Ante Feric of J.P. Morgan Securities LLC

DID ANTE FERIC CAUSE YOU INVESTMENT LOSSES? Ante Feric Of J.P. Morgan Securities LLC And Formerly With Merrill Lynch, Pierce, Fenner & Smith Has One Customer Complaint For Alleged Broker Misconduct Who is Ante Feric of J.P. Morgan Securities LLC? Ante Feric (CRD #1387852) who is currently registered with J.P. Morgan Securities LLC and located in Santa Paula, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to J.P. Morgan Securities LLC, Ante Feric 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. Ante Feric Customer Complaint Ante Feric 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 misrepresentation regarding mutual fund investment. Ante Feric’s customer complaint was settled in favor of investors. Ante Feric Red Flags & Your Rights As An Investor Of course, Ante Feric 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 Ante Feric at J.P. Morgan Securities LLC and Merrill Lynch, Pierce, Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Ante Feric has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities LLC and Merrill Lynch, Pierce, Fenner & Smith 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 LLC Due To Ante Feric If you have questions about J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith, and/or Ante Feric 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 Finnegan of American Portfolios Financial Services, Inc.

DID THOMAS JAMES FINNEGAN CAUSE YOU INVESTMENT LOSSES? Thomas Finnegan of American Portfolios Financial Services, Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Thomas Finnegan of American Portfolios Financial Services, Inc.? Thomas Finnegan (CRD #1004425) who is currently registered with American Portfolios Financial Services, Inc. and American Portfolios Advisors and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Thomas Finnegan Customer Complaint Thomas Finnegan 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 claimant alleges breach of fiduciary duty and negligent supervision. The customer complaint filed against Thomas Finnegan’s current employer American Portfolios Financial Services, Inc. and American Portfolios Advisors for investment losses caused by the alleged misconduct is pending as of the date of this report. Thomas Finnegan Red Flags & Your Rights As An Investor Of course, Thomas Finnegan 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 Finnegan at American Portfolios Financial Services, Inc. and American Portfolios Advisors on alert to review carefully the activity and performance of their accounts and question whether Thomas Finnegan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Portfolios Financial Services, Inc. and American Portfolios Advisors 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 American Portfolios Financial Services, Inc. Due To Thomas Finnegan If you have questions about American Portfolios Financial Services, Inc., American Portfolios Advisors, and/or Thomas Finnegan 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 Fisk of Odeon Capital Group LLC

DID ROBERT ALBERT FISK CAUSE YOU INVESTMENT LOSSES? Robert Fisk of Odeon Capital Group LLC And Formerly With Merriman Capital Has 3 Customer Complaints For Alleged Broker Misconduct Who is Robert Fisk of Odeon Capital Group LLC? Robert Fisk (CRD #1302491) who is currently registered with Odeon Capital Group LLC and located in Radnor, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Odeon Capital Group LLC, Robert Fisk was associated with Merriman Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Fisk was also the subject of a FINRA f/k/a NASD investigation for alleged violations of NASD Rule 2110. He was later censured and fined by the regulator for his alleged misconduct. Robert Fisk Customer Complaints Robert Fisk has been the subject of 3 customer complaints that we know about. One of Robert Fisk’s 3 customer complaints was settled in favor of investors. One of Robert Fisk’s customer’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against Philadelphia Brokerage for investment losses caused by Robert Fisk’s alleged misconduct. Allegations Against Robert Fisk A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer and Robert Fisk disagreed on the timing of the sale of a block of SMF Energy Stock. Stock was purchased and sold.  Former client of firm alleges misconduct by Robert Fisk. Individual claimed Robert Fisk allegedly was acting as a placement agent for Wireless Ronin Technologies and that the individual purchased a convertible note in the amount of $100,000. The individual claims his note was converted without his consent into common stock as he received a letter from the issuer. The individual also claims he did not receive the converted shares from the issuer in a timely manner causing further harm. Additionally, the individual filed this complaint against Robert Fisk nearly 6 years after he made his investment and after exhausting his attempts for repayment from the issuer. Robert Fisk Red Flags & Your Rights As An Investor Of course, Robert Fisk 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 Fisk at Odeon Capital Group LLC and Merriman Capital on alert to review carefully the activity and performance of their accounts and question whether Robert Fisk has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Odeon Capital Group LLC and Merriman 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 Odeon Capital Group LLC Due To Robert Fisk If you have questions about Odeon Capital Group LLC, Merriman Capital, and/or Robert Fisk 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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Jeffrey Fladell of RBC Capital Markets, LLC

DID JEFFREY ALAN FLADELL CAUSE YOU INVESTMENT LOSSES? Jeffrey Fladell Formerly With RBC Capital Markets, LLC Has 11 Customer Complaints For Alleged Broker Misconduct Who is Jeffrey Fladell formerly with RBC Capital Markets, LLC? Jeffrey Fladell (CRD #209278) who was formerly registered with RBC Capital Markets, LLC and located in Florham Park, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Jeffrey Fladell Customer Complaints Jeffrey Fladell has been the subject of 11 customer complaints that we know about. One of Jeffrey Fladell’s 11 customer complaints resulted in an arbitration award in favor of investors. Ten of Jeffrey Fladell’s 11 other customer complaints were settled in favor of investors. Allegations Against Jeffrey Fladell A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged Jeffrey Fladell’s investments in municipal bonds were unsuitable and over-concentrated and her account was churned. Claimant alleged misrepresentation of investments in municipal bonds by Jeffrey Fladell. Claimant alleged Jeffrey Fladell’s unsuitable investments and over concentration in municipal bonds adverse to his investment objective of principal protection caused substantial losses. Claimants alleged Jeffrey Fladell’s investments in Puerto Rico bonds were unsuitable and misrepresented their risk. Claimants alleged they were over concentrated and invested in unsuitable Puerto Rico bonds by Jeffrey Fladell. Claimants alleged Jeffrey Fladell’s unsuitable investments and over concentration in municipal bonds adverse to their investment objective. Customer alleged a security by Jeffrey Fladell that she purchased which defaulted was too great a percentage of her portfolio. Customer alleged unsuitable recommendations of Puerto Rico bonds by Jeffrey Fladell. Customer alleged unsuitable investments in municipal bonds made by Jeffrey Fladell. Customers alleged that various strategies employed by Jeffrey Fladell were unsuitable. Jeffrey Fladell Red Flags & Your Rights As An Investor Of course, Jeffrey Fladell 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 Jeffrey Fladell at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Fladell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC 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 RBC Capital Markets, LLC Due To Jeffrey Fladell If you have questions about RBC Capital Markets, LLC and/or Jeffrey Fladell 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 Forbes of Morgan Stanley

DID THOMAS HESS FORBES CAUSE YOU INVESTMENT LOSSES? Thomas Forbes of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Thomas Forbes of Morgan Stanley? Thomas Forbes (CRD #818699) who is currently registered with Morgan Stanley and located in Bloomfield Hills, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Thomas Forbes Customer Complaints Thomas Forbes has been the subject of 2 customer complaints that we know about, which was filed in the last year to recover investment losses. One of Thomas Forbes’ 2 customer complaints was settled in favor of investors. One of Thomas Forbes’ customer complaints was denied and the customer did not take any further action. Allegations Against Thomas Forbes A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Trustee verbally alleged Thomas Forbes’ failure to follow instructions with respect to liquidation of shares in trust accounts. Customer alleged that Thomas Forbes transferred an annuity contract to a new contract with an early surrender charge. Thomas Forbes Red Flags & Your Rights As An Investor Of course, Thomas Forbes 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 Forbes at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Thomas Forbes has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley also raises questions about the brokerage firm’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 Morgan Stanley Due To Thomas Forbes If you have questions about Morgan Stanley and/or Thomas Forbes 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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Gerald Bye of MML Investors Services

DID GERALD DANIEL BYE CAUSE YOU INVESTMENT LOSSES? Gerald Bye of MML Investors Services and Formerly with MetLife Securities Has 2 Customer Complaints for Alleged Broker Misconduct Who is Gerald Bye of MML Investors Services? Gerald Bye (CRD #1067750) who is currently registered with MML Investors Services and located in Gurnee, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Gerald Bye was associated with MetLife Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gerald Bye Customer Complaints Gerald Bye has been the subject of 2 customer complaints that we know about. Both of Gerald Bye’s customer’s complaints were denied and the customers did not take any further action. Allegations Against Gerald Bye A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Clients allege that the Variable Universal Life Insurance Policies sold to them by Gerald Bye were not suitable for someone of their age. The customer alleged that Gerald Bye misled him to believe that the issuance of the contract was time sensitive Gerald Bye Red Flags & Your Rights as An Investor Of course, Gerald Bye 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 Gerald Bye at MML Investors Services and MetLife Securities on alert to review carefully the activity and performance of their accounts and question whether Gerald Bye has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at MML Investors Services and MetLife 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 MML Investors Services and MetLife Securities Due to Gerald Bye If you have questions about MML Investors Services, MetLife Securities, and/or Gerald Bye 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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William Byrd of B.B. Graham & Company

DID WILLIAM DEAN BYRD CAUSE YOU INVESTMENT LOSSES? William Byrd of B.B. Graham & Company and Formerly with Capital Financial Services, Invest Financial, and Transamerica Financial Advisors Has 5 Customer Complaints for Alleged Broker Misconduct Who is William Byrd of B.B. Graham & Company? William Byrd (CRD #1334634) who is currently registered with B.B. Graham & Company and located in Tampa, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to B.B. Graham & Company, William Byrd was associated with Capital Financial Services, Invest Financial, Transamerica Financial Advisors, and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Byrd Customer Complaints William Byrd has been the subject of 5 customer complaints that we know about. Four of William Byrd’s 5 customer complaints were settled in favor of investors. One of William Byrd’s customer’s complaints was denied and the customers did not take any further action. Allegations Against William Byrd A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The claimant alleged William Byrd made unsuitable recommendations, misrepresented investments, and breached his fiduciary duty. The claimant alleges William Byrd made unsuitable investments ignoring the claimant’s changing circumstances. The claimant further alleges the representative made material misrepresentations regarding the recommended investments. Claimant alleges that William Byrd sold them unsuitable concentrated mutual fund transactions and products, lacking any reasonable investment strategy, designed solely to maximize commissions. The client submitted a complaint alleging that William Byrd made unsuitable recommendations which resulted in investment losses. The clients have alleged William Byrd made unsuitable recommendations which resulted in investment losses. William Byrd Red Flags & Your Rights as An Investor Of course, William Byrd 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 William Byrd at B.B. Graham & Company, Capital Financial Services, Invest Financial, and Transamerica Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether William Byrd has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at B.B. Graham & Company, Capital Financial Services, Invest Financial, and Transamerica Financial Advisors also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses at B.B. Graham & Company and Capital Financial Services Due to William Byrd If you have questions about B.B. Graham & Company, Capital Financial Services, Invest Financial, Transamerica Financial Advisors, and/or William Byrd 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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John Carroll of Berthel Fisher & Company Financial Services

DID JOHN WILLIAM CARROLL CAUSE YOU INVESTMENT LOSSES? John Carroll Formerly with Berthel Fisher & Company Financial Services Has 4 Customer Complaints for Alleged Broker Misconduct Who is John Carroll formerly with Berthel Fisher & Company Financial Services? John Carroll (CRD #41769) who was formerly registered with Berthel Fisher & Company Financial Services and located in Maumee, Ohio is a subject of one of our many securities industry sales practice abuse investigations. He was discharged a two broker-dealers. John Carroll Customer Complaints John Carroll has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of John Carroll’s 4 customer complaints was settled in favor of investors. There are currently three pending customer complaints filed against Berthel Fisher & Company Financial Services for investment losses caused by John Carroll’s alleged misconduct. Allegations Against John Carroll A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client alleged the investments she purchased were unsuitable and misrepresented to her by John Carroll. The client also alleges the firm failed to supervise the actions of the representative. The client is alleged that John Carroll’s advice and investment decisions have caused him financial distress. He is upset that the representative allocated 90% of his portfolio into one security. The power of attorney on behalf of the client alleges the investments made by John Carroll are unsuitable and is upset that they are illiquid. John Carroll Red Flags & Your Rights as An Investor Of course, John 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 John Carroll at Berthel Fisher & Company Financial Services on alert to review carefully the activity and performance of their accounts and question whether John Carroll has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Berthel Fisher & Company 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 Berthel Fisher & Company Financial Services Due to John Carroll If you have questions about Berthel Fisher & Company Financial Services, and/or John 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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Mark Carroll of Morgan Stanley

DID MARK EDWARD CARROLL CAUSE YOU INVESTMENT LOSSES? Mark Carroll of Morgan Stanley Has A Customer Complaint for Alleged Broker Misconduct Who is Mark Carroll of Morgan Stanley? Mark Carroll (CRD #1306479) who is currently registered with Morgan Stanley and located in Brea, California is a subject of one of our many securities industry sales practice abuse investigations. Mark Carroll Customer Complaint Mark Carroll 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 for unauthorized purchases of stock in the client’s trust account. Mark Carroll’s customer complaint was settled in favor of the investors. Mark Carroll Red Flags & Your Rights as An Investor Of course, Mark 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 Mark Carroll at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Mark Carroll 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 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 Morgan Stanley Due to Mark Carroll If you have questions about Morgan Stanley, and/or Mark 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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Richard Casolari of Voya Financial Advisors

DID RICHARD BRUNO CASOLARI CAUSE YOU INVESTMENT LOSSES? Richard Casolari of Voya Financial Advisors and Formerly with MetLife Securities Has 4 Customer Complaints for Alleged Broker Misconduct Who is Richard Casolari of Voya Financial Advisors? Richard Casolari (CRD #42779) who is currently registered with Voya Financial Advisors and located in Palos Heights, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Voya Financial Advisors, Richard Casolari was associated with MetLife Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Casolari Customer Complaints Richard Casolari has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of Richard Casolari’s 4 customer complaints were settled in favor of investors. One of Richard Casolari’s customers’ complaints was denied and the customers did not take any further action. Allegations Against Richard Casolari 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’s allegations against Richard Casolari include negligence, breach of fiduciary duty, and violation of the Illinois Securities Act arising from allocation decisions with respect to the claimant’s portfolio. Claimants allege that Richard Casolari violated his fiduciary duty by “making material misrepresentations; failing to disclose material facts; and recommending transactions that were inappropriate and excessive given their financial position, needs, and investment objectives.” The client alleges Richard Casolari made unsuitable recommendations, material misrepresentations, exercised discretionary power in the client’s account, and failed to disclose material facts regarding his investments. The complainant alleges that Richard Casolari took money from her annuity account at various times. Richard Casolari Red Flags & Your Rights as An Investor Of course, Richard Casolari 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 Richard Casolari at Voya Financial Advisors and MetLife Securities on alert to review carefully the activity and performance of their accounts and question whether Richard Casolari has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Voya Financial Advisors and MetLife 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 Voya Financial Advisors Due to Richard Casolari If you have questions about Voya Financial Advisors, MetLife Securities, and/or Richard Casolari 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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