Jan 20, 2022

Robert Heller of United Planners’ Financial Services Of America

DID ROBERT CADY HELLER CAUSE YOU INVESTMENT LOSSES? Robert Heller of United Planners’ Financial Services Of America A Limited Partner And Formerly With ProEquities Has A Customer Complaint For Alleged Broker Misconduct Who is Robert Heller of United Planners’ Financial Services Of America A Limited Partner? Robert Heller (CRD #242309) who is currently registered with United Planners’ Financial Services Of America A Limited Partner and located in Cave Creek, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to United Planners’ Financial Services Of America A Limited Partner, Robert Heller was associated with ProEquities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Heller Customer Complaint Robert Heller 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 fraud in purchase or sale of securities. Robert Heller’s customer complaint was denied and the customers did not take any further action. Robert Heller Red Flags & Your Rights As An Investor Of course, Robert Heller 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 Heller at United Planners’ Financial Services Of America A Limited Partner and ProEquities on alert to review carefully the activity and performance of their accounts and question whether Robert Heller has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at United Planners’ Financial Services Of America A Limited Partner and ProEquities 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 United Planners’ Financial Services Of America A Limited Partner Due To Robert Heller If you have questions about United Planners’ Financial Services Of America A Limited Partner, ProEquities, and/or Robert Heller 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 Cunningham of MML Investors Services

DID DANIEL BRIAN CUNNINGHAM CAUSE YOU INVESTMENT LOSSES? Daniel Cunningham Formerly with MML Investors Services and MSI Financial Services Has A Customer Complaint for Alleged Broker Misconduct Who is Daniel Cunningham formerly with MML Investors Services? Daniel Cunningham (CRD #1296388) who was formerly registered with MML Investors Services and located in Oklahoma City, Oklahoma is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Daniel Cunningham was associated with MSI Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Daniel Cunningham Customer Complaint Daniel Cunningham 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 the complainant alleges that he did not understand the penalties involved if he was not able to fully fund his plan in any given year. The complainant also believes the investments used to fund the plan, appear to only be in the best interest of the firm, and representatives since other products could have been utilized to accomplish his goal, with less cost to him. Daniel Cunningham’s customer complaint was denied and the customers did not take any further action. Daniel Cunningham Red Flags & Your Rights as an Investor Of course, Daniel Cunningham 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 Daniel Cunningham at MML Investors Services and MSI Financial Services on alert to review carefully the activity and performance of their accounts and question whether Daniel Cunningham has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at MML Investors Services and MSI Financial 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 MML Investors Services Due to Daniel Cunningham If you have questions about MML Investors Services, MSI Financial Services, and/or Daniel Cunningham 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

Anthony Dacruz of Morgan Stanley

DID ANTHONY EDWARD DACRUZ CAUSE YOU INVESTMENT LOSSES? Anthony Dacruz of Morgan Stanley Has 3 Customer Complaints for Alleged Broker Misconduct Who is Anthony Dacruz of Morgan Stanley? Anthony Dacruz (CRD #1259435) who is currently registered with Morgan Stanley and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Anthony Dacruz Customer Complaints Anthony Dacruz 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 Anthony Dacruz’s 3 customer complaints was settled in favor of investors. Two of Anthony Dacruz’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Anthony Dacruz 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’s grandson/POA alleges that unsuitable investments such as two Puerto Rico municipal bonds and closed-end funds were purchased by Anthony Dacruz in his grandparent’s accounts. Customers claim they were told by Anthony Dacruz that a municipal bond purchased was insured but the bond defaulted and there is no insurance. Customers complained verbally about the performance of one security that they purchased and alleged that Anthony Dacruz failed to execute a sell order for that security. Anthony Dacruz Red Flags & Your Rights as an Investor Of course, Anthony Dacruz 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 Anthony Dacruz at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Anthony Dacruz 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 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 Morgan Stanley Due to Anthony Dacruz If you have questions about Morgan Stanley and/or Anthony Dacruz 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

Frank Hemmen of Morgan Stanley

DID FRANK BARTHOLOMEW HEMMEN CAUSE YOU INVESTMENT LOSSES? Frank Hemmen of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Frank Hemmen of Morgan Stanley? Frank Hemmen (CRD #1342124) who is currently registered with Morgan Stanley and located in Pleasanton, California is a subject of one of our many securities industry sales practice abuse investigations. Frank Hemmen Customer Complaint Frank Hemmen has been the subject of 2 customer complaints that we know about, one of which was filed in the last year to recover investment losses.  Both of Frank Hemmen’s 2 customers’ complaints were settled in favor of the investors. Allegations Against Frank Hemmen 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 that Frank Hemmen sold a municipal bond in her account without her authorization. Client alleged unsuitable investment recommendations and breach of Frank Hemmen’s fiduciary duty, and fraudulent advice concerning a $100,000 investment in a Putnam managed annuity plan. Frank Hemmen Red Flags & Your Rights As An Investor Of course, Frank Hemmen 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 Frank Hemmen at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Frank Hemmen 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’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 Morgan Stanley Due To Frank Hemmen If you have questions about Morgan Stanley and/or Frank Hemmen 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 Giokas formerly with Fortune Financial Services

DID MICHAEL GIOKAS CAUSE YOU INVESTMENT LOSSES? Michael Giokas Formerly With Fortune Financial Services Has 10 Customer Complaints For Alleged Broker Misconduct Who is Michael Giokas formerly with Fortune Financial Services? Michael Giokas (CRD #1398674) who was formerly registered with Fortune Financial Services and located in Clarence, New York is a subject of one of our many securities industry sales practice abuse investigations. Michael Giokas has also had his problems with the regulators and Justice Department.  FINRA first suspended him for failing to pay an arbitration award and then permanently barred him from association with any member firm when he refused to provide information and documents requested by FINRA in connection with an investigation related to criminal charges of felony fraud brought against him by the Justice Department. Michael Giokas Customer Complaints Michael Giokas has been the subject of 10 customer complaints that we know about. Eight of Michael Giokas’ 10 customer complaints were settled in favor of investors.  Two of Michael Giokas’ customers’ complaints were denied and the customers did not take any further action. Allegations Against Michael Giokas 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 Michael Giokas made unsuitable recommendation of variable universal life insurance policy and failed to disclose annual cost associated with maintaining the policy. Client alleged Michael Giokas provided unsuitable recommendations involving the purchase of variable annuities in the client’s qualified accounts. Client alleged that Michael Giokas’ recommendations to a variable annuity were not suitable and that the firm failed to disclose the surrender charges. Client alleged Michael Giokas made unsuitable recommendations involving 1035 exchanges of variable annuities and the purchase of B-share mutual funds. Michael Giokas’ alleged failure to disclose surrender charges. Michael Giokas’ alleged Misrepresentation & Omissions; Breach of Fiduciary Duty; Violation of NASD rules; Negligence; Failure to Supervise. Michael Giokas’ client alleged Unsuitability, Common Law Fraud, Breach of Contract, Negligent Supervision, Breach of Fiduciary Duty. Claimant alleged and unsuitable sale of Universal Life Policy by Michael Giokas. Michael Giokas’ alleged wrongful conduct, breach of fiduciary duty, negligence, breach of contract, violations of securities laws, FINRA Rules and Rules of Fair Practice. Michael Giokas Red Flags & Your Rights as an Investor Of course, Michael Giokas 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 Giokas at Fortune Financial Services on alert to review carefully the activity and performance of their accounts and question whether Michael Giokas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fortune 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 Fortune Financial Services Due To Michael Giokas If you have questions about  Fortune Financial Services and/or Michael Giokas 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

Timothy Daly of Janney Montgomery Scott

DID TIMOTHY EDWARD DALY CAUSE YOU INVESTMENT LOSSES? Timothy Daly of Janney Montgomery Scott Has 3 Customer Complaints for Alleged Broker Misconduct Who is Timothy Daly of Janney Montgomery Scott? Timothy Daly (CRD #1219609) who is currently registered with Janney Montgomery Scott and located in Upper Saddle River, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Timothy Daly was also the subject of a FINRA investigation into whether he overcharged 24 customers’ commissions and fees. FINRA alleged that Timothy Daly transferred securities out of fee-based accounts and sold them in regular commission-based accounts, thereby earning both fees and commissions on securities transactions in violation of FINRA Rule 2010 requiring members to conduct their business in accordance with commercial honor and the just and equitable principles of trade. In the end, Timothy Daly consented to a three-month suspension and all capacities and a fine of $97,500. Timothy Daly Customer Complaints Timothy Daly has been the subject of 3 customer complaints that we know about. Two of Timothy Daly’s 3 customers’ complaints were denied and the customers did not take any further action. There is currently one pending customer complaint filed against Janney Montgomery Scott for investment losses caused by Timothy Daly’s alleged misconduct. Allegations Against Timothy Daly A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants allege that unsuitable investments were made in their accounts by Timothy Daly. The client’s attorney alleged, among other things, excessive trading by Timothy Daly. Timothy Daly Red Flags & Your Rights as an Investor Of course, Timothy Daly 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 Timothy Daly at Janney Montgomery Scott on alert to review carefully the activity and performance of their accounts and question whether Timothy Daly 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 Timothy Daly If you have questions about Janney Montgomery Scott and/or Timothy Daly 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

Timothy Danahy of MML Investors Services

DID TIMOTHY PATRICK DANAHY CAUSE YOU INVESTMENT LOSSES? Timothy Danahy of MML Investors Services Has A Customer Complaint for Alleged Broker Misconduct Who is Timothy Danahy of MML Investors Services? Timothy Danahy (CRD #1350324) who is currently registered with MML Investors Services and located in Amherst, New York is a subject of one of our many securities industry sales practice abuse investigations. Timothy Danahy Customer Complaint Timothy Danahy 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 the complainant alleges that he was unaware of the type of policy that he had purchased and that had he been aware, he would have never purchased it. Timothy Danahy’s customer complaint was denied and the customer did not take any further action. Timothy Danahy Red Flags & Your Rights as an Investor Of course, Timothy Danahy 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 Timothy Danahy at MML Investors Services on alert to review carefully the activity and performance of their accounts and question whether Timothy Danahy has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at MML Investors 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 MML Investors Services Due to Timothy Danahy If you have questions about MML Investors Services and/or Timothy Danahy 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

Rick Davidson of Aegis Capital

DID RICK ALAN DAVIDSON CAUSE YOU INVESTMENT LOSSES? Rick Davidson of Aegis Capital and Formerly with National Securities, Jefferies, and Morgan Stanley, Has 8 Customer Complaints for Alleged Broker Misconduct Who is Rick Davidson of Aegis Capital? Rick Davidson (CRD #1315998) who is currently registered with Aegis Capitaland located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Rick Davidson was associated with National Securities, National Asset Management, Jefferies, Jefferies Investment Advisers, and Morgan Stanley, and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Rick Davidson Customer Complaints Rick Davidson has been the subject of 8 customer complaints that we know about, two of those complaints were filed in the last year to recover investment losses. Six of Rick Davidson’s 8 customer complaints were settled in favor of investors. One of Rick Davidson’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against National Securities for investment losses caused by Rick Davidson’s alleged misconduct. Allegations Against Rick Davidson 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 unsuitability with respect to investment recommendations made by Rick Davidson. The client alleges Rick Davidson did not fully disclose the return on the investment. The client claims the purchase of bond position was unauthorized and was not a suitable investment allegedly recommended by Rick Davidson. The client verbally alleged, among other things, unauthorized trading by Rick Davidson with respect to corporate bond investments. It is alleged that Rick Davidson engaged in unauthorized transactions. Rick Davidson’s client alleged suitability & misrepresentation. Rick Davidson’s client alleged suitability and misrepresentation. Unsuitable investment recommendations allegedly made by Rick Davidson. Rick Davidson Red Flags & Your Rights as an Investor Of course, Rick 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 that should put all current and former customers of Rick Davidson at Aegis Capital, National Securities, National Asset Management, Jefferies, Jefferies Investment Advisers, and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Rick Davidson has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Aegis Capital, National Securities, National Asset Management, Jefferies, Jefferies Investment Advisers, 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 Aegis Capital Due to Rick Davidson If you have questions about Aegis Capital, National Securities, National Asset Management, Jefferies, Jefferies Investment Advisers, Morgan Stanley, and/or Rick 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

Douglas Dawson of Northwestern Mutual Investment Services

DID DOUGLAS ARLIN DAWSON CAUSE YOU INVESTMENT LOSSES? Douglas Dawson of Northwestern Mutual Investment Services Has a Customer Complaint for Alleged Broker Misconduct Who is Douglas Dawson of Northwestern Mutual Investment Services? Douglas Dawson (CRD #1362983) who is currently registered with Northwestern Mutual Investment Services and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Douglas Dawson Customer Complaint Douglas Dawson 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 customer alleged that Douglas Dawson began a personal relationship with her in order to influence her to choose him as her representative and she alleged serious concerns about whether the advice she was given regarding her investment accounts when he was her representative, was suitable and appropriate. Douglas Dawson’s customer complaint was settled in favor of the investors. Douglas Dawson Red Flags & Your Rights as an Investor Of course, Douglas Dawson 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 Douglas Dawson at Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Douglas Dawson has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Northwestern Mutual Investment 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 Northwestern Mutual Investment Services Due to Douglas Dawson If you have questions about Northwestern Mutual Investment Services and/or Douglas Dawson 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

Brendan O’Connor of Lincoln Financial Advisors

DID BRENDAN THOMAS O’CONNOR CAUSE YOU INVESTMENT LOSSES? Brendan O’Connor of Lincoln Financial Advisors Has 3 Customer Complaints for Alleged Broker Misconduct Who is Brendan O’Connor of Lincoln Financial Advisors? Brendan O’Connor (CRD #1352287) who is currently registered with Lincoln Financial Advisors and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Brendan O’Connor Customer Complaints Brendan O’Connor has been the subject of 3 customer complaints that we know about. Two of Brendan O’Connor’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Lincoln Financial Advisors for investment losses caused by Brendan O’Connor’s alleged misconduct. Allegations Against Brendan O’Connor 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 Brendan O’Connor improperly recommended the purchase of an unsuitable prepaid variable forward contract as a solution to the client’s concentrated stock position. Brendan O’Connor’s alleged failure to follow instructions. Complainant alleges representative failed to “hold-an” on the liquidation of her account and she requested. Brendan O’Connor’s customer called his office and discovered that customer requested to move out of the stock funds and into the money market funds of the variable annuities that he purchased from Mr. O’Connor. Mr. O’Connor called and advised the customer that two of the seven nationwide annuities were primarily invested in the fixed account. He agreed not to sell the stock funds in those two annuities. Mr. O’Connor spoke with other firm employee later that day to confirm that all of the trades were done successfully but the firm did not trade the stock funds in the Lincoln Choice Plus Annuity. Mr. O’Connor then contacted Lincoln, only to find that he could not authorize such trades, nor could customer authorize such trades over the phone. Mr. O’Connor notified customer of this on September 21st. Mr. O’Connor then immediately faxed a letter of authorization to him to sign and fax directly to Lincoln for processing. Mr. O’Connor received a complaint letter from customer wherein he requested reimbursement for the change in market value of the account. Brendan O’Connor Red Flags & Your Rights as an Investor Of course, Brendan O’Connor 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 Brendan O’Connor at Lincoln Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Brendan O’Connor has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Lincoln 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 Lincoln Financial Advisors Due to Brendan O’Connor If you have questions about Lincoln Financial Advisors and/or Brendan O’Connor 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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