahim Arce (CRD #1341280) who was formerly registered with UBS Financial Services, UBS Financial Services Incorporated of Puerto Rico and located in San Juan, Puerto Rico is a subject of one of our many securities industry sales practices abuse investigations. Ibrahim Arce Customer Complaints Ibrahim Arce has been the subject of 17 customer complaints that we know about. Twelve of Ibrahim Arce’s 17 customer complaints were settled in favor of investors. There are currently three pending customer complaints filed against Santander Securities and UBS Financial Services for investment losses caused by Ibrahim Arce’s alleged misconduct. Two of Ibrahim Arce’s customer’s complaints were denied and the customers did not take any further action. Allegations Against Ibrahim Arce A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Multiple claimants’ alleged that their investments in Puerto Rico denominated closed-end funds, government bonds, and municipal bonds were unsuitable, over-concentrated, and misrepresented as safe investments. Multiple clients’ alleged breach of fiduciary duty, negligence, negligent supervision, fraud, and breach of contract related to the offer and sale of Puerto Rico closed-end funds. Ibrahim Arce Red Flags & Your Rights as an Investor Of course, Ibrahim Arce 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 Ibrahim Arce at UBS Financial Services, UBS Financial Services Incorporated of Puerto Rico on alert to review carefully the activity and performance of their accounts and question whether Ibrahim Arce has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services, UBS Financial Services Incorporated of Puerto Rico 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 UBS Financial Services Due to Ibrahim Arce If you have questions about UBS Financial Services, UBS Financial Services Incorporated of Puerto Rico, and/or Ibrahim Arce 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

Demos Argyros of Oppenheimer & Co

DID DEMOS ARGYROS CAUSE YOU INVESTMENT LOSSES? Demos Argyros of Oppenheimer & Co. Has 5 Customer Complaints for Alleged Broker Misconduct Who is Demos Argyros of Oppenheimer Co.? Demos Argyros (CRD #1325219) who is currently registered with Oppenheimer & Co. and located in St. Louis, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Demos Argyros Customer Complaints Demos Argyros has been the subject of 5 customer complaints that we know about. Two of Demos Argyros’ 5 customer complaints resulted in arbitration awards in favor of the investors. Two of Demos Argyros’ 5 customer complaints were settled in favor of investors. One of Demos Argyros’ customer complaints was denied and the customers did not take any further action. Allegations Against Demos Argyros A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Demos Argyros’ alleged allegedly committed a breach of fiduciary duty, engaged in churning, made unsuitable investment recommendations, and committed conversion of funds.  The claimant alleged Demos Argyros committed negligence, breach of fiduciary duty, breach of contract relating to unsuitable equities and warrants. The claimants allege that Demos Argyros failed to diversify the portfolio and chose inappropriate investments. Demos Argyros Red Flags & Your Rights as an Investor Of course, Demos Argyros 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 Demos Argyros at Oppenheimer & Co. on alert to review carefully the activity and performance of their accounts and question whether Demos Argyros has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & 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 Oppenheimer Co. Due to Demos Argyros If you have questions about Oppenheimer & Co., and/or Demos Argyros 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

Les Barber of Royal Alliance Associates

DID LES LEROY BARBER CAUSE YOU INVESTMENT LOSSES? Les Barber of Royal Alliance Associates Has 3 Customer Complaints for Alleged Broker Misconduct Who is Les Barber of Royal Alliance Associates? Les Barber (CRD #1256348) who is currently registered with Royal Alliance Associates and located in South Jordan, Utah is a subject of one of our many securities industry sales practice abuse investigations. Les Barber Customer Complaints Les Barber 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 Les Barber’s 3 customer complaints was settled in favor of investors. One of Les Barber’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against Royal Alliance Associates for investment losses caused by Les Barber’s alleged misconduct. Allegations Against Les Barber 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 alleges the investments sold to him were to be safe, fixed-income investments for his retirement in accordance with his needs and financial objectives but instead, all of his retirement savings were put into highly risky and illiquid investments allegedly by Les Barber. The customer alleges Les Barber sold her unsuitable and illiquid REIT and Private Investments. The claimant alleged that Les Barber made unsuitable private placement investment recommendations. Les Barber Red Flags & Your Rights as an Investor Of course, Les Barber 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 Les Barber at Royal Alliance Associates on alert to review carefully the activity and performance of their accounts and question whether Les Barber has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Royal Alliance Associates 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 Royal Alliance Associates Due to Les Barber If you have questions about Royal Alliance Associates, and/or Les Barber 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

Beverly Barr of Parkland Securities

DID BEVERLY ANN BARR CAUSE YOU INVESTMENT LOSSES? Beverly Barr of Parkland Securities Has A Customer Complaint for Alleged Broker Misconduct Who is Beverly Barr of Parkland Securities? Beverly Barr (CRD #1071400) who is currently registered with Parkland Securities and located in Lebanon, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Beverly Barr Customer Complaint Beverly Barr 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 clients purchased a deferred annuity and allege the product was misrepresented and unsuitable. Beverly Barr’s customer complaint was denied and the customers did not take any further action. Beverly Barr Red Flags & Your Rights as an Investor Of course, Beverly Barr 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 Beverly Barr at Parkland Securities on alert to review carefully the activity and performance of their accounts and question whether Beverly Barr has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Parkland 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 Parkland Securities Due to Beverly Barr If you have questions about Parkland Securities and/or Beverly Barr 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

Jay Wells of Securities Service Network, Inc.

DID JAY LAMARR WELLS CAUSE YOU INVESTMENT LOSSES? Jay Lamarr Wells Formerly With Securities Service Network, Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Jay L. Wells formerly with Securities Service Network, Inc.? Jay Wells (CRD #5602205) who was formerly registered with Securities Service Network, Inc. and located in Draper, Utah is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securities Service Network, Inc., Jay Wells was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jay Wells Customer Complaint Jay Wells 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 that the claimant alleges Mr. Wells misrepresented the time horizon for liquidity of an investment purchased. Jay Wells’ customer complaint was denied and the customer did not take any further action. Jay Wells Red Flags & Your Rights As An Investor Of course, Jay Wells 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 Jay Wells at Securities Service Network, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jay Wells has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities Service Network, Inc. also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Securities Service Network, Inc. If you have questions about Securities Service Network, Inc. and/or Jay Wells 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

Jason Champion of MML Investors Services, LLC

DID JASON O. CHAMPION CAUSE YOU INVESTMENT LOSSES? Jason O. Champion of MML Investors Services, LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Jason O. Champion of MML Investors Services, LLC? Jason Champion (CRD #3093315) who is currently registered with MML Investors Services, LLC and located in New Hartford, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, LLC, Jason Champion was associated with MSI Financial Services, Cadaret, Grant & Co. and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jason Champion Customer Complaint Jason Champion 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 that the customer alleged that the representative misrepresented his investment as to liquidity and investment opportunity when it was transferred to the firm. Jason Champion’s customer complaint was denied and the customers did not take any further action. Jason Champion Red Flags & Your Rights As An Investor Of course, Jason Champion 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 Jason Champion at MML Investors Services, LLC, MSI Financial Services and Cadaret, Grant & Co. on alert to review carefully the activity and performance of their accounts and question whether Jason Champion has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services, LLC, MSI Financial Services and Cadaret, Grant & Co. 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 MML Investors Services, LLC If you have questions about MML Investors Services, LLC, MSI Financial Services, Cadaret, Grant & Co. and/or Jason Champion 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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