Jan 20, 2022

Marcious Dickerson of Centaurus Financial, Inc.

DID MARCIOUS DICKERSON CAUSE YOU INVESTMENT LOSSES? Marcious Dickerson of Centaurus Financial, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Marcious Dickerson of Centaurus Financial, Inc.? Marcious Dickerson (CRD #1053338) who is currently registered with Centaurus Financial, Inc. and located in Livonia, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Marcious Dickerson Customer Complaints Marcious Dickerson has been the subject of 4 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. Three of Marcious Dickerson’s 4 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Centaurus Financial, Inc. for investment losses caused by Marcious Dickerson’s alleged misconduct. Allegations Against Marcious Dickerson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Allegations include misrepresentation, unsuitable recommendations, violation of Michigan’s State Securities Act, negligence, breach of fiduciary duty and breach of conduct surrounding the investments allegedly purchased by Marcious Dickerson. Allegations include violation of Michigan’s State Securities Act, breach of contract, breach of fiduciary duty, misrepresentation, unsuitability and negligence in the investment purchases allegedly made by Marcious Dickerson. Client alleges that Marcious Dickerson purchased shares of Profund Managed OTC B Fund in his SEP IRA without authorization. Client also alleges Dickerson, without authorization, transferred all money market accounts from A shares to B shares. The customer alleges that Marcious Dickerson initiated several unauthorized trades. Marcious Dickerson Red Flags & Your Rights As An Investor Of course, Marcious Dickerson 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 Marcious Dickerson at Centaurus Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Marcious Dickerson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Centaurus Financial, Inc. 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, Inc. Due To Marcious Dickerson If you have questions about Centaurus Financial, Inc. and/or Marcious Dickerson 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

Arthur Dietz of Securities America, Inc.

DID ARTHUR JOSEPH DIETZ CAUSE YOU INVESTMENT LOSSES? Arthur Dietz of Securities America, Inc., Securities America Advisors And Formerly With Securities Service Network And SSN Advisory Has One Customer Complaint For Alleged Broker Misconduct Who is Arthur Dietz of Securities America, Inc.? Arthur Dietz (CRD #1210388) who is currently registered with Securities America, Inc., Securities America Advisors and located in Indiana, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securities America, Inc., Securities America Advisors, Arthur Dietz was associated with Securities Service Network, SSN Advisory and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Arthur Dietz Customer Complaint Arthur Dietz 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 the representative conspired with client’s family to steal his pension plan. Arthur Dietz’s customer complaint was denied and the customer did not take any further action. Arthur Dietz Red Flags & Your Rights As An Investor Of course, Arthur Dietz 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 Arthur Dietz at Securities America, Inc., Securities America Advisors, Securities Service Network and SSN Advisory on alert to review carefully the activity and performance of their accounts and question whether Arthur Dietz 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, Securities Service Network and SSN Advisory 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 Securities America, Inc. Due To Arthur Dietz If you have questions about Securities America, Inc., Securities America Advisors, Securities Service Network, SSN Advisory, and/or Arthur Dietz 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

Thomas Dilello of LPL Financial LLC

DID THOMAS MICHAEL DILELLO CAUSE YOU INVESTMENT LOSSES? Thomas Dilello Formerly With LPL Financial LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Thomas Dilello formerly with LPL Financial LLC? Thomas Dilello (CRD #1296934) who was formerly registered with LPL Financial LLC and located in Naples, Florida is a subject of one of our many securities industry sales practice abuse investigations. Thomas Dilello was also the subject of a FINRA investigation for failure to comply with a settlement agreement and/or satisfactorily respond to a FINRA request to provide information concerning the status of his compliance with that agreement. As a result, he was suspended and all capacities from association with any member firm. Thomas Dilello Customer Complaints Thomas Dilello has been the subject of 3 customer complaints that we know about. One of Thomas Dilello’s 3 customer complaints was settled in favor of investors. One of Thomas Dilello’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against SunTrust Investment Services for investment losses caused by Thomas Dilello’s alleged misconduct. Allegations Against Thomas Dilello A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client claims Thomas Dilello allegedly committed fraud and took funds from account. Clients alleged that Thomas Dilello misrepresented facts regarding the Hartford variable annuities they purchased. The client says he thought he was buying tax-free bonds when in fact he was buying a mutual fund recommended by Thomas Dilello. Thomas Dilello Red Flags & Your Rights As An Investor Of course, Thomas Dilello 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 Dilello at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Thomas Dilello 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 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 LPL Financial LLC Due To Thomas Dilello If you have questions about LPL Financial and/or Thomas Dilello 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

Paul Disantis of Securian Financial Services, Inc.

DID PAUL VICTOR DISANTIS CAUSE YOU INVESTMENT LOSSES? Paul Disantis Formerly With Securian Financial Services, Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Paul Disantis Formerly With Securian Financial Services, Inc.? Paul Disantis (CRD #1277844) who was formerly registered with Securian Financial Services, Inc. and located in Pinehurst, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securian Financial Services, Inc., Paul Disantis was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Paul Disantis Customer Complaint Paul Disantis has been the subject of 2 customer complaints that we know about. Both of Paul Disantis’ customer complaints were settled in favor of investors. Allegations Against Paul Disantis A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Clients have concerns around service/advice they allegedly received from Paul Disantis regarding transfers from annuities to investment advisory account. Client alleged Paul Disantis misrepresented policy at the time of sale. Paul Disantis Red Flags & Your Rights As An Investor Of course, Paul Disantis 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 Paul Disantis at Securian Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Paul Disantis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securian Financial Services, 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 Securian Financial Services, Inc. Due To Paul Disantis If you have questions about Securian Financial Services, Inc. and/or Paul Disantis 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

Steven Dolgin of Janney Montgomery Scott LLC

DID STEVEN ERIC DOLGIN CAUSE YOU INVESTMENT LOSSES? Steven Dolgin of Janney Montgomery Scott LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Steven Dolgin of Janney Montgomery Scott LLC? Steven Dolgin (CRD #1202513) who is currently registered with Janney Montgomery Scott LLC and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Steven Dolgin Customer Complaints Steven Dolgin has been the subject of 3 customer complaints that we know about. One of Steven Dolgin’s 3 customer complaints was settled in favor of investors. Two of Steven Dolgin’s customers complaints were denied and the customers did not take any further action. Allegations Against Steven Dolgin A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged that Steven Dolgin recommended the purchase of securities which were not consistent with his investment objective and risk tolerance and resulted in losses in the client’s account. Client alleged that Steven Dolgin made unsuitable recommendations and material misrepresentations to the client, breached his fiduciary duty and executed trades in the client’s account without her authorization. Customer alleged Steven Dolgin engaged in unauthorized trading the account. Steven Dolgin Red Flags & Your Rights As An Investor Of course, Steven Dolgin 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 Steven Dolgin at Janney Montgomery Scott LLC on alert to review carefully the activity and performance of their accounts and question whether Steven Dolgin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Janney Montgomery Scott 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 Janney Montgomery Scott LLC Due To Steven Dolgin If you have questions about Janney Montgomery Scott LLC and/or Steven Dolgin 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

Scott Doll of LPL Financial LLC

DID SCOTT WILLARD DOLL CAUSE YOU INVESTMENT LOSSES? Scott Doll of LPL Financial LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Scott Doll of LPL Financial LLC? Scott Doll (CRD #1087992) who is currently registered with LPL Financial LLC and located in San Juan Capistrano, California is a subject of one of our many securities industry sales practice abuse investigations. Scott Doll Customer Complaint Scott Doll 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 Scott Doll engaged in unauthorized trading in two accounts. Scott Doll’s customer complaint was settled in favor of the investors. Scott Doll Red Flags & Your Rights As An Investor Of course, Scott Doll 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 Scott Doll at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Scott Doll 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 Scott Doll If you have questions about LPL Financial LLC and/or Scott Doll 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

Charles Doraine of NEXT Financial Group, Inc.

DID CHARLES LAWRENCE DORAINE CAUSE YOU INVESTMENT LOSSES? Charles Doraine Formerly With NEXT Financial Group, Inc. Has 7 Customer Complaints For Alleged Broker Misconduct Who is Charles Doraine formerly with NEXT Financial Group, Inc.? Charles Doraine (CRD #70411) who was formerly registered with NEXT Financial Group, Inc. and located in Corpus Christi, Texas is a subject of one of our many securities industry sales practice abuse investigations. Charles Doraine has had his share of regulatory problems. He has been the subject of two FINRA investigations during his career. He was first suspended and fined for allegedly accepting orders from third party to trade account and did not have written authorization to do so. Recently, he was permanently barred from association with any member firm in any capacity for refusing to give on-the-record testimony in connection with a FINRA investigation of his suspected unsuitable recommendations of short-term trading in mutual fund a shares, short-term trading of Puerto Rico municipal bonds, and overconcentration of customer accounts in Puerto Rico and municipal bonds. Charles Doraine Customer Complaints Charles Doraine has been the subject of 7 customer complaints that we know about. Seven of Charles Doraine’s 7 customer complaints were settled in favor of investors. Allegations Against Charles Doraine A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged that Charles Doraine excessively traded bonds and mutual funds and recommended an unsuitable concentration in Puerto Rican bonds. Clients alleged that Charles Doraine made unauthorized trades, churned and made misrepresentations. Customer alleged that Charles Doraine made in and out mutual fund trades that were unsuitable for a low risk tolerance account. Customers alleged Charles Doraine engaged in improper mutual fund switches, recommended and sold unsuitable variable annuities, and took advantage of the diminished capacity of one of the claimants. Executrix of the estate of customer alleges churning and unsuitable trading by Charles Doraine. Charles Doraine Red Flags & Your Rights As An Investor Of course, Charles Doraine 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 Charles Doraine at NEXT Financial Group, Inc. on alert to review carefully the activity and performance of their accounts and question whether Charles Doraine has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NEXT Financial Group, Inc. 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 NEXT Financial Group, Inc. Due To Charles Doraine If you have questions about NEXT Financial Group, Inc. and/or Charles Doraine 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

Michael Dowell of Morgan Stanley

DID MICHAEL EARL DOWELL CAUSE YOU INVESTMENT LOSSES? Michael Dowell Formerly with Morgan Stanley Has A Customer Complaint for Alleged Broker Misconduct Who is Michael Dowell formerly with Morgan Stanley? Michael Dowell (CRD #839677) who was formerly registered with Morgan Stanley and located in Jackson, Mississippi is a subject of one of our many securities industry sales practice abuse investigations. Michael Dowell Customer Complaint Michael Dowell 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 alleged unsuitable investment recommendations, among other things, with respect to investments in his account Michael Dowell’s customer complaint was denied and the customers did not take any further action. Michael Dowell Red Flags & Your Rights as An Investor Of course, Michael Dowell 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 Michael Dowell at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Michael Dowell 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 Michael Dowell If you have questions about Morgan Stanley, and/or Michael Dowell 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

Jimmy Driggers of Morgan Stanley

DID JIMMY YANG DRIGGERS CAUSE YOU INVESTMENT LOSSES? Jimmy Driggers of Morgan Stanley Has 3 Customer Complaints for Alleged Broker Misconduct Who is Jimmy Driggers of Morgan Stanley? Jimmy Driggers (CRD #1359593) who is currently registered with Morgan Stanley and located in Sarasota, Florida is a subject of one of our many securities industry sales practice abuse investigations. Jimmy Driggers Customer Complaints Jimmy Driggers has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Jimmy Driggers’ 3 customer complaints was settled in favor of investors. One of Jimmy Driggers’ customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against Morgan Stanley for investment losses caused by Jimmy Driggers’ alleged misconduct. Allegations Against Jimmy Driggers 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, among other things unsuitability with respect to alternative investments recommended by Jimmy Driggers. The client alleged that corporate bond purchases by Jimmy Driggers were unsuitable. Claimant alleged that Jimmy Driggers assured him that his investment in Lehman Brothers Structured Notes would be safe and secure, and further alleges that the Lehman Brothers Structured Notes he purchased were misrepresented and unsuitable and that the risk of loss of principal was not properly disclosed to him. Jimmy Driggers Red Flags & Your Rights as An Investor Of course, Jimmy Driggers 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 Jimmy Driggers at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jimmy Driggers 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 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 Jimmy Driggers If you have questions about Morgan Stanley and/or Jimmy Driggers 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

Terrel Eisert of Peak Brokerage Services

DID TERREL ALAN EISERT CAUSE YOU INVESTMENT LOSSES? Terrel Eisert of Peak Brokerage Services and Formerly with SA Stone Wealth Management Has A Customer Complaint for Alleged Broker Misconduct Who is Terrel Eisert of Peak Brokerage Services? Terrel Eisert (CRD #714010) who is currently registered with Peak Brokerage Services and located in Cincinnati, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Peak Brokerage Services, Terrel Eisert was associated with SA Stone Wealth Management, SA Stone Investment Advisors, and 15 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Terrel Eisert Customer Complaint Terrel Eisert 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 are a misrepresentation. The customer complaint filed against Terrel Eisert’s current employer Peak Brokerage Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Terrel Eisert Red Flags & Your Rights as An Investor Of course, Terrel Eisert 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 Terrel Eisert at Peak Brokerage Services, SA Stone Wealth Management and SA Stone Investment Advisors on alert to review carefully the activity and performance of their accounts and question whether Terrel Eisert has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Peak Brokerage Services, SA Stone Wealth Management, and SA Stone Investment 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 Peak Brokerage Services Due to Terrel Eisert If you have questions about Peak Brokerage Services, SA Stone Wealth Management, SA Stone Investment Advisors, and/or Terrel Eisert 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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