Jan 20, 2022

Giustino Destefano of Securities America, Inc.

DID GIUSTINO DESTEFANO CAUSE YOU INVESTMENT LOSSES? Giustino Destefano Formerly With Securities America, Inc. Has 8 Customer Complaints For Alleged Broker Misconduct Who is Giustino Destefano formerly with Securities America, Inc.? Giustino Destefano (CRD #4926924) who was formerly registered with Securities America, Inc. and located in Williamsville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securities America, Inc., Giustino Destefano was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Giustino Destefano has had his own regulatory problems. In March 2016, he was suspended for 3 months and fined $10,000 by FINRA for the allegedly exercising discretion in customer accounts and executing trades without written authorization.  Giustino Destefano Customer Complaints Giustino Destefano has been the subject of 8 customer complaints that we know about. Five of Giustino Destefano’s 8 customer complaints were settled in favor of investors. All of the customers’ complaints except two were settled in favor of the investors. Allegations Against Giustino Destefano 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 Giustino Destefano invested Claimant’s funds in unsuitable and aggressive investments. Allegations include common law fraud, breach of contract, breach of fiduciary duty, violation of California Securities Act and elder abuse. Claimants allege Giustino Destefano engaged in discretionary trading and overconcentrated claimants’ accounts in unsuitable stocks. Additional allegations are negligence and breach of fiduciary duty. Claimants allege that Giustino Destefano implemented a speculative investment strategy in Claimant’s accounts that was not appropriate given their risk tolerance. Allegations include misrepresentations, unsuitability, unauthorized trading, overconcentration, fraud and violations of federal securities laws and FINRA rules. Client alleges Giustino Destefano effected unauthorized and unsuitable transactions. Customer alleges a substantial market loss of 50% by Giustino Destefano. Power of attorney for customer alleges excessive trading by Giustino Destefano. Power of attorney for customer alleges unsuitable investment recommendations by Giustino Destefano. The customer alleges unsuitable investment recommendations, misrepresentation, excessive trading and unauthorized trading by Giustino Destefano. Giustino Destefano Red Flags & Your Rights As An Investor Of course, Giustino Destefano 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 Giustino Destefano at Securities America, Inc. on alert to review carefully the activity and performance of their accounts and question whether Giustino Destefano has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America, Inc. 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 Securities America, Inc. Due To Giustino Destefano If you have questions about Securities America, Inc. and/or Giustino Destefano 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

Gary Ginsberg of Ameriprise Financial Services, LLC

DID GARY DAVID GINSBERG CAUSE YOU INVESTMENT LOSSES? Gary Ginsberg of Ameriprise Financial Services, LLC And Formerly With Royal Alliance Associates Has 4 Customer Complaints For Alleged Broker Misconduct Who is Gary Ginsberg of Ameriprise Financial Services, LLC? Gary Ginsberg (CRD #1175258) who is currently registered with Ameriprise Financial Services, LLC and located in West Orange, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, LLC, Gary Ginsberg was associated with Royal Alliance Associates and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gary Ginsberg Customer Complaints Gary Ginsberg has been the subject of 4 customer complaints that we know about, two of those complaints were filed in the last year to recover investment losses. Two of Gary Ginsberg’s 4 customer complaints were settled in favor of investors. One of Gary Ginsberg’s customers’ complaints was denied and the customer did not take any further action. There is currently one pending customer complaint filed against Royal Alliance Associates for investment losses caused by Gary Ginsberg’s alleged misconduct.  Allegations Against Gary Ginsberg 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 Royal Alliance’s due diligent review of an alternative investment by Gary Ginsberg was unreasonable. Client alleges that the purchase of a non-traded REIT by Gary Ginsberg was unsuitable. Customer alleges that he requested that a beneficiary IRA account be opened in connection with the purchase of a variable annuity, but that a traditional IRA was opened instead by Gary Ginsberg and that this allegedly caused an increased tax liability. It is alleged that Gary Ginsberg “exposed claimant’s principal to unwanted and unreasonable risk.” Gary Ginsberg Red Flags & Your Rights As An Investor Of course, Gary Ginsberg 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 Gary Ginsberg at Ameriprise Financial Services, LLC and Royal Alliance Associates on alert to review carefully the activity and performance of their accounts and question whether Gary Ginsberg has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC and 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 Ameriprise Financial Services, LLC Due To Gary Ginsberg If you have questions about Ameriprise Financial Services, LLC, Royal Alliance Associates, and/or Gary Ginsberg 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

Gary Goldberg of Centaurus Financial, Inc.

DID GARY GOLDBERG CAUSE YOU INVESTMENT LOSSES? Gary Goldberg of Centaurus Financial, Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Gary Goldberg of Centaurus Financial, Inc.? Gary Goldberg (CRD #2037748) who is currently registered with Centaurus Financial, Inc. and located in O’Fallon, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Gary Goldberg Customer Complaint Gary Goldberg 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 that the customers allege that Gary Goldberg recommended and concentrated the claimant’s account in unsuitable investments. The customer complaint filed against Gary Goldberg’s current employer Centaurus Financial, Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Gary Goldberg Red Flags & Your Rights As An Investor Of course, Gary Goldberg 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 Gary Goldberg at Centaurus Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Gary Goldberg has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Centaurus Financial, 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 Centaurus Financial, Inc. Due To Gary Goldberg If you have questions about Centaurus Financial, Inc., and/or Gary Goldberg 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

George Ly of LPL Financial LLC

DID GEORGE LY CAUSE YOU INVESTMENT LOSSES? George Ly of LPL Financial LLC And Formerly With Cetera Investment Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is George Ly of LPL Financial LLC? George Ly (CRD #4630985) who is currently registered with LPL Financial LLC and located in La Mirada, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, George Ly was associated with Cetera Investment Advisers, Cetera Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. George Ly Customer Complaints George Ly has been the subject of at least 3 customer complaints that we know about. The allegations made in the FINRA reported customer complaints for investment losses were for George Ly’s alleged misrepresentations and unsuitable investment recommendations. The customer complaint filed against George Ly’s former employer Cetera Investment Services for investment losses caused by the alleged misconduct is still pending as of the date of this report. George Ly Red Flags & Your Rights As An Investor Of course, George Ly 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 George Ly at LPL Financial LLC, Cetera Investment Advisers and Cetera Investment Services on alert to review carefully the activity and performance of their accounts and question whether George Ly has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC, Cetera Investment Advisers and Cetera 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 LPL Financial LLC Due To George Ly If you have questions about LPL Financial LLC, Cetera Investment Advisers, Cetera Investment Services, and/or George Ly 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

Francis Aurino of Morgan Stanley

DID FRANCIS JAMES AURINO CAUSE YOU INVESTMENT LOSSES? Francis Aurino of Morgan Stanley Has 4 Customer Complaints for Alleged Broker Misconduct Who is Francis Aurino of Morgan Stanley? Francis Aurino (CRD #1754375) who is currently registered with Morgan Stanley and located in Beverly Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Francis Aurino Customer Complaints Francis Aurino has been the subject of 4 customer complaints that we know about. There is currently one pending customer complaint filed against Morgan Stanley for investment losses caused by Francis Aurino’s alleged misconduct. Three of Francis Aurino’s customer’s complaints were denied and the customers did not take any further action. Allegations Against Francis Aurino 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, inter alia, that Francis Aurino misrepresented securities that were not suitable for her investment portfolio. Claimants allege, inter alia, unsuitability with respect to investments by Francis Aurino. The client alleged bonds were unsuitable and misrepresented by Francis Aurino. Damages unspecified. The client alleged that Francis Aurino promised to take action in the account to minimize losses during a lengthy market downturn but did not do so. Francis Aurino Red Flags & Your Rights as An Investor Of course, Francis Aurino 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 Francis Aurino at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Francis Aurino 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 Francis Aurino If you have questions about Morgan Stanley and/or Francis Aurino 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

Frederick Baerenz of Kalos Capital

DID FREDERICK PETER BAERENZ CAUSE YOU INVESTMENT LOSSES? Frederick Baerenz Formerly with Kalos Capital Has 2 Customer Complaints for Alleged Broker Misconduct Who is Frederick Baerenz Formerly with Kalos Capital? Frederick Baerenz (CRD #2388453) who was formerly registered with Kalos Capitaland located in Great Falls, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kalos Capital, Frederick Baerenz was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Frederick Baerenz Customer Complaints Frederick Baerenz has been the subject of 2 customer complaints that we know about. One arbitration award was entered against Kalos Capital and Pacific West Securities for $331,000 Frederick Baerenz’s alleged misconduct causing investors losses. There is currently one pending customer complaint filed against Kalos Capital for investment losses caused by Frederick Baerenz’s alleged misconduct. Allegations Against Frederick Baerenz A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investments allegedly by Frederick Baerenz. Unsuitable trading and negligence allegedly by Frederick Baerenz. Frederick Baerenz Red Flags & Your Rights as An Investor Of course, Frederick Baerenz 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 Frederick Baerenz at Kalos Capital on alert to review carefully the activity and performance of their accounts and question whether Frederick Baerenz has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Kalos 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 Kalos Capital Due to Frederick Baerenz If you have questions about Kalos Capital and/or Frederick Baerenz 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

Ernest Bush of Liberty Partners Financial Services

DID ERNEST MICHAEL BUSH CAUSE YOU INVESTMENT LOSSES? Ernest Bush Formerly with Liberty Partners Financial Services Has 3 Customer Complaints for Alleged Broker Misconduct Who is Ernest Bush formerly with Liberty Partners Financial Services? Ernest Bush (CRD #1580389) who was formerly registered with Liberty Partners Financial Services and located in Mt. Pleasant, South Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Liberty Partners Financial Services, Ernest Bush was associated with 13 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ernest Bush Customer Complaints Ernest Bush has been the subject of 3 customer complaints that we know about. One of Ernest Bush’s 3 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Liberty Partners Financial Services for investment losses caused by Ernest Bush’s alleged misconduct. Allegations Against Ernest Bush 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 bought stock allegedly on the recommendation of Ernst Bush and it lost value. The customer is requesting payment of lost funds. The customer purchased FIP (an unauthorized product) allegedly through Ernst Bush. The company went default and the customer is seeking restitution. Wanted to be reimbursed for losses associated with day trading allegedly against Ernst Bush. Ernest Bush Red Flags & Your Rights as An Investor Of course, Ernest Bush 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 Ernest Bush at Liberty Partners Financial Services on alert to review carefully the activity and performance of their accounts and question whether Ernest Bush has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Liberty Partners 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 Liberty Partners Financial Services Due to Ernest Bush If you have questions about Liberty Partners Financial Services and/or Ernest Bush 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 Coussens of Ameriprise Financial Services

DID FRANK JOSEPH COUSSENS CAUSE YOU INVESTMENT LOSSES? Frank Coussens of Ameriprise Financial Services and Formerly with Merrill Lynch Pierce Fenner Smith Has 3 Customer Complaints for Alleged Broker Misconduct Who is Frank Coussens of Ameriprise Financial Services? Frank Coussens (CRD #730556) who is currently registered with Ameriprise Financial Services and located in Coral Gables, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, Frank Coussens was associated with Merrill Lynch Pierce Fenner Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Frank Coussens Customer Complaints Frank Coussens 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. Two of Frank Coussens’ 3 customer complaints were settled in favor of investors. One of Frank Coussens’ customer complaints was denied and the customers did not take any further action. Allegations Against Frank Coussens A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: An authorized third party alleged the shares of All American Pipeline Limited Partnership purchased in his mother’s brokerage trust account were unsuitable. He also alleged Frank Coussens did not recommend or act to liquidate the position when the price was declining. The customer alleges unsuitable investment recommendations and misrepresentation by Frank Coussens. Frank Coussens Red Flags & Your Rights as An Investor Of course, Frank Coussens 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 Frank Coussens at Ameriprise Financial Services and Merrill Lynch Pierce Fenner Smith on alert to review carefully the activity and performance of their accounts and question whether Frank Coussens has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Ameriprise Financial Services and Merrill Lynch Pierce Fenner Smith 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 Ameriprise Financial Services Due to Frank Coussens If you have questions about Ameriprise Financial Services, Merrill Lynch Pierce Fenner Smith, and/or Frank Coussens 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

Eugene Faierman of Ameriprise Financial Services

DID EUGENE DONALD FAIERMAN CAUSE YOU INVESTMENT LOSSES? Eugene Faierman Formerly with Ameriprise Financial Services Has 5 Customer Complaints for Alleged Broker Misconduct Who is Eugene Faierman formerly with Ameriprise Financial Services? Eugene Faierman (CRD #203944) who was formerly registered with Ameriprise Financial Services and located in Woodland Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Eugene Faierman Customer Complaints Eugene Faierman has been the subject of 5 customer complaints that we know about. Three of the customer complaints settled favorably for the investors.  There is currently one pending customer complaint filed against Ameriprise Financial Services for investment losses caused by Eugene Faierman’s alleged misconduct. One of Eugene Faierman’s customer’s complaints was denied and the customers did not take any further action. Allegations Against Eugene Faierman 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 they were recommended unsuitable investments and margin and that they were overly concentrated in oil and energy stocks by Eugene Faierman. The client alleged he received poor recommendations regarding equity securities by Eugene Faierman. Eugene Faierman Red Flags & Your Rights as An Investor Of course, Eugene Faierman 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 Eugene Faierman at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Eugene Faierman has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Ameriprise 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 Ameriprise Financial Services Due to Eugene Faierman If you have questions about Ameriprise Financial Services, and/or Eugene Faierman 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

Felipe Gomez of J.P. Morgan Securities

DID FELIPE ROMAN GOMEZ CAUSE YOU INVESTMENT LOSSES? Felipe Gomez of J.P. Morgan Securities Has A Customer Complaint for Alleged Broker Misconduct Who is Felipe Gomez of J.P. Morgan Securities? Felipe Gomez (CRD #5821491) who is currently registered with J.P. Morgan Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Felipe Gomez Customer Complaint Felipe Gomez 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 client claims the Registered Representative made an unsuitable investment recommendation. The customer complaint filed against Felipe Gomez’s current employer J.P. Morgan Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Felipe Gomez Red Flags & Your Rights as An Investor Of course, Felipe Gomez 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 Felipe Gomez at J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Felipe Gomez has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at J.P. Morgan Securities 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 J.P. Morgan Securities Due to Felipe Gomez If you have questions about J.P. Morgan Securities and/or Felipe Gomez 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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