James McPherson of Great Point Capital LLC

DID JAMES DWIGHT MCPHERSON CAUSE YOU INVESTMENT LOSSES? James Dwight McPherson Of Great Point Capital LLC  Formerly Concorde Investment Services, LLC And Sandlapper Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is James D. McPherson currently with Great Point Capital LLC? James McPherson (CRD #5918462) who is currently registered with Great Point Capital LLC and located in Melbourne, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Great Point Capital LLC, James McPherson was associated with Sandlapper Securities, LLC and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Concorde Investment Services, LLC And Sandlapper Securities, LLC Broker Misconduct In his career, James McPherson 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. There are currently 2 pending customer complaints filed against James McPherson’s former employers, Concorde Investment Services, LLC and Sandlapper Securities, LLC for investment losses caused by his alleged misconduct. Allegations Against James McPherson   A sample of the allegations made in the FINRA reported arbitration claim complaints for investment losses are as follows: Claimants allege breach of fiduciary duty, unsuitable investment recommendations, breach of contract and negligence in connection with direct investments and limited partnership interests. James McPherson Red Flags & Your Rights As An Investor Of course, James McPherson 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 James McPherson at Great Point Capital LLC and Sandlapper Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether James McPherson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Concorde Investment Services, LLC and Sandlapper 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 Great Point Capital LLC, Concorde Investment Services, LLC, and Sandlapper Securities, LLC If you have questions about Great Point Capital LLC, Concorde Investment Services, LLC, Sandlapper Securities, LLC and/or James McPherson 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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Curtis Smiley of Primex

DID CURTIS HOWARD SMILEY CAUSE YOU INVESTMENT LOSSES? Curtis Howard Smiley formerly with Primex Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Curtis H. Smiley formerly with Primex? Curtis Smiley (CRD #4443310) who was formerly registered with Primex and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Primex, Curtis Smiley was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Curtis Smiley has his own share of regulatory problems. Just last month he was suspended for failing to comply with FINRAs request for information in connection with an investigation. FINRA Rule 8210, requires all financial advisors registered with FINRA to comply with requests for information and if they don’t comply they get suspended and then if they fail to supply the information request termination of the suspension, within 3 months the financial advisor will be permanently barred from association with any FINRA member in any capacity. Curtis Smiley’s suspension started December 7, 2020 and so, he has until March 7, 2021 to comply with the request and lift the suspension or face a permanent bar from working in the securities industry again. Primex Broker Misconduct In his career, Curtis Smiley 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 customer complaints filed against Curtis Smiley’s former employer Primex for investment losses caused by his alleged misconduct are currently pending. Allegations Against Curtis Smiley A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customers in 2 separate cases alleged lack of due diligence in connection with the investment recommendation, in a real estate sector. Curtis Smiley Red Flags & Your Rights As An Investor Of course, Curtis Smiley 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 Curtis Smiley at Primex on alert to review carefully the activity and performance of their accounts and question whether Curtis Smiley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Primex 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 Primex If you have questions about Primex and/or Curtis Smiley 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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Drew Wiener of SW Financial

DID DREW EVAN WIENER CAUSE YOU INVESTMENT LOSSES? Drew Evan Wiener with SW Financial Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Drew E. Wiener with SW Financial? Drew Wiener (CRD #4917070) who is formerly registered with SW Financial and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to SW Financial, Drew Wiener was associated with Rockwell Global Capital LLC and two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. SW Financial & Rockwell Global Capital, LLC Broker Misconduct In his career, Drew Wiener has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Three of Drew Wiener’s 4 customer complaints, were settled by his former employers SW Financial and others in favor of investors. There is currently 1 pending customer complaints filed against Drew Wiener’s former employer, Rockwell Global Capital, LLC for investment losses caused by his alleged misconduct. Allegations Against Drew Wiener A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged, churning, unauthorized trading, misrepresentations in connection with common stock transactions. Claimant alleged misrepresentation, churning, negligence, breach of fiduciary duty, and breach of contract connection with common and preferred stock transactions. Customer alleged misuse of margin, unsuitable investment recommendations, over-concentration of investments, misrepresentation, breach of fiduciary duty, breach of contract, and negligence in connection with common stock and preferred stock transactions. Drew Wiener Red Flags & Your Rights As An Investor Of course, Drew Wiener 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 Drew Wiener at SW Financial and Rockwell Global Capital LLC on alert to review carefully the activity and performance of their accounts and question whether Drew Wiener has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SW Financial 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 SW Financial And Rockwell Global Capital, LLC If you have questions about SW Financial, Rockwell Global Capital, LLC and/or Drew Wiener 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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Thomas Laws of HD Vest Investment Services

DID THOMAS H. LAWS CAUSE YOU INVESTMENT LOSSES? Thomas H. Laws formerly with HD Vest Investment Services Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Thomas H. Laws formerly with HD Vest Investment Services? Thomas Laws (CRD #4494448) who was formerly registered with HD Vest Investment Services and located in Silver City, New Mexico is a subject of one of our many securities industry sales practice abuse investigations. HD Vest Investment Services is a brokerage firm with a history of customer complaints and securities industry regulatory problems. Thomas Laws, himself has had serious problems with the regulators. Both the United States Securities and Exchange Commission and FINRA have permanently barred him from association with any member firm in any capacity.  In 2019, the SEC filed a complaint and alleged that Thomas laws misappropriated $1.1 million of investors’ funds transferred to him to purchase a silver mine, acquire mining claims, purchase mining equipment and for third-party services. The SEC allege that rather than use the funds for corporate purposes, he misappropriated these funds and attempted to hide his theft by fabricating documents, including forged vendor invoices, or agreements, bank records, communications, and signatures. A final judgment was entered against him by consent.  FINRA attempted to investigate these allegations and he refused to cooperate and so, he was barred pursuant to FINRA Rule 8210. Thomas laws is currently facing charges in federal court for 9 counts of charges for wire fraud, 2 counts of aggravated identity theft, 7 counts for transportation, transmission and transfer of money stolen, converted and taken by fraud. These criminal charges are still pending. Thomas laws Broker Misconduct In his career, Thomas Laws has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last two years to recover investment losses. Both of those complaints relate to his alleged misappropriation of funds for personal use and are pending a final hearing to recover investment losses caused by his alleged misconduct. Thomas Laws Red Flags & Your Rights As An Investor Of course, Thomas Laws 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 Laws at HD Vest Investment Services on alert to review carefully the activity and performance of their accounts and question whether Thomas Laws has engaged in any stockbroker misconduct that may have caused them investment losses. File A Claim To Recover Your Investment Losses At HD Vest Investment Services If you have questions about HD Vest Investment Services and/or Thomas Laws 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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Robert Micone of LPL Financial LLC

DID ROBERT EDWARD MICONE CAUSE YOU INVESTMENT LOSSES? Robert Edward Micone formerly with LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Robert E. Micone formerly with LPL Financial LLC? Robert Micone (CRD #2417434) who was formerly registered with LPL Financial LLC and located in Irvine, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Robert Micone was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. LPL Financial LLC Broker Misconduct In his career, Robert Micone has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last two years to recover investment losses. One of Robert Micone’s 3 customer complaints resulted in an arbitration award in favor of the investor and the other settled in favor of investors. There is currently 1 pending customer complaint filed against Robert Micone’s former employer LPL Financial LLC for investment losses caused by his alleged misconduct. Allegations Against Robert Micone A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant allegations of breach of fiduciary duty, breach of contract, fraud, and negligence resulted in an arbitration award in the investor’s favor. Claimant alleged breach of contract, breach of fiduciary duty, negligence, violations of FINRA rules, fraud, connection with the offer and sale of real estate securities. Claimants allege that the invested in a REIT and a business development company upon their brokers misleading recommendations which was unsuitable in light of the conservative investment profile. All of the investments involve private placements. Robert Micone Red Flags & Your Rights As An Investor Of course, Robert Micone 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 Micone at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Robert Micone has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, LLC about Robert Micone 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 LPL Financial LLC If you have questions about LPL Financial LLC and/or Robert Micone 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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Regan Rohl of Wells Fargo Advisors Financial Network, LLC

DID REGAN ALLLEN ROHL CAUSE YOU INVESTMENT LOSSES? Regan Allen Rohl formerly with Wells Fargo Advisors Financial Network, LLC Has 16 Customer Complaints For Alleged Broker Misconduct Who is Regan A. Rohl formerly with Wells Fargo Advisors Financial Network, LLC? Regan Rohl (CRD #1877645) who was formerly registered with Wells Fargo Advisors Financial Network, LLC and located in Fargo, North Dakota is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Advisors Financial Network, LLC, Regan Rohl was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wells Fargo Advisors Financial Network, LLC Broker Misconduct In his career, Regan Rohl has been the subject of 16 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. Ten of Regan Rohl’s 16 customer complaints were settled in favor of investors. Five of the customer complaints were denied by his former employer antedate the customers have not taken any further action. There is currently one pending customer complaint filed against Regan Rohl’s former employer Wells Fargo Advisors Financial Network, LLC for investment losses caused by his alleged misconduct. Allegations Against Regan Rohl A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege that the financial advisor engaged in unauthorized trading made unsuitable investment recommendations. Claimants allege that their financial advisor made unauthorized transactions, and that he over-concentrated their accounts in oil and gas related investments. Claimants allege that the financial advisor made unsuitable investment recommendations to purchase direct investments in limited partnership interests. Claimants allege that their financial advisor misrepresented the risks associated with a concentration of their investments in the energy sector. Claimants allege that the financial advisor made unsuitable investment recommendations that the clients over-concentrated their portfolio in the energy sector and then made unsuitable recommendations to continue to hold those investments after they began to decline in value. Claimants allege that the financial advisor made unsuitable investment recommendations to buy and concentrate their portfolio into the oil and gas sector master limited partnerships and closed-end funds. Regan Rohl Red Flags & Your Rights As An Investor Of course, Regan Rohl 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 Regan Rohl at Wells Fargo Advisors Financial Network, LLC on alert to review carefully the activity and performance of their accounts and question whether Regan Rohl has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Advisors Financial Network, LLC about Regan Rohl 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 Wells Fargo Advisors Financial Network, LLC   If you have questions about Wells Fargo Advisors Financial Network, LLC and/or Regan Rohl 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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Phillip Smelser of Cambridge Investment Research, Inc.

DID PHILLIP LLOYD SMELSER CAUSE YOU INVESTMENT LOSSES? Phillip Lloyd Smelser with Cambridge Investment Research, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Phillip L. Smelser with Cambridge Investment Research, Inc.? Phillip Smelser (CRD #2338831) who is currently registered with Cambridge Investment Research, Inc. and located in Woodfin, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cambridge Investment Research, Inc., Phillip Smelser was associated with 10 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cambridge Investment Research, Inc. Broker Misconduct In his career, Phillip Smelser has been the subject of 2 customer complaints that we know about, 1 of those complaints were filed in the last year to recover investment losses. One of Phillip Smelser’s customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Phillip Smelser’s current employer Cambridge Investment Research, Inc. for investment losses caused by his alleged misconduct. Allegations Against Phillip Smelser A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleges unsuitable investment recommendations and misrepresentations involving mutual funds and real estate investments. Claimant alleges the sale of unsuitable investments, misrepresentations and other sales practice violations. Phillip Smelser Red Flags & Your Rights As An Investor Of course, Phillip Smelser 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 Phillip Smelser at Cambridge Investment Research, Inc. on alert to review carefully the activity and performance of their accounts and question whether Phillip Smelser has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research, 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 Cambridge Investment Research, Inc. If you have questions about Cambridge Investment Research, Inc. and/or Phillip Smelser 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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Steven Skipper of LPL Financial LLC

DID STEVEN TREVOR SKIPPER CAUSE YOU INVESTMENT LOSSES? Steven Trevor Skipper with LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Steven T. Skipper with LPL Financial LLC? Steven Skipper (CRD #4265009) who is currently registered with LPL Financial LLC and located in Murfreesboro, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Steven Skipper was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. LPL Financial LLC Broker Misconduct In his career, Steven Skipper 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. One of Steven Skipper’s 2 customer complaints was settled in favor of investors. The other complaint was denied by LPL Financial, LLC, and the customer’s yet to file his arbitration claim. There is currently one pending customer complaint filed against Steven Skipper’s current employer LPL Financial LLC for investment losses caused by his alleged misconduct. Allegations Against Steven Skipper   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleges misrepresentation connection with the offer and sale of a real estate security. Claimants allege that they wanted to purchase safe investments, but instead were recommended, illiquid, alternative investments involving real estate securities and business development companies. Steven Skipper Red Flags & Your Rights As An Investor Of course, Steven Skipper did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Steven Skipper at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Steven Skipper has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC about Steven Skipper 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 LPL Financial LLC If you have questions about LPL Financial LLC and/or Steven Skipper 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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Nicholas Travascio of LPL Financial LLC

DID NICHOLAS JOSEPH TRAVASCIO III CAUSE YOU INVESTMENT LOSSES? Nicholas Joseph Travascio III formerly with LPL Financial LLC Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Nicholas J. Travascio III formerly with LPL Financial LLC? Nicholas Travascio (CRD #2581756) who was formerly registered with LPL Financial LLC and located in Hurst, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Nicholas Travascio was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. LPL Financial LLC Broker Misconduct In his career, Nicholas Travascio has been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last two years to recover investment losses. Two of Nicholas Travascio’s 4 customer complaints were settled in favor of investors. One customer complaint was denied by LPL financial, LLC, and the customer has yet to take any further action. There is currently one pending customer complaint filed against Nicholas Travascio’s former employer LPL Financial LLC for investment losses caused by his alleged misconduct. Allegations Against Nicholas Travascio   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Registered representative allegedly recommended an unsuitable REIT investment. Customer allege that the financial advisor made recommendations to purchase alternative investments in the real estate industry. Customer allege that the financial advisor misrepresented a REIT investment. Claimants alleged that their financial professional recommended that they invest in several REIT which were unsuitable and in light of their investment objectives and financial condition. Further, claimants alleged that account was overly concentrated in not appropriately diversify. Nicholas Travascio Red Flags & Your Rights As An Investor Of course, Nicholas Travascio 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 Nicholas Travascio at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Nicholas Travascio has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC about Nicholas Travascio 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 LPL Financial LLC If you have questions about LPL Financial LLC and/or Nicholas Travascio 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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Robert Turley of Independent Financial Group, LLC

DID ROBERT WESLEY TURLEY CAUSE YOU INVESTMENT LOSSES? Robert Wesley Turley with Independent Financial Group, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Robert Wesley Turley with Independent Financial Group, LLC? Robert Turley (CRD #1519293) who is currently registered with Independent Financial Group, LLC and located in New Port Richey, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Independent Financial Group, LLC, Robert Turley was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Independent Financial Group, LLC Broker Misconduct In his career, Robert Turley has been the subject of 2 customer complaints that we know about, 1 of those complaints were filed in the last year to recover investment losses. One of his complaints was denied by his current employer and, to date, the customer is not taking any further action. There is currently 1 pending customer complaint filed against Robert Turley’s current employer Independent Financial Group, LLC for investment losses caused by his alleged misconduct. Allegations Against Robert Turley   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleges that the registered representative misrepresented the premiums charged for a rider purchased on insurance coverage. Claimant’s alleged that financial advisor recommended high risk and unsuitable REIT investments. Robert Turley Red Flags & Your Rights As An Investor Of course, Robert Turley 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 Turley at Independent Financial Group, LLC on alert to review carefully the activity and performance of their accounts and question whether Robert Turley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Independent Financial Group, 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 Independent Financial Group, LLC If you have questions about Independent Financial Group, LLC and/or Robert Turley 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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