Jan 20, 2022

Edward Spence of Equitable Advisors, LLC

DID EDWARD EARL SPENCE CAUSE YOU INVESTMENT LOSSES? Edward Spence of Equitable Advisors, LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Edward Spence of Equitable Advisors, LLC? Edward Spence (CRD #1017971) who is currently registered with Equitable Advisors, LLC and located in Goldsboro, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Edward Spence Customer Complaint Edward Spence 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 that the client alleges Edward Spence sold her unsuitable real estate securities in her investment plan. Edward Spence’s customer complaint was denied and the customers did not take any further action. Edward Spence Red Flags & Your Rights As An Investor Of course, Edward Spence 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 Edward Spence at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Edward Spence has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, 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 Equitable Advisors, LLC Due To Edward Spence If you have questions about Equitable Advisors, LLC and/or Edward Spence 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

Edward Taliaferro of Robert W. Baird Co. Inc.

DID EDWARD ROBERT TALIAFERRO CAUSE YOU INVESTMENT LOSSES? Edward Taliaferro of Robert W. Baird Co. Inc. And Formerly With J.J.B. Hilliard Has 8 Customer Complaints For Alleged Broker Misconduct Who is Edward Taliaferro of Robert W. Baird Co. Inc.? Edward Taliaferro (CRD #1690490) who is currently registered with Robert W. Baird Co. Inc. and located in Chattanooga, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Prior to Robert W. Baird Co. Inc., Edward Taliaferro was associated with J.J.B. Hilliard and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Edward Taliaferro Customer Complaints Edward Taliaferro has been the subject of 8 customer complaints that we know about. There is currently one pending customer complaint filed against J.J.B. Hilliard for investment losses caused by Edward Taliaferro’s alleged misconduct. Four of Edward Taliaferro’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Edward Taliaferro 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 losses due to unsuitable investments by Edward Taliaferro. Client alleges she lost a significant amount of money due to unsuitable recommendations and Hilliard Lyons’ failure to supervise. Client also alleges fraudulent misrepresentation of the investment and material omissions regarding the risks of the investments by Edward Taliaferro. Client began investing with Edward Taliaferro at prior firm. Client transferred over with Edward Taliaferro and opened account and continued same manner of investing with covered call writing and margin usage. Client and daughter are now claiming that investment style was unsuitable for the client, and are asking to be reimbursed for all inappropriate investments allegedly committed by Edward Taliaferro. Client upset with losses and alleges poor performance in account by Edward Taliaferro. Client’s attorney alleges unauthorized and unsuitable trading in [customer]’s three accounts. The attorney did not specify the trades or securities in question. Customers’ accounts were opened with listed equities and mutual funds being traded in them allegedly by Edward Taliaferro. Customer alleges Edward Taliaferro failed to follow instructions. Alleged damages of $5000. Misrepresentation allegedly committed by Edward Taliaferro. Edward Taliaferro Red Flags & Your Rights As An Investor Of course, Edward Taliaferro 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 Edward Taliaferro at Robert W. Baird Co. Inc. and J.J.B. Hilliard on alert to review carefully the activity and performance of their accounts and question whether Edward Taliaferro has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Robert W. Baird Co. Inc. and J.J.B. Hilliard 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 Robert W. Baird Co. Inc. Due To Edward Taliaferro If you have questions about Robert W. Baird Co. Inc., J.J.B. Hilliard, and/or Edward Taliaferro 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

Edward Yoon of First Allied Securities, Inc.

DID EDWARD C YOON CAUSE YOU INVESTMENT LOSSES? Edward Yoon of First Allied Securities, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Edward Yoon of First Allied Securities Inc.? Edward Yoon (CRD #2408137) who is currently registered with First Allied Securities, Inc. and located in Pasadena, California is a subject of one of our many securities industry sales practice abuse investigations. Edward Yoon Customer Complaints Edward Yoon has been the subject of 3 customer complaints that we know about. One of Edward Yoon’s 3 customer complaints was settled in favor of investors. One of Edward Yoon’s customers’ complaints was denied and the customers did not take any further action. Allegations Against Edward Yoon 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 fraud, misrepresentation, negligence, breach of fiduciary duty, unauthorized and unsuitable trading in speculative securities on margin in claimant’s account allegedly by Edward Yoon. Claimant alleges her former financial advisor Edward Yoon recommended three investments that were not suitable for her. Claimant generally alleges breach of duty, unsuitability, negligence, and breach of contract. Client alleges unsuitable REIT investment by Edward Yoon. Edward Yoon Red Flags & Your Rights As An Investor Of course, Edward Yoon 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 Edward Yoon at First Allied Securities, Inc. and First Allied Advisory Services on alert to review carefully the activity and performance of their accounts and question whether Edward Yoon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Allied Securities, Inc. and First Allied Advisory Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At First Allied Securities, Inc. Due To Edward Yoon If you have questions about First Allied Securities, Inc., First Allied Advisory Services, and/or Edward Yoon 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

Dimitrios Aivaliotis of Pinnacle Investments

DID DIMITRIOS AIVALIOTIS CAUSE YOU INVESTMENT LOSSES? Dimitrios Aivaliotis of Pinnacle Investments and Formerly with Avenir Financial Group, Brookville Capital Partners, Newbridge Securities, SW Financial, and Tryco Securities Has 3 Customer Complaints for Alleged Broker Misconduct Who is Dimitrios Aivaliotis of Pinnacle Investments? Dimitrios Aivaliotis (CRD #3174376) who is currently registered with Pinnacle Investments and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Pinnacle Investments, Dimitrios Aivaliotis was associated with Avenir Financial Group, Brookville Capital Partners, Newbridge Securities, SW Financial, Tryco Securities, and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Dimitrios Aivaliotis Customer Complaints Dimitrios Aivaliotis has been the subject of 3 customer complaints that we know about. One customer complaint resulted in an arbitration award in the investor’s favor. Two of Dimitrios Aivaliotis’ 3 customer complaints were settled in favor of investors. Allegations Against Dimitrios Aivaliotis A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Dimitrios Aivaliotis’ alleged failure to execute a stop-loss order. Dimitrios Aivaliotis allegedly committed churning, negligence, unsuitability, unauthorized trading, breach of contract. Claimants allege overconcentration, breach of fiduciary duty/contract, common law fraud, negligent supervision, negligent hiring, and a violation of the California Securities Act by Dimitrios Aivaliotis. Dimitrios Aivaliotis Red Flags & Your Rights as An Investor Of course, Dimitrios Aivaliotis 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 Dimitrios Aivaliotis at Pinnacle Investments, Avenir Financial Group, Brookville Capital Partners, Newbridge Securities, SW Financial, and Tryco Securities on alert to review carefully the activity and performance of their accounts and question whether Dimitrios Aivaliotis has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Pinnacle Investments, Avenir Financial Group, Brookville Capital Partners, Newbridge Securities, SW Financial, and Tryco 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 Pinnacle Investments Due to Dimitrios Aivaliotis If you have questions about Pinnacle Investments, Avenir Financial Group, Brookville Capital Partners, Newbridge Securities, SW Financial, Tryco Securities, and/or Dimitrios Aivaliotis 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

Donald Kiley of Ausdal Financial Partners

DID DONALD WALTER KILEY CAUSE YOU INVESTMENT LOSSES? Donald Kiley of Ausdal Financial Partners Has 2 Customer Complaints for Alleged Broker Misconduct Who is Donald Kiley of Ausdal Financial Partners? Donald Kiley (CRD #2630201) who is currently registered with Ausdal Financial Partners and located in De Pere, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations.  Donald Kiley was also the subject of multiple regulatory investigations and sanctions.  FINRA suspended him for 3 months and fined him $5,000 for participating in private securities transactions without his firm’s knowledge.  His license was revoked in the State of Illinois.  Wisconsin issued a summary order of Prohibition and Censure for selling unregistered securities in the form of mutual benefit viatical settlements off the books and records of his employing broker-dealer. Donald Kiley Customer Complaints Donald Kiley 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 Donald Kiley’s current employer Ausdal Financial Partners for investment losses caused by the alleged misconduct. One of Donald Kiley’s customer’s complaints was denied and the customers did not take any further action. Allegations Against Donald Kiley 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 claims subaccounts chosen in the annuity allegedly made by Donald Kiley were unsuitable. Clients allege products allegedly sold by Donald Kiley were unsuitable. Donald Kiley Red Flags & Your Rights as An Investor Of course, Donald Kiley 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 Donald Kiley at Ausdal Financial Partners on alert to review carefully the activity and performance of their accounts and question whether Donald Kiley has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Ausdal Financial Partners 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 Ausdal Financial Partners Due to Donald Kiley If you have questions about Ausdal Financial Partners, and/or Donald Kiley 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

Douglas Leone of Salomon Whitney Financial

DID DOUGLAS ANTHONY LEONE CAUSE YOU INVESTMENT LOSSES? Douglas Leone Formerly with Salomon Whitney Financial Has 9 Customer Complaints for Alleged Broker Misconduct Who is Douglas Leone formerly with Salomon Whitney Financial? Douglas Leone (CRD #2453784) who was formerly registered with Salomon Whitney Financial and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations.  Douglas Leone has also been the subject of 4 FINRA regulatory investigations and actions over the years.  In May 2018, he was permanently barred from association with any FINRA member, in any capacity, fined $185,000, and ordered to pay restitution in excess of $325,000 for allegedly churning customer accounts. Douglas Leone Customer Complaints Douglas Leone has been the subject of 9 customer complaints that we know about. Four of Douglas Leone’s 9 customer complaints were settled in favor of investors. There are currently two pending customer complaints filed against Salomon Whitney Financial for investment losses caused by Douglas Leone’s alleged misconduct. Allegations Against Douglas Leone A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Douglas Leone’s alleged breach of fiduciary duty, negligence, breach of contract. Douglas Leone’s alleged churning, misrepresentation, breach of fiduciary duty. Douglas Leone’s alleged misrepresentation. Churning, negligence, unsuitability, unauthorized trading, breach of contract allegedly committed by Douglas Leone. Douglas Leone’s alleged excessive trading on margin with no downside protection, false and misleading statements regarding the risks of his investments, the churning of his account, breach of fiduciary duty, breach of contract, gross negligence, and suitability. The customer claimed losses of $25,000.00 from excessive commissions and suitability allegedly made by Douglas Leone. Unauthorized trades failure to correct by the broker as promised allegedly committed by Douglas Leone. Douglas Leone Red Flags & Your Rights as An Investor Of course, Douglas Leone 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 Douglas Leone at Salomon Whitney Financial on alert to review carefully the activity and performance of their accounts and question whether Douglas Leone has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Salomon Whitney 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 Salomon Whitney Financial Due to Douglas Leone If you have questions about Salomon Whitney Financial and/or Douglas Leone 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

Diana Plucienkowski of Cetera Advisor Networks

DID DIANA LYNN PLUCIENKOWSKI CAUSE YOU INVESTMENT LOSSES? Diana Plucienkowski of Cetera Advisor Networks, Summit Financial Group and Formerly with Summit Brokerage Services Has A Customer Complaint for Alleged Broker Misconduct Who is Diana Plucienkowski of Cetera Advisor Networks? Diana Plucienkowski (CRD #2669520) who is currently registered with Cetera Advisor Networks and Summit Financial Group and located in Ft Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisor Networks and Summit Financial Group, Diana Plucienkowski was associated with Summit Brokerage Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Diana Plucienkowski Customer Complaint Diana Plucienkowski 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 client alleges breach of fiduciary duty. Diana Plucienkowski’s customer complaint was denied and the customer did not take any further action. Diana Plucienkowski Red Flags & Your Rights as An Investor Of course, Diana Plucienkowski 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 Diana Plucienkowski at Cetera Advisor Networks, Summit Financial Group, and Summit Brokerage Services on alert to review carefully the activity and performance of their accounts and question whether Diana Plucienkowski has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Cetera Advisor Networks, Summit Financial Group and Summit Brokerage Services 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 Cetera Advisor Networks Due to Diana Plucienkowski If you have questions about Cetera Advisor Networks, Summit Financial Group, Summit Brokerage Services, and/or Diana Plucienkowski 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

Dervinder Singh of Equitable Advisors

DID DERVINDER SINGH CAUSE YOU INVESTMENT LOSSES? Dervinder Singh of Equitable Advisors Has 3 Customer Complaints for Alleged Broker Misconduct Who is Dervinder Singh of Equitable Advisors? Dervinder Singh (CRD #2146392) who is currently registered with Equitable Advisors and located in Woodbury, New York is a subject of one of our many securities industry sales practice abuse investigations. Dervinder Singh Customer Complaints Dervinder Singh has been the subject of 3 customer complaints that we know about. One of Dervinder Singh’s 3 customer complaints was settled in favor of investors. Two of Dervinder Singh’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Dervinder Singh 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 Dervinder Singh did not accurately disclose the policy terms of two fixed life insurance products at the time of replacement from two incentive life insurance policies. Clients allege the sale of a variable life insurance policy by Dervinder Singh was not a suitable investment. The client is requesting the firm to rescind the policy and refund premiums paid. Damages unspecified. Plaintiff alleges she did not receive the $100,000 death benefit on her husband’s variable life insurance policy because Dervinder Singh did not reveal or disclose the plaintiff’s medical history on the policy application. Plaintiff further alleges the agent made these misrepresentations in order for the policy to get issued at a premium level and generate a sales commission. Damages are unspecified. The allegations were unsubstantiated and without admitting fault or liability on the part of all parties, this matter was settled. Dervinder Singh Red Flags & Your Rights as An Investor Of course, Dervinder Singh 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 Dervinder Singh at Equitable Advisors on alert to review carefully the activity and performance of their accounts and question whether Dervinder Singh has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Equitable 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 Equitable Advisors Due to Dervinder Singh If you have questions about Equitable Advisors and/or Dervinder Singh 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

Dennis Taylor of Taylor Capital Management

DID DENNIS WILLARD TAYLOR CAUSE YOU INVESTMENT LOSSES? Dennis Taylor Formerly with Taylor Capital Management Has 4 Customer Complaints for Alleged Broker Misconduct Who is Dennis Taylor formerly with Taylor Capital Management? Dennis Taylor (CRD #1563266) who was formerly registered with Taylor Capital Management and located in Woodstock, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Taylor Capital Management, Dennis Taylor was associated with 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Dennis Taylor has had his own regulatory problems.  In February 2020, he was permanently barred by FINRA for failing to respond to its request for information in connection with 1 of its investigations. Dennis Taylor Customer Complaints Dennis Taylor has been the subject of 4 customer complaints that we know about. There are currently four pending customer complaints filed against Taylor Capital Management for investment losses caused by Dennis Taylor’s alleged misconduct. Allegations Against Dennis Taylor 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 Respondents facilitated the sales of unregistered securities in violation of the Illinois Securities Act and the sale of speculative non-trade real estate investment trusts allegedly made by Dennis Taylor. Claimants alleged negligent supervision by Respondents in the sale of 1st Global Capital Notes allegedly by Dennis Taylor.. The primary allegation is Negligent Supervision in the sale of 1st Global Notes allegedly by Dennis Taylor. The arbitration claim alleged negligent supervision on the part of the Respondents in the sale of 1st Global Notes allegedly by Dennis Taylor. Dennis Taylor Red Flags & Your Rights as An Investor Of course, Dennis Taylor 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 Dennis Taylor at Taylor Capital Management on alert to review carefully the activity and performance of their accounts and question whether Dennis Taylor has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Taylor Capital Management 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 Taylor Capital Management Due to Dennis Taylor If you have questions about Taylor Capital Management and/or Dennis Taylor 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

Douglas Willmore of Western International Securities

DID DOUGLAS EUGENE WILLMORE CAUSE YOU INVESTMENT LOSSES? Douglas Willmore Formerly with Western International Securities Has A Customer Complaint for Alleged Broker Misconduct Who is Douglas Willmore formerly with Western International Securities? Douglas Willmore (CRD #5115203) who was formerly registered with Western International Securities and located in Westlake Village, California is a subject of one of our many securities industry sales practice abuse investigations. Douglas Willmore Customer Complaint Douglas Willmore 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 complaints for investment losses were misrepresentation. The customer complaint filed against Douglas Willmore’s former employer Western International Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Douglas Willmore Red Flags & Your Rights as An Investor Of course, Douglas Willmore 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 Douglas Willmore at Western International Securities on alert to review carefully the activity and performance of their accounts and question whether Douglas Willmore has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Western International 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 Western International Securities Due to Douglas Willmore If you have questions about Western International Securities and/or Douglas Willmore 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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