Jan 20, 2022

Trevor Gordon of Sandlapper Securities, LLC

DID TREVOR LEE GORDON CAUSE YOU INVESTMENT LOSSES? Trevor Lee Gordon formerly with Sandlapper Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Trevor L. Gordon formerly with Sandlapper Securities, LLC? Trevor Gordon (CRD #2195122) who was formerly registered with Sandlapper Securities, LLC and located in Greenville, South Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Sandlapper Securities, LLC, Trevor Gordon was associated with 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Trevor Gordon’s former employers were not the only ones with regulatory problems. In September 2017, FINRA initiated an investigation and filed a complaint against Trevor Gordon and Sandlapper Securities, LLC alleging that they participated in the fraudulent scheme and defrauded investors by selling investments in saltwater disposal wells at excessive undisclosed markups through a corporation they owned and controlled. The disciplinary proceeding resulted in Trevor Gordon being permanently barred from association with any member firm in any capacity in the future. In addition, was ordered to pay restitution in excess of $3.3 million. The FINRA Panel’s decision is currently on appeal. Sandlapper Securities, LLC Broker Misconduct In his career, Trevor Gordon has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. One of Trevor Gordon’s 2 customer complaints was settled in favor of investors. The other customer complaint filed against Trevor Gordon’s former employer Sandlapper Securities, LLC for investment losses caused by his alleged misconduct is still pending. Allegations Against Trevor Gordon A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The pending arbitration claim is for Trevor Gordon’s alleged unsuitable investment recommendations, intentional and negligent misrepresentations and omissions, breach of fiduciary duty, violations of the California Securities Act, breach of FINRA rules, breach of contract and negligence. The customer alleged unsuitable investment recommendations and unsuitable investment strategy involving direct investments constituted negligence, fraud, breach of fiduciary duty, and financial elder abuse. Trevor Gordon Red Flags & Your Rights As An Investor Of course, Trevor Gordon 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 Trevor Gordon at Sandlapper Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Trevor Gordon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sandlapper Securities, LLC about Trevor Gordon 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 Sandlapper Securities, LLC   If you have questions about Sandlapper Securities, LLC and/or Trevor Gordon 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

David Mirolli of Kalos Capital, Inc.

DID DAVID SCOTT MIROLLI CAUSE YOU INVESTMENT LOSSES? David Scott Mirolli Of Kalos Capital, Inc. And Formerly Triad Advisors, LLC Has 3 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is David S. Mirolli with Kalos Capital, Inc.? David Mirolli (CRD #5116067) who is currently registered with Kalos Capital, Inc. and located in Suwanee, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kalos Capital, Inc., David Mirolli was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kalos Capital, Inc. and Triad Advisors, LLC Broker Misconduct In his career, David Mirolli has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. One of David Mirolli’s 3 customer complaints was settled in favor of investors. There are currently 2 pending customer complaints filed against David Mirolli’s current employer Kalos Capital, Inc. and former employer, Triad Advisors, LLC for investment losses caused by his alleged misconduct. Allegations Against David Mirolli A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged that David Mirolli failed to conduct reasonable due diligence and recommended investment strategy that was speculative and involved unsuitable securities recommendations in GPB Capital Holdings private placements. Multiple customers alleged in a single arbitration complaint that David Mirolli engage in unsuitable investment recommendations and unsuitable strategy of investing in alternative investments sponsored by GPB Capital Holdings, LLC. Claimant alleged failure to conduct reasonable due diligence of an offering by GPB Capital Holdings prior to recommending that the client invest in its sponsored private placement investments. David Mirolli Red Flags & Your Rights As An Investor Of course, David Mirolli 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 David Mirolli at Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Mirolli has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kalos Capital, Inc. and Triad Advisors, LLC also raises questions about their 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, Inc. If you have questions about Kalos Capital, Inc. and/or David Mirolli 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

Aleksandr Osaulenko of First Standard Financial Company LLC

DID ALEKSANDR OSAULENKO CAUSE YOU INVESTMENT LOSSES? Aleksandr Osaulenko Formerly With First Standard Financial Company LLC And Alexander Capital, LP Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Aleksandr Osaulenko formerly with First Standard Financial Company LLC? Aleksandr Osaulenko (CRD #5992623) who was formerly registered with First Standard Financial Company LLC and located in Staten Island, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Standard Financial Company LLC, Aleksandr Osaulenko was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. First Standard Financial Company LLC and Alexander Capital, LP Broker Misconduct In his career, Aleksandr Osaulenko has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. Both of the customer complaints filed against Aleksandr Osaulenko’s former employer First Standard Financial Company LLC and Alexander Capital, LP for investment losses caused by his alleged misconduct are still pending. Allegations Against Aleksandr Osaulenko A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged that Aleksandr Osaulenko made unsuitable investment recommendations, over-concentrated his account in certain common stock investments, and engaged in churning of the investments in his account. Customer alleged that Aleksandr Osaulenko engaged in unauthorized trading and excessive trading which was unsuitable for the investor. Aleksandr Osaulenko Red Flags & Your Rights As An Investor Of course, Aleksandr Osaulenko 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 Aleksandr Osaulenko at First Standard Financial Company LLC on alert to review carefully the activity and performance of their accounts and question whether Aleksandr Osaulenko has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Standard Financial Company LLC and Alexander Capital, LP also raises questions about their 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 First Standard Financial Company LLC And Alexander Capital, LP If you have questions about First Standard Financial Company LLC and/or Aleksandr Osaulenko 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 Vanlohuizen of Sagepoint Financial, Inc.

DID TIMOTHY JAN VANLOHUIZEN CAUSE YOU INVESTMENT LOSSES? Timothy Jan Vanlohuizen with Sagepoint Financial, Inc. Has 9 Customer Complaints For Alleged Broker Misconduct Who is Timothy J. Vanlohuizen with Sagepoint Financial, Inc.? Timothy Vanlohuizen (CRD #2166867) who is currently registered with Sagepoint Financial, Inc. and located in Coeur d’Alene, Idaho is a subject of one of our many securities industry sales practice abuse investigations. Prior to Sagepoint Financial, Inc., Timothy Vanlohuizen was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sagepoint Financial, Inc. Broker Misconduct In his career, Timothy Vanlohuizen has been the subject of 9 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. One of those customer complaints was resolved in an arbitration and an award was entered in favor of the investor. Four of Timothy Vanlohuizen’s 9 customer complaints were settled in favor of investors. 1 customer complaint was denied by his current employer and the customer has yet to take any further action. There are currently 3 pending customer complaints filed against Timothy Vanlohuizen’s current employer Sagepoint Financial, Inc. for investment losses caused by his alleged misconduct. Allegations Against Timothy Vanlohuizen A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleges that Timothy Vanlohuizen made unsuitable and overly aggressive investment recommendations. Customer alleged that Timothy Vanlohuizen made misrepresentations and breached his fiduciary duty connection with the sale of precious metal and oil and gas investments. Timothy Vanlohuizen allegedly made unsuitable oil and gas investment recommendations. Customer alleged that Timothy Vanlohuizen poorly managed her retirement account. Claimant alleged that Timothy Vanlohuizen made unsuitable investment recommendations to invest in high yield bonds in various energy investments. Timothy Vanlohuizen Red Flags & Your Rights As An Investor Of course, Timothy Vanlohuizen 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 Timothy Vanlohuizen at Sagepoint Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Timothy Vanlohuizen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sagepoint Financial, Inc. about Timothy Vanlohuizen 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 Sagepoint Financial, Inc.   If you have questions about Sagepoint Financial, Inc. and/or Timothy Vanlohuizen 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

Mark Thompson of Arkadios Capital

DID MARK ALAN THOMPSON CAUSE YOU INVESTMENT LOSSES? Mark Alan Thompson with Arkadios Capital Has 2 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Mark A. Thompson with Arkadios Capital? Mark Thompson (CRD #4632270) who is currently registered with Arkadios Capitaland located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Arkadios Capital, Mark Thompson was associated with Triad Advisors, Inc. and 5other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Arkadios Capital Broker Misconduct In his career, Mark Thompson 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 customer complaints filed against Mark Thompson’s current employer Arkadios Capital and former employer, Triad Advisors, Inc. for investment losses caused by his alleged misconduct. Allegations Against Mark Thompson A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleged that the financial advisor made unsuitable recommendations to invest in alternative investments. The customer alleged that the financial advisor misrepresented a private placement investment. Mark Thompson Red Flags & Your Rights as An Investor Of course, Mark Thompson 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 Mark Thompson at Arkadios Capital and Triad Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Thompson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arkadios Capital and Triad Advisors, 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 Arkadios Capital And Triad Advisors, Inc. If you have questions about Arkadios Capital, Triad Advisors, Inc., and/or Mark Thompson 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

Miaojun Yuan of Woodbury Financial Services, Inc.

DID MIAOJUN YUAN CAUSE YOU INVESTMENT LOSSES? Miaojun Yuan with Woodbury Financial Services, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Miaojun Yuan with Woodbury Financial Services, Inc.? Miaojun Yuan (CRD #4014807) who is currently registered with Woodbury Financial Services, Inc. and located in City of Industry, California is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Woodbury Financial Services, Inc., Miaojun Yuan was associated with Questar Capital Corporation and 3other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.  Woodbury Financial Services, Inc. Broker Misconduct In his career, Miaojun Yuan 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 customer complaints filed against Miaojun Yuan’s former employer Questar Capital Corporation for investment losses caused by his alleged misconduct. Allegations Against Miaojun Yuan A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Thec ustomer alleged unsuitable investment recommendations and misrepresentations in connection with the offer and sale of real estate securities and an Universal Life insurance product. Miaojun Yuan Red Flags & Your Rights as An Investor Of course, Miaojun Yuan 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 Miaojun Yuan at Woodbury Financial Services, Inc. and Questar Capital Corporation on alert to review carefully the activity and performance of their accounts and question whether Miaojun Yuan has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Questar Capital Corporation about Miaojun Yuan 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 Woodbury Financial Services, Inc. And Questar Capital Corporation If you have questions about Woodbury Financial Services, Inc., Questar Capital Corporation and/or Miaojun Yuan 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

Jeffrey Christenson of Cetera Advisors, LLC

DID JEFFREY TODD CHRISTENSON CAUSE YOU INVESTMENT LOSSES? Jeffrey Todd Christenson formerly with Cetera Advisors, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Jeffrey T. Christenson formerly with Cetera Advisors, LLC? Jeffrey Christenson (CRD #2458589) who was formerly registered with Cetera Advisors, LLC and located in Phoenix, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors, LLC, Jeffrey Christenson has associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jeffrey Christianson also file for bankruptcy and was discharged in September 2018. It is unclear whether the IRS tax lien of $187,875 on Jeffrey Christianson has been satisfied. Cetera Advisors, LLC Broker Misconduct In his career, Jeffrey Christenson 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 Jeffrey Christenson’s customer complaints was by his employer and to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Jeffrey Christenson’s former employer Cetera Advisors, LLC for investment losses caused by his alleged misconduct. Allegations Against Jeffrey Christenson   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer complained that Jeffrey Christianson failed to follow his instructions and liquidated investment in his account. Claimants alleged violations of the Arizona Securities Act, fraud, breach of contract, breach of the covenant of good faith and fair dealings, breach of fiduciary duty, professional negligence, innocent misrepresentation/constructive fraud relating to, a promissory note, investment. Jeffrey Christenson Red Flags & Your Rights as An Investor Of course, Jeffrey Christenson 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 Jeffrey Christenson at Cetera Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Christensonhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors, LLC about Jeffrey Christiansonalso 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 Cetera Advisors LLC If you have questions about Cetera Advisors LLC and/or Jeffrey Christenson 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

Inigo Domenech of Jefferies LLC

DID INIGO DOMENECH CAUSE YOU INVESTMENT LOSSES? Inigo Domenech Of Jefferies LLC Formerly with Morgan Stanley And Credit Suisse Has 3 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Inigo Domenech with Jefferies LLC? Inigo Domenech (CRD #4459412) who is currently registered with Jefferies LLC and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Jefferies LLC, Inigo Domenech was associated with Morgan Stanley, Credit Suisse Securities (USA) LLC, and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley and Credit Suisse Broker Misconduct In his career, Inigo Domenech has been the subject of 3 customer complaints that we know about, one of those complaints were filed in the last two years to recover investment losses. Two of Inigo Domenech’s 3 customer complaints were settled in favor of investors for $15 million and $650,000.  There is currently one pending customer complaint filed against Inigo Domenech’s current employer Jefferies LLC for investment losses caused by his alleged misconduct. Allegations Against Inigo Domenech A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant made allegations against Morgan Stanley for Inigo Domenech’s alleged misappropriation and fraud regarding investments made without the firm’s authorization, excessive fees and/or commissions with regard to certain foreign-exchange currency trades, and unsuitable recommendations with respect to investments made in the account.  Morgan Stanley settled this dispute in June 2020 and paid the investor $15 million. A customer alleged that Inigo Domenech made unsuitable recommendations and misrepresentations in connection with purchasers of structured notes in a corporate account at Credit Suisse.  Further, the customer alleged unauthorized transactions.  The dispute was settled for $650,000. The claimant alleged that Inigo Domenech engaged in unsuitable and excessive trading in securities, foreign-exchange investments, options, and complex products in his Credit Suisse accounts.  The former customer further alleged that the financial advisor made misrepresentations and omissions in connection with the risk, activity, and losses in his account. Inigo Domenech Red Flags & Your Rights as An Investor Of course, Inigo Domenech 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 Inigo Domenechat Jefferies LLC, Morgan Stanley, and Credit Suisse on alert to review carefully the activity and performance of their accounts and question whether Inigo Domenechhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and Credit Suisse 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 Jefferies LLC, Morgan Stanley, And Credit Suisse Securities (USA) LLC If you have questions about Jefferies LLC, Morgan Stanley and/or Inigo Domenechand 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

Kevin Dooley of Equitable Advisors, LLC

DID KEVIN THOMAS DOOLEY CAUSE YOU INVESTMENT LOSSES? Kevin Thomas Dooley With Equitable Advisors, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Kevin T. Dooley with Equitable Advisors, LLC? Kevin Dooley (CRD #2513153) who is currently registered with Equitable Advisors, LLC and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Equitable Advisors, LLC, Kevin Dooley was associated with another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Equitable Advisors, LLC Broker Misconduct In his career, Kevin Dooley 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. One of Kevin Dooley’s 2 customer complaints was denied by his employer, and to date, the customer is not taken any further action. There is currently one pending customer complaint filed against Kevin Dooley’s current employer Equitable Advisors, LLC for investment losses caused by his alleged misconduct. Allegations Against Kevin Dooley   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleged that securities recommended to be purchased by Kevin Dooley in his accounts were illiquid and unsuitable investments. Claimant alleged that Kevin Dooley made unsuitable recommendations to purchase REITs, open an equity managed account, and purchase a variable annuity and that he did not adequately disclose the risks of investing in those products. Kevin Dooley Red Flags & Your Rights as An Investor Of course, Kevin Dooley 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 Kevin Dooley at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Kevin Dooleyhas engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Equitable Advisors, LLC about Kevin Dooley 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 Equitable Advisors, LLC If you have questions about Equitable Advisors, LLC and/or Kevin Dooley 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 Kirchner of Cabot Lodge Securities, LLC

DID JAMES R. KIRCHNER CAUSE YOU INVESTMENT LOSSES? James R. Kirchner Formerly with Cabot Lodge Securities, LLC And David A. Noyes & Co. Has 8 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is James R. Kirchner formerly with Cabot Lodge Securities LLC and David A. Noyes & Co.? James Kirchner (CRD #2852217) was formerly registered with Cabot Lodge Securities, LLC and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Cabot Lodge Securities, LLC, James Kirchner was associated with IFS Securities and David A. Noyes & Company and 2other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David A. Noyes & Company Broker Misconduct In his career, James Kirchner has been the subject of 10 customer complaints that we know about, 8 of those complaints were filed in the last two years against Jane Kirchner’s former employer, David A. Noyes to recover investment losses. One of the customer complaints proceeds to arbitration resulted in an Award in favor of the customer.  Five of James Kirchner’s 10 customer complaints were settled in favor of investors. There are currently three pending customer complaints filed against James Kirchner’s former employer David A. Noyes for investment losses caused by his alleged misconduct. Allegations Against James Kirchner   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged that alternative investments recommended by James Kirchner were unsuitable investment recommendations. Customers alleged that James Kirchner’s recommendation that they invest in private placements were unsuitable investment recommendations. The claimant alleged that James Kirchner did not explain the nature, mechanics, or risks of a margin account and, consequently, the unexpected losses he suffered upon forced liquidations due to margin calls. Claimants in 3 separate arbitrations alleged that alternative investment recommendations made by James Kirchner or unsuitable investment recommendations. James Kirchner Red Flags & Your Rights as An Investor Of course, James Kirchner 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 Kirchnerat Cabot Lodge Securities, LLC, IFS Securities, and David A. Noyes & Company on alert to review carefully the activity and performance of their accounts and question whether James Kirchnerhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at David A. Noyes & Company about James Kirchner 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 Cabot Lodge Securities LLC, IFS Securities, And David A.  Noyes & Co. If you have questions about Cabot Lodge Securities, LLC, IFS Securities, David A. Noyes & Company and/or James Kirchnerand 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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