Jan 20, 2022

Daniel Dillard of Union Capital Company

DID DANIEL G. DILLARD CAUSE YOU INVESTMENT LOSSES? Daniel G. Dillard Formerly with Union Capital Company, And Sagepoint Financial, Inc. Has A Customer Complaint for Alleged Broker Misconduct in The Past Year Who is Daniel G. Dillard formerly with Union Capital Company? Daniel Dillard (CRD #4289333) who was formerly registered with Union Capital Company and located in Austin, Texas is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Union Capital Company, Daniel Dillard was associated with Sagepoint Financial, Inc. and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Daniel Dillard has had his own problems with the regulators. In September 2015, while he was working for LPL Financial, LLC, he was suspended by FINRA from association with any member firm in any capacity for 3 months and fined $5,000.  Daniel Dillard consented to FINRA’s findings, without admitting or denying the allegations, that he took a firm form and falsified information on the document. Sagepoint Financial, Inc. Broker Misconduct Daniel Dillard has recently been the subject of a customer complaint that we know about that was filed in the last year to recover investment losses. The claimant alleged in the complaint that Daniel Dillard made unsuitable investment recommendations, misrepresentations and breached his fiduciary duties in connection with variable annuity and other direct investments.  The customer complaint filed against Daniel Dillard’s former employer Sagepoint Financial, Inc. for investment losses caused by his alleged misconduct is still pending. Daniel Dillard Red Flags & Your Rights as An Investor Of course, Daniel Dillard 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 Daniel Dillard at Union Capital Company and Sagepoint Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Daniel Dillard has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Sagepoint Financial, Inc. 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 Union Capital Company If you have questions about Union Capital Company, Sagepoint Financial, Inc., and/or Daniel Dillard 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 Gaffney of Wintrust Investments, LLC

DID DAVID ANDREW GAFFNEY CAUSE YOU INVESTMENT LOSSES? David Andrew Gaffney With Wintrust Investments, LLC Has A Recent Customer Complaint for Alleged Broker Misconduct Who is David A. Gaffney with Wintrust Investments, LLC? David Gaffney (CRD #3004164) who is currently registered with Wintrust Investments, LLC and located in New Lenox, Illinois is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Wintrust Investments, LLC, David Gaffneywas associated with RBC Capital Markets, LLC and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wintrust Investments, LLC Broker Misconduct David Gaffney has recently been the subject of a customer complaint that we know about that was filed in the last year to recover investment losses.   The customer alleged that David Gaffney provided an unsuitable “hold” investment recommendation related to the Northstar Healthcare and Income non-traded REIT investments. David Gaffney’s customer complaint was settled in favor of the investor. David Gaffney Red Flags & Your Rights as An Investor Of course, David Gaffney 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 David Gaffney at Wintrust Investments, LLC and RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether David Gaffney has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Wintrust Investments, LLC, and RBC Capital Markets, 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 Wintrust Investments, LLC and RBC Capital Markets, LLC If you have questions about Wintrust Investments, LLC, RBC Capital Markets, LLC and/or David Gaffney 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

Daniel McPherson of Cetera Advisors, LLC

DID DANIEL GEORGE MCPHERSON CAUSE YOU INVESTMENT LOSSES? Daniel George McPherson Formerly with Cetera Advisors, LLC Has 3 Customer Complaints for Alleged Broker Misconduct Who is Daniel G. McPherson formerly with Cetera Advisors, LLC? Daniel McPherson (CRD #4964802) who was formerly registered with Cetera Advisors, LLC and located in Idaho Falls, Idaho is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Cetera Advisors LLC, Daniel McPherson was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cetera Advisors, LLC Broker Misconduct In his career, Daniel McPherson has been the subject of 3 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. One of Daniel McPherson’s 3 customer complaints was settled in favor of investors for $1 million. There is currently one pending customer complaint filed against Daniel McPherson’s former employer Cetera Advisors, LLC for investment losses caused by his alleged misconduct. Allegations Against Daniel McPherson   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 Daniel McPherson made unsuitable investment recommendations to invest in variable annuities, real estate securities, and other private placement investments. The client alleged that Daniel McPherson made an unsuitable equity-indexed annuities (EIA) investment recommendation. The claimant alleged that Daniel McPherson made misrepresentations in unsuitable investment recommendations to invest in equipment leasing and oil and gas private placements, and a Tenant in Common (TIC) investment. Daniel McPherson Red Flags & Your Rights as An Investor Of course, Daniel McPherson 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 Daniel McPherson at Cetera Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Daniel McPherson has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Cetera Advisors, LLC 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 Cetera Advisors, LLC If you have questions about Cetera Advisors, LLC and/or Daniel McPherson 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

Daniel Pimental of Wells Fargo Advisors

DID DANIEL LAWRENCE PIMENTAL CAUSE YOU INVESTMENT LOSSES? Daniel Lawrence Pimental Of Wells Fargo Advisors and Formally with Raymond James Financial Services Has 3 Customer Complaints for Alleged Broker Misconduct Who is Daniel L. Pimental with Wells Fargo Advisors Financial Network, LLC? Daniel Pimental (CRD #2196343) who is currently registered with Wells Fargo Advisors Financial Network, LLC and located in Hingham, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Wells Fargo Advisors Financial Network, LLC, Daniel Pimental was associated with Raymond James Financial Services, Inc. and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Raymond James Financial Services, Inc. Broker Misconduct In his career, Daniel Pimental has been the subject of 3 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. Two of Daniel Pimental’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaints filed against Daniel Pimental’s former employer, Raymond James Financial Services, Inc., for $43 million in investment losses caused by his alleged misconduct. Allegations Against Daniel Pimental 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 investments made in his account by Daniel Pimental were inconsistent with his stated investment objectives. The customer alleged an unsuitable and aggressive investment strategy involving investments in technology stocks which Daniel Pimental former employers settled for $700,000. The claimant alleged that Daniel Pimental, while he was employed at Raymond James Financial Services, Inc., engaged in, churning, unauthorized trading and made unsuitable investment recommendations involving option transactions and caused the investor over $43 million in investment losses. Daniel Pimental Red Flags & Your Rights as An Investor Of course, Daniel Pimental 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 Daniel Pimental at Wells Fargo Advisors Financial Network, LLC and Raymond James Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Daniel Pimental has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Wells Fargo Advisors Financial Network, LLC, and Raymond James Financial Services, Inc. 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 Wells Fargo Advisors Financial Network, LLC If you have questions about Wells Fargo Advisors Financial Network, LLC, Raymond James Financial Services, Inc., and/or Daniel Pimental 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

Danielle Stanton of LPL Financial, LLC

DID DANIELLE DEMARCE STANTON CAUSE YOU INVESTMENT LOSSES? Danielle Demarce Stanton Of LPL Financial, LLC Has A Recent Customer Complaint for Alleged Broker Misconduct in The Past Year Who is Danielle D. Stanton with LPL Financial, LLC? Danielle Stanton (CRD #2416479) who is currently registered with LPL Financial, LLC and located in La Mesa, California is a subject of one of our many securities industry sales practice abuse investigations.   Prior to LPL Financial, LLC, Danielle Stanton was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. LPL Financial, LLC Broker Misconduct Danielle Stanton has been the subject of a customer complaint that was filed in the last year to recover investment losses. The claimant allegedly inherited assets in brokerage accounts from his mother that was invested in multiple energy partnerships and master limited partnerships.  The claimant alleged that Danielle Stanton made unsuitable “hold” investment recommendations after he inherited the securities from his mother. The customer complaint filed against Danielle Stanton’s current employer LPL Financial, LLC for investment losses caused by her alleged misconduct is still pending. Danielle Stanton Red Flags & Your Rights as An Investor Of course, Danielle Stanton 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 Danielle Stanton at LPL Financial, LLC on alert to review carefully the activity and performance of their accounts and question whether Danielle Stanton 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 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 LPL Financial, LLC If you have questions about LPL Financial, LLC and/or Danielle Stanton 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

Darryl Tureaud of Berthel, Fisher & Company Financial Services, Inc

DID DARRYL JOHN TUREAUD CAUSE YOU INVESTMENT LOSSES? Darryl John Tureaud Formerly with Berthel, Fisher & Company Financial Services, Inc. Has A Customer Complaint for Alleged Broker Misconduct in The Past Year Who is Darryl J. Tureaud formerly with Berthel, Fisher & Company Financial Services, Inc.? Darryl Tureaud (CRD #3111069) who was formerly registered with Berthel, Fisher & Company Financial Services, Inc. and located in Glendale, California is a subject of one of our many securities industry sales practices abuse investigations.   Prior to Berthel, Fisher & Company Financial Services, Inc., Darryl Tureaud was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Berthel, Fisher & Company Financial Services, Inc. Broker Misconduct Darryl Tureaud has been the subject of a customer complaint that we know about filed in the last year to recover investment losses. The claimants alleged that investments in mutual funds and real estate securities were misrepresented to her by Darryl Tureaud.  Further, that the financial advisor failed to do due diligence, and that his recommendations were unsuitable investment recommendations. Darryl Tureaud’s customer complaint was settled in favor of the investor. Darryl Tureaud Red Flags & Your Rights as An Investor Of course, Darryl Tureaud 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 Darryl Tureaud at Berthel, Fisher & Company Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Darryl Tureaud has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Berthel, Fisher & Company Financial Services, 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 Berthel, Fisher & Company Financial Services, Inc. If you have questions about Berthel, Fisher & Company Financial Services, Inc. and/or Darryl Tureaud 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

Dan Vismor of David Lerner Associates, Inc

DID DAN CHARLES VISMOR CAUSE YOU INVESTMENT LOSSES? Dan Charles Vismor with David Lerner Associates, Inc. Has A Customer Complaint for Alleged Broker Misconduct in The Past 2 Years Who is Dan C. Vismor with David Lerner Associates, Inc.? Dan Vismor (CRD #5321492) who is currently registered with David Lerner Associates, Inc. and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Prior to David Lerner Associates, Inc., Dan Vismor was associated with Newbridge Securities Corporation, Cetera Financial Group, and Centaurus Financial, Inc., and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Lerner Associates, Inc. And Cetera Financial Group Broker Misconduct Dan Vismor was the subject of a recent customer complaint that we know about that was filed in the last 2 years to recover investment losses. The customer’s alleged that Dan Vismor made misrepresentations in unsuitable investment recommendations in breach of his fiduciary duty to invest in real estate securities. Dan Vismor’s customer complaint was settled in favor of the investors. Dan Vismor Red Flags & Your Rights as An Investor Of course, Dan Vismor 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 Dan Vismor at David Lerner Associates, Inc., Newbridge Securities Corporation and Centaurus Financial, Inc. n/k/a Cetera Financial Group on alert to review carefully the activity and performance of their accounts and question whether Dan Vismor has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at David Lerner Associates, Inc., Newbridge Securities Corporation and Centaurus Financial, 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 David Lerner Associates, Inc., Newbridge Securities Corporation, Centaurus Financial, Inc. n/k/a Cetera Financial Group If you have questions about David Lerner Associates, Inc., Newbridge Securities Corporation, Centaurus Financial, Inc. n/k/a Cetera Financial Group and/or Dan Vismor 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

Peter Deangelis of First Allied Securities, Inc.

DID PETER JOHN DEANGELIS CAUSE YOU INVESTMENT LOSSES? Peter Deangelis Formerly With First Allied Securities, Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Peter Deangelis formerly with First Allied Securities, Inc.? Peter Deangelis (CRD #502055) who was formerly registered with First Allied Securities, Inc. and located in Emerson, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Peter Deangelis Customer Complaint Peter Deangelis 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 that RR forged his signature on paperwork. Peter Deangelis’ customer complaint was denied and the customer did not take any further action. Peter Deangelis Red Flags & Your Rights As An Investor Of course, Peter Deangelis 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 Peter Deangelis at First Allied Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Peter Deangelis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Allied 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 First Allied Securities, Inc. Due To Peter Deangelis If you have questions about First Allied Securities, Inc. and/or Peter Deangelis 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

John Demeo of Newbridge Securities Corp.

DID JOHN GERARD DEMEO CAUSE YOU INVESTMENT LOSSES? John Demeo of Newbridge Securities Corp. Has 3 Customer Complaints For Alleged Broker Misconduct Who is John Demeo of Newbridge Securities Corp.? John Demeo (CRD #1034717) who is currently registered with Newbridge Securities Corp. and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. John Demeo Customer Complaints John Demeo has been the subject of 3 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of John Demeo’s 3 customers’ complaints was settled in favor of investor. One of John Demeo’s 3 customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against Newbridge Securities Corp. for investment losses caused by John Demeo’s alleged misconduct. Allegations Against John Demeo 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  failure to supervise. Deceased client’s family alleged unsuitable trades by John Demeo. John Demeo Red Flags & Your Rights As An Investor Of course, John Demeo 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 John Demeo at Newbridge Securities Corp. on alert to review carefully the activity and performance of their accounts and question whether John Demeo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Newbridge Securities Corp. 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 Newbridge Securities Corp. Due To John Demeo If you have questions about Newbridge Securities Corp. and/or John Demeo 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 Dewar of Stifel Nicolaus Company, Inc.

DID DAVID JOHN DEWAR CAUSE YOU INVESTMENT LOSSES? David Dewar Formerly With Stifel, Nicolaus & Company, Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is David Dewar formerly with Stifel, Nicolaus & Company, Inc.? David Dewar (CRD #66808) who was formerly registered with Stifel, Nicolaus & Company, Inc. and located in Lake Forest, Illinois is a subject of one of our many securities industry sales practice abuse investigations. David Dewar Customer Complaint David Dewar 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 that registered representative was negligent and failed to advise client of material facts regarding a stock that declined in value. David Dewar’s customer complaint was denied and the customer did not take any further action. David Dewar Red Flags & Your Rights As An Investor Of course, David Dewar 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 Dewar at Stifel, Nicolaus & Company, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Dewar has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company, 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 Stifel, Nicolaus & Company, Inc. Due To David Dewar If you have questions about Stifel, Nicolaus & Company, Inc. and/or David Dewar 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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