Jan 20, 2022

Galen Kopman of Centaurus Financial

DID GALEN KYLE KOPMAN CAUSE YOU INVESTMENT LOSSES? Galen Kopman Formerly with Centaurus Financial and LPL Financial Has 3 Customer Complaints for Alleged Broker Misconduct Who is Galen Kopman formerly with Centaurus Financial? Galen Kopman (CRD #3011906) who was formerly registered with Centaurus Financial and located in Vancouver, Washington is a subject of one of our many securities industry sales practice abuse investigations. Prior to Centaurus Financial, Galen Kopman was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Galen Kopman Customer Complaints Galen Kopman has been the subject of 3 customer complaints that we know about. One of Galen Kopman’s 3 customer complaints was settled in favor of investors. One of Galen Kopman’s customers’ complaints was denied and the customers did not take any further action. The third customer complaint filed against Galen Kopman’s former employer Centaurus Financial, Inc. is still pending. Allegations Against Galen Kopman 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 that Respondent’s representative Galen Kopman recommended an unsuitable investment in a business development company which conflicted with Claimant’s true investment objectives and needs, ultimately causing her monetary damages. Claimant alleges her representative was motivated by commissions and consequently misrepresented/omitted the illiquid investment’s risks. The customer alleges that the recommendations by Galen Kopman were unsuitable, the documentations was altered, and demands repayment of $172,283. 00. Galen Kopman Red Flags & Your Rights as An Investor Of course, Galen Kopman 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 Galen Kopman at Centaurus Financial and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Galen Kopman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Centaurus Financial and LPL Financial 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 Centaurus Financial Due to Galen Kopman If you have questions about Centaurus Financial, LPL Financial, and/or Galen Kopman 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 Martinez of SagePoint Financial

DID ERNEST AARON MARTINEZ CAUSE YOU INVESTMENT LOSSES? Ernest Martinez of SagePoint Financial Has A Customer Complaint for Alleged Broker Misconduct Who is Ernest Martinez of SagePoint Financial? Ernest Martinez (CRD #2433966) who is currently registered with SagePoint Financial and located in Beverly Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Ernest Martinez Customer Complaint Ernest Martinez 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 customer alleges misrepresentation in the sale of nontraded REITs. Ernest Martinez’s customer complaint was denied and the customers did not take any further action. Ernest Martinez Red Flags & Your Rights as An Investor Of course, Ernest Martinez 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 Martinez at SagePoint Financial on alert to review carefully the activity and performance of their accounts and question whether Ernest Martinez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SagePoint Financial also raises questions about the brokerage firm 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 Due to Ernest Martinez If you have questions about SagePoint Financial, and/or Ernest Martinez 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 Nickey of CUSO Financial Services L.P.

DID FRANK RICHARD NICKEY CAUSE YOU INVESTMENT LOSSES? Frank Nickey of CUSO Financial Services L.P. And Formerly with Wells Fargo Advisors Financial Network Has 2 Customer Complaints for Alleged Broker Misconduct Who is Frank Nickey of CUSO Financial Services L.P.? Frank Nickey (CRD #4287405) who is currently registered with CUSO Financial Services L.P. and located in Newport News, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Prior to CUSO Financial Services L.P., Frank Nickey was associated with Wells Fargo Advisors Financial Network and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Frank Nickey Customer Complaints Frank Nickey 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. There is currently one pending customer complaint filed against RBC Capital Markets and Wells Fargo Advisors Financial Network for investment losses caused by Frank Nickey’s alleged misconduct. One of Frank Nickey’s customer’s complaints was denied and the customers did not take any further action. Allegations Against Frank Nickey 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 that Frank Nickey recommended unsuitable investments in Puerto Rican Bonds and MLP mutual funds. The customer complains that Frank Nickey allegedly did not liquidate his portfolio when instructed, resulting in additional losses. Frank Nickey Red Flags & Your Rights as An Investor Of course, Frank Nickey 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 Nickey at CUSO Financial Services L.P. and Wells Fargo Advisors Financial Network on alert to review carefully the activity and performance of their accounts and question whether Frank Nickey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at CUSO Financial Services L.P.,  RBC Capital Markets, and Wells Fargo Advisors Financial Network 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 CUSO Financial Services L.P. Due to Frank Nickey If you have questions about CUSO Financial Services L.P., Wells Fargo Advisors Financial Network, and/or Frank Nickey 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

Eric Tom of MML Investors Services

DID ERIC SHAWNYEE TOM CAUSE YOU INVESTMENT LOSSES? Eric Tom of MML Investors Services and Formerly with MSI Financial Has 11 Customer Complaints for Alleged Broker Misconduct Who is Eric Tom of MML Investors Services? Eric Tom (CRD #1890823) who is currently registered with MML Investors Services and located in East Hills, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Eric Tom was associated with MSI Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Eric Tom Customer Complaints Eric Tom has been the subject of 11 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Eric Tom’s 11 customer complaints was settled in favor of investors. Eight of Eric Tom’s customers’ complaints were denied and the customers did not take any further action. The last customer complaint against MSI Financial remains pending. Allegations Against Eric Tom 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 alleges misrepresentations were made to him by Eric Tom when he purchased a variable life policy. The client alleges that Eric Tom never informed him of the existence of the waiver of premium rider declaration after reviewing his Bankers Life Policy. The client also alleges that Mr. Tom never issued a disclosure statement pertaining to the MetLife Variable Universal Life Insurance Policy he purchased. The customer alleged that funds provided to the representative Eric Tom, for the purchase of a variable life insurance policy, were not used as directed. No specific compensatory damages were alleged. The customer alleged that the representative Eric Tom did not explain the premium may increase when a variable life insurance policy was purchased. No specific compensatory damages were alleged. The customer alleged the advisor Eric Tom misrepresented the features of the variable life insurance policy purchased. The customer alleged the deferred sales charges were not clearly explained when a variable annuity was sold by the advisor Eric Tom. The customer alleged the representative Eric Tom did not explain risk when funds were invested in a mutual fund. No specific compensatory damages were alleged. The customer alleged the representative Eric Tom did not fully explain the variable annuity purchased. No specific compensatory damages were alleged. Customers have alleged Eric Tom’s recommendation to purchase a bond fund was not appropriate. No specific compensatory damages was alleged. The complainant alleges that the investments that were sold to him by Eric Tom did not match his expressed financial objectives and he has lost money as a result. The customer alleged the advisor Eric Tom misrepresented the variable annuity when purchased. No specific compensatory damages were alleged. Eric Tom Red Flags & Your Rights as An Investor Of course, Eric Tom 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 Eric Tom at MML Investors Services and MSI Financial on alert to review carefully the activity and performance of their accounts and question whether Eric Tom has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services and MSI Financial 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 Due to Eric Tom If you have questions about MML Investors Services, MSI Financial, and/or Eric Tom 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

Ekua Anyanful of LPL Financial LLC

DID EKUA OPOKUAA ANYANFUL CAUSE YOU INVESTMENT LOSSES? Ekua Anyanful of LPL Financial LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Ekua Anyanful of LPL Financial LLC? Ekua Anyanful (CRD #4556569) who is currently registered with LPL Financial LLC and located in Fort Worth, Texas is a subject of one of our many securities industry sales practice abuse investigations. Ekua Anyanful Customer Complaint Ekua Anyanful 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 a loss $30,000.00 across mutual fund and REIT investment. Ekua Anyanful’s customer complaint was settled in favor of investors. Ekua Anyanful Red Flags & Your Rights As An Investor Of course, Ekua Anyanful 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 Ekua Anyanful at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Ekua Anyanful has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC 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 Ekua Anyanful If you have questions about LPL Financial LLC and/or Ekua Anyanful 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

Earle Evans of Vestech Securities, Inc.

DID EARLE WOOD EVANS CAUSE YOU INVESTMENT LOSSES? Earle Evans Formerly With Vestech Securities, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Earle Evans formerly with Vestech Securities, Inc.? Earle Evans (CRD #202874) who was formerly registered with Vestech Securities, Inc. and located in Wichita, Kansas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Vestech Securities, Inc., Earle Evans was associated with Oakbridge Financial Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Over the years, Earle Evans has been the subject of 3 regulatory actions. In Kansas, an order of prohibition and fine was issued. FINRA censured him 2 times and fined him $10,000 and $5,000 as alleged violations of FINRA rules. Earle Evans Customer Complaints Earle Evans has been the subject of 3 customer complaints that we know about. One of Earle Evans’ 3 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Vestech Securities, Inc. for investment losses caused by Earle Evans’ alleged misconduct. Allegations Against Earle Evans A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customers made several investments based upon Earle Evans recommendations in oil and gas sector and that were unsuitable and that did not perform to the expectations of the claimants based upon representations made to them. The customer alleged Earle Evans recommended unsuitable investments in Oil and Gas products. Earle Evans Red Flags & Your Rights As An Investor Of course, Earle Evans 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 Earle Evans at Vestech Securities, Inc. and Oakbridge Financial Securities on alert to review carefully the activity and performance of their accounts and question whether Earle Evans has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vestech Securities, Inc. and Oakbridge Financial 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 Vestech Securities, Inc. Due To Earle Evans If you have questions about Vestech Securities, Inc., Oakbridge Financial Securities, and/or Earle Evans 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

Enrico Franco of TFS Securities, Inc.

DID ENRICO FRANCO CAUSE YOU INVESTMENT LOSSES? Enrico Franco of TFS Securities, Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Enrico Franco of TFS Securities, Inc.? Enrico Franco (CRD #212661) who is currently registered with TFS Securities, Inc. and located in Lincroft, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. He was also suspended by FINRA for 5 years for failing to pay an arbitration award. Enrico Franco Customer Complaint Enrico Franco 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 believes rep placed his retirement assets into speculative/high commission alternative investments that were unsuitable; believes majority of his retirement assets were lost under reps care and guidance. The customer complaint filed against Enrico Franco’s current employer TFS Securities, Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Enrico Franco Red Flags & Your Rights As An Investor Of course, Enrico Franco 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 Enrico Franco at TFS Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Enrico Franco has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TFS Securities, 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 TFS Securities, Inc. Due To Enrico Franco If you have questions about TFS Securities, Inc., and/or Enrico Franco 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

Elaine Lacerte of Morgan Stanley

DID ELAINE DIONES LACERTE CAUSE YOU INVESTMENT LOSSES? Elaine Lacerte Formerly With Morgan Stanley Has 5 Customer Complaints For Alleged Broker Misconduct Who is Elaine Lacerte formerly with Morgan Stanley? Elaine Lacerte (CRD #1536459) who was formerly registered with Morgan Stanley and located in Colorado Springs, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Elaine Lacerte was also the subject of a FINRA investigation and ultimately suspended for 6 months and fined $5,000 for allegedly engaging in an unsuitable pattern of tort-term trading of Unit Investment Trusts in customer accounts. Elaine Lacerte Customer Complaints Elaine Lacerte has been the subject of 5 customer complaints that we know about. Four of Elaine Lacerte’s 5 customer complaints were settled in favor of investors. One of Elaine Lacerte’s customers’ complaints was denied and the customers did not take any further action. Allegations Against Elaine Lacerte 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, inter alia, misrepresentation with respect to the purchase of a municipal bond by Elaine Lacerte. Client alleges misrepresentation with respect to investment risk by Elaine Lacerte. Damages unspecified. Client alleges Elaine Lacerte told him he would receive par value for his unit investment trusts at maturity. Client verbally alleged unsuitability, inter alia, with respect to the investments in unit investment trusts in account by Elaine Lacerte. Client’s attorney alleges unsuitability with respect to unit investment trusts by Elaine Lacerte. Elaine Lacerte Red Flags & Your Rights As An Investor Of course, Elaine Lacerte 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 Elaine Lacerte at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Elaine Lacerte 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 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 Elaine Lacerte If you have questions about Morgan Stanley and/or Elaine Lacerte 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

Eric Nichols of TCFG Wealth Management, LLC

DID ERIC NICHOLS CAUSE YOU INVESTMENT LOSSES? Eric Nichols of TCFG Wealth Management, LLC, TCFG Investment Advisors And Formerly With Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct Who is Eric Nichols of TCFG Wealth Management, LLC? Eric Nichols (CRD #2710703) who is currently registered with TCFG Wealth Management, LLC, TCFG Investment Advisors and located in Missouri City, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to TCFG Wealth Management, LLC, and TCFG Investment Advisors, Eric Nichols was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Eric Nichols has also had regulatory problems. In July 2019, he was suspended in all capacities for settling a customer complaint away from his member firm and fined $5,000. Eric Nichols Customer Complaints Eric Nichols has been the subject of 3 customer complaints that we know about. Two of Eric Nichols’ 3 customer complaints were settled in favor of investors. Allegations Against Eric Nichols 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 that Eric Nichols recommended unsuitable and over-concentrated positions in a REIT and inappropriately guaranteed the dividend. Client alleges unauthorized trading, inter alia, with respect to investments by Eric Nichols. Client verbally alleged, inter alia, unsuitability with respect to investments by Eric Nichols. Eric Nichols Red Flags & Your Rights As An Investor Of course, Eric Nichols 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 Eric Nichols at TCFG Wealth Management, LLC, TCFG Investment Advisors and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Eric Nichols has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TCFG Wealth Management, LLC, TCFG Investment Advisors and 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 TCFG Wealth Management, LLC Due To Eric Nichols If you have questions about TCFG Wealth Management, LLC, TCFG Investment Advisors, Morgan Stanley and/or Eric Nichols 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

Elliot Packer of Securities America, Inc.

DID ELLIOTT ERIC PACKER CAUSE YOU INVESTMENT LOSSES? Elliott Packer Formerly With Securities America, Inc. And Financial West Group Has 4 Customer Complaints For Alleged Broker Misconduct Who is Elliott Packer formerly with Securities America, Inc.? Elliott Packer (CRD #2372672) who was formerly registered with Securities America, Inc. and Securities America Advisors and located in Wellesley, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securities America, Inc. and Securities America Advisors, Elliott Packer was associated with Financial West Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Elliott Packer Customer Complaints Elliott Packer has been the subject of 4 customer complaints that we know about. Two of Elliott Packer’s 4 customer complaints were settled in favor of investors. The other 2 Elliott Packer customer complaints were denied and the customers did not take any further action. Allegations Against Elliott Packer A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleges Elliott Packer recommended they invest in real estate instead of an advisory account and that the advisor converted funds from the real estate investment for personal use. Client complaint received regarding level of trading activity and market loss allegedly committed by Elliott Packer. Client’s complaint revolves around her three (3) managed accounts, the volume of transactions, the performance, and the fees paid, allegedly committed by Elliott Packer. The client alleges that the Trust incurred over $13,000 worth of legal fees when establishing their account. In addition, the client alleges that excessive trading generated over $130k in gains and will result in over $40K in taxes by Elliott Packer. Elliott Packer Red Flags & Your Rights As An Investor Of course, Elliott Packer 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 Elliott Packer at Securities America, Inc., Securities America Advisors and Financial West Group on alert to review carefully the activity and performance of their accounts and question whether Elliott Packer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America, Inc., Securities America Advisors and Financial West Group 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 Elliott Packer If you have questions about Securities America, Inc., Securities America Advisors, Financial West Group, and/or Elliott Packer 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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