Jan 20, 2022

Herman Kahn of Kestra Investment Services

DID HERMAN LAIBE KAHN CAUSE YOU INVESTMENT LOSSES? Herman Kahn Formerly With Kestra Investment Services, Kestra Advisory Services Has 6 Customer Complaints For Alleged Broker Misconduct Who is Herman Kahn of Kestra Investment Services? Herman Kahn (CRD #1866522) who is currently registered with Kestra Investment Services and located in Pittsburgh, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kestra Investment Services, Herman Kahn was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Herman Kahn Customer Complaints Herman Kahn has been the subject of 6 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of Herman Kahn’s 6 customer complaints were settled in favor of investors. One of Herman Kahn’s customers complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against Kestra Advisory Services and Kestra Investment Services for investment losses caused by Herman Kahn’s alleged misconduct. Allegations Against Herman Kahn A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claim alleges misrepresentation and other causes of action in connection with the sale of a real estate mezzanine financing investment made by Herman Kahn. Claim involving the appropriateness of an oil and gas investment allegedly made by Herman Kahn. Claimant alleges breach of fiduciary duty and unsuitable investment concentration of Atlas Growth Partners committed by Herman Kahn. Herman Kahn Red Flags & Your Rights As An Investor Of course, Herman Kahn 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 Herman Kahn at Kestra Investment Services and Kestra Advisory Services on alert to review carefully the activity and performance of their accounts and question whether Herman Kahn has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kestra Investment Services and Kestra Advisory 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 Kestra Investment Services and Kestra Advisory Services Due To Herman Kahn If you have questions about Kestra Investment Services, Kestra Advisory Services, and/or Herman Kahn 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

Henry Krich of Wells Fargo Clearing Services, LLC

DID HENRY KRICH CAUSE YOU INVESTMENT LOSSES? Henry Krich of Wells Fargo Clearing Services, LLC And Formerly With J.P. Morgan Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Henry Krich of Wells Fargo Clearing Services, LLC? Henry Krich (CRD #4044044) who is currently registered with Wells Fargo Clearing Services, LLC and located in Phoenix, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Henry Krich was associated with J.P. Morgan Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Henry Krich Customer Complaints Henry Krich has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Henry Krich’s customers complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against Wells Fargo Clearing Services, LLC for investment losses caused by Henry Krich’s alleged misconduct. Allegations Against Henry Krich A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleges that Henry Krich failed to follow instructions to implement protection for his account. Client alleges unsuitable investment recommendations regarding a wrap account made by Henry Krich. Henry Krich Red Flags & Your Rights As An Investor Of course, Henry Krich 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 Henry Krich at Wells Fargo Clearing Services, LLC and J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Henry Krich has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC and J.P. Morgan 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 Wells Fargo Clearing Services, LLC Due To Henry Krich If you have questions about Wells Fargo Clearing Services, LLC, J.P. Morgan Securities, and/or Henry Krich 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

Holly Mantei of State Farm VP Management Corp.

DID HOLLY ANN MANTEI CAUSE YOU INVESTMENT LOSSES? Holly Mantei of State Farm VP Management Corp. And Formerly With Centaurus Financial and J.P. Turner Company Has One Customer Complaint For Alleged Broker Misconduct Who is Holly Mantei of State Farm VP Management Corp.? Holly Mantei (CRD #3042676) who is currently registered with State Farm VP Management Corp. and located in Portage, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to State Farm VP Management Corp., Holly Mantei was associated with Centaurus Financial, J.P. Turner Company and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Holly Mantei Customer Complaint Holly Mantei 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 alleges that the Registered Representative invested in unsuitable, complex, high-risk, speculative and illiquid investments and breached her fiduciary duty. Holly Mantei’s customer complaint was settled in favor of the investors. Holly Mantei Red Flags & Your Rights As An Investor Of course, Holly Mantei 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 Holly Mantei at State Farm VP Management Corp., Centaurus Financial, and J.P. Turner Company on alert to review carefully the activity and performance of their accounts and question whether Holly Mantei has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at State Farm VP Management Corp., Centaurus Financial, and J.P. Turner Company 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 State Farm VP Management Corp. Due To Holly Mantei If you have questions about State Farm VP Management Corp., Centaurus Financial, J.P. Turner Company, and/or Holly Mantei 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

Jacob Mohr of Merrill Lynch, Pierce, Fenner & Smith Inc.

DID JACOB WAYNE MOHR CAUSE YOU INVESTMENT LOSSES? Jacob Mohr of Merrill Lynch, Pierce, Fenner & Smith Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Jacob Mohr of Merrill Lynch, Pierce Fenner & Smith, Inc.? Jacob Mohr (CRD #3102736) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and located in Henderson, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Jacob Mohr Customer Complaint Jacob Mohr 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 customer alleges unsuitable investment recommendations, churning, misrepresentations and failure to follow instructions. The customer complaint filed against Jacob Mohr’s current employer Merrill Lynch, Pierce, Fenner & Smith Inc. for investment losses caused by the alleged misconduct was denied and the customers did not take any further action. Jacob Mohr Red Flags & Your Rights As An Investor Of course, Jacob Mohr 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 Jacob Mohr at Merrill Lynch, Pierce, Fenner & Smith Inc. on alert to review carefully the activity and performance of their accounts and question whether Jacob Mohr has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Inc. 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 Merrill Lynch, Pierce, Fenner & Smith Inc. Due To Jacob Mohr If you have questions about Merrill Lynch, Pierce, Fenner & Smith Inc. and/or Jacob Mohr 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 Parrelly of Investment Planners, Inc.

DID JAMES ANTHONY PARRELLY CAUSE YOU INVESTMENT LOSSES? James Parrelly Formerly With Investment Planners, Inc. And First Midwest Securities Has 8 Customer Complaints For Alleged Broker Misconduct Who is James Parrelly formerly with Investment Planners, Inc.? James Parrelly (CRD #728368) who was formerly registered with Investment Planners, Inc. and First Midwest Securities and located in Dearborn, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to Investment Planners, Inc., James Parrelly was associated with First Midwest Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Parrelly has had his share regulatory problems. He was suspended and fined twice by FINRA. The first time he was suspended for mutual fund share abuse. Most recently, he was suspended for executing discretionary transactions in a customer’s account without written authorization from the customer or written approval from his member firm. James Parrelly Customer Complaints James Parrelly has been the subject of 8 customer complaints that we know about. One of the customer complaints resulted in a lawsuit and the judgment being entered in favor of the investor. Six of James Parrelly’s 8 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Investment Planners, Inc. for investment losses caused by James Parrelly’s alleged misconduct. Allegations Against James Parrelly 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 unauthorized, unsuitable and discretionary trading, churning and excessive commissions made by James Parrelly. Statement of Claim alleges churning, negligence of duty and unsuitable investments by James Parrelly. Unsuitable, high risk, speculative trading, breach of contract, fraud, promissory estoppel, negligence, malpractice, breach of fiduciary duty, breach of Michigan Securities Law allegedly committed by James Parrelly. James Parrelly Red Flags & Your Rights As An Investor Of course, James Parrelly 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 Parrelly at Investment Planners, Inc. and First Midwest Securities on alert to review carefully the activity and performance of their accounts and question whether James Parrelly has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Investment Planners, Inc. and First Midwest 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 Investment Planners, Inc. Due To James Parrelly If you have questions about Investment Planners, Inc., First Midwest Securities, and/or James Parrelly 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

Indra Ramsahai of Joseph Stone Capital

DID INDRA RAMSAHAI CAUSE YOU INVESTMENT LOSSES? Indra Ramsahai Formerly With Joseph Stone Capital And Principal Securities Has 5 Customer Complaints For Alleged Broker Misconduct Who is Indra Ramsahai formerly with Joseph Stone Capital? Indra Ramsahai (CRD #1705579) who was formerly registered with Joseph Stone Capital and located in Hauppauge, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Joseph Stone Capital, Indra Ramsahai was associated with Principal Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Indra Ramsahai Customer Complaints Indra Ramsahai 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 Indra Ramsahai’s 5 customer complaints were settled in favor of investors. One of Indra Ramsahai’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against Aegis Capital for investment losses caused by Indra Ramsahai’s alleged misconduct. Allegations Against Indra Ramsahai A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Allegations include unauthorized and excessive trading by Indra Ramsahai. Claimant alleged that her portfolio was not properly allocated and diversified which he believed resulted in an unreasonable amount of risk. Claimant also alleged that material facts were misrepresented and/or omitted by Indra Ramsahai. Client alleges unsuitable recommendations and churning by Indra Ramsahai. Poor performance for the lifetime of the account allegedly committed by Indra Ramsahai. Client alleges churning and unauthorized trading by Indra Ramsahai. Indra Ramsahai Red Flags & Your Rights As An Investor Of course, Indra Ramsahai 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 Indra Ramsahai at Joseph Stone Capital and Principal Securities on alert to review carefully the activity and performance of their accounts and question whether Indra Ramsahai has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Joseph Stone Capital and Principal 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 Joseph Stone Capital Due To Indra Ramsahai If you have questions about Joseph Stone Capital, Principal Securities, and/or Indra Ramsahai 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 Shelby of FSC Securities Corporation

DID JAMES ALVIN SHELBY CAUSE YOU INVESTMENT LOSSES? James Shelby of FSC Securities Corporation Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Shelby of FSC Securities Corporation? James Shelby (CRD #1746062) who is currently registered with FSC Securities Corporation and located in Memphis, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. James Shelby Customer Complaints James Shelby has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of James Shelby’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against FSC Securities Corporation for investment losses caused by James Shelby’s alleged misconduct. Allegations Against James Shelby 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 their accounts were over-concentrated in REIT’s and alternative investments by James Shelby. Unsuitable recommendation of variable annuity product allegedly made by James Shelby. James Shelby Red Flags & Your Rights As An Investor Of course, James Shelby 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 Shelby at FSC Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether James Shelby has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at FSC Securities Corporation 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 FSC Securities Corporation Due To James Shelby If you have questions about FSC Securities Corporation and/or James Shelby 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

Harry Barth of Crown Capital Securities L.P.

DID HARRY MICHAEL BARTH CAUSE YOU INVESTMENT LOSSES? Harry Barth of Crown Capital Securities L.P. And Secura Financial Has Two Customer Complaints for Alleged Broker Misconduct Who is Harry Barth of Crown Capital Securities L.P.? Harry Barth (CRD #13891) who is currently registered with Crown Capital Securities L.P., Secura Financial and located in Orange, California is a subject of one of our many securities industry sales practice abuse investigations. Harry Barth Customer Complaints Harry Barth has been the subject of at least 2 customer complaints 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 Claimant alleges claims, including suitability, for investments made in illiquid products. One of the customer complaints was settled in favor of investors. The other customers’ complaint filed against Harry Barth’s current employers Crown Capital Securities L.P., J.W. Cole Financial, and LPL Financial for investment losses caused by the alleged misconduct is pending as of the date of this report. Harry Barth Red Flags & Your Rights as An Investor Of course, Harry Barth 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 Harry Barth at Crown Capital Securities L.P. and Secura Financial on alert to review carefully the activity and performance of their accounts and question whether Harry Barth has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Crown Capital Securities L.P. and Secura Financial 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 Crown Capital Securities L.P. Due To Harry Barth If you have questions about Crown Capital Securities L.P., Secura Financial, and/or Harry Barth 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

Harvey Berk of Kestra Investment Services

DID HARVEY STUART BERK CAUSE YOU INVESTMENT LOSSES? Harvey Berk of Kestra Investment Services, Kestra Advisory Services, and Formerly with LPL Financial Has Two Customer Complaints for Alleged Broker Misconduct Who is Harvey Berk of Kestra Investment Services? Harvey Berk (CRD #705380) who is currently registered with Kestra Advisory Services, Kestra Investment Services, and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kestra Advisory Services, Kestra Investment Services, Harvey Berk was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Harvey Berk Customer Complaints Harvey Berk has been the subject of at least 2 customer complaints that we know about. The allegations made in one of the FINRA reported customer complaints for investment losses were customer complained that her investments did not keep pace with her distributions from her account and alleged that the advisor should have recommended different investments. The other complaint related to the suitability of the investments. Both of Harvey Berk’s customer complaints were settled in favor of the investors. Harvey Berk Red Flags & Your Rights as An Investor Of course, Harvey Berk 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 Harvey Berk at Kestra Advisory Services, Kestra Investment Services, and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Harvey Berk has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kestra Investment Services, Kestra Advisory Services, and LPL Financial 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 Kestra Investment Services and LPL Financial Due to Harvey Berk If you have questions about Kestra Advisory Services, Kestra Investment Services, LPL Financial, and/or Harvey Berk 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

Harry Carroll of MML Investors Services

DID HARRY ALOYSIUS CARROLL CAUSE YOU INVESTMENT LOSSES? Harry Carroll of MML Investors Services and Formerly with MSI Financial Services and NewSquare Capital Has 5 Customer Complaints for Alleged Broker Misconduct Who is Harry Carroll of MML Investors Services? Harry Carroll (CRD #2617434) who is currently registered with MML Investors Services and located in Marlton, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Harry Carroll was associated with MSI Financial Services, NewSquare Capital, and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Harry Carroll Customer Complaints Harry Carroll 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 Harry Carroll’s 5 customer complaints were settled in favor of investors. Two of Harry Carroll’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Harry Carroll A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Civil conspiracy, fraud, suitability, and lack of supervision with a stated account loss of $165,000.00 allegedly committed by Harry Carroll. The customer alleges Harry Carroll violated NASD Rule 2310 by not dealing fairly with a customer. The alleged compensatory damage amount was unspecified. The customer alleged that Harry Carroll did not place trades as requested within the sub-accounts of variable annuities. Customers have alleged disappointment in Harry Carroll’s recommendation to invest in Ridgewood Energy. The complainant alleges that he was sold an unsuitable product by Harry Carroll that was designed to be purchased by accredited investors, which he states he was not. He alleges that erroneous financial information was entered on his investment documents so that it appeared that the investment was suitable for him when it was not. Harry Carroll Red Flags & Your Rights as An Investor Of course, Harry 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 Harry Carroll at MML Investors Services, MSI Financial Services, and NewSquare Capital on alert to review carefully the activity and performance of their accounts and question whether Harry Carroll has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at MML Investors Services, MSI Financial Services, and NewSquare Capital 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 MSI Financial Services Due to Harry Carroll If you have questions about MML Investors Services, MSI Financial Services, and NewSquare Capital, and/or Harry 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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