Jan 20, 2022

Richard Elkin of Oppenheimer Co

DID RICHARD ELKIN CAUSE YOU INVESTMENT LOSSES? Richard Elkin of Oppenheimer Co. Has 3 Customer Complaint for Alleged Broker Misconduct Who is Richard Elkin of Oppenheimer Co.? Richard Elkin (CRD #709135) who is currently registered with Oppenheimer Co.and located in Princeton, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Richard Elkin Customer Complaints Richard Elkin 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. One of Richard Elkin’s 3 customer complaints was settled in favor of investors. One of Richard Elkin’s 3 customers’ complaints was denied and the customers did not take any further action. The customer complaint filed against Richard Elkin’s current employer Oppenheimer Co. for investment losses caused by the alleged misconduct is pending as of the date of this report. Allegations Against Richard Elkin 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 security was unsuitable and misrepresented by Richard Elkin. Claimants alleged Negligence, Breach of Duty, Fraud, and Breach of Contract by Richard Elkin. Richard Elkin Red Flags & Your Rights as An Investor Of course, Richard Elkin did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Richard Elkin at Oppenheimer Co. on alert to review carefully the activity and performance of their accounts and question whether Richard Elkin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer Co. 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 Oppenheimer Co. Due to Richard Elkin If you have questions about Oppenheimer Co. and/or Richard Elkin 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 Everett of Ameriprise Financial Services

DID DOUGLAS KARL EVERETT CAUSE YOU INVESTMENT LOSSES? Douglas Everett of Ameriprise Financial Services and Formerly with Voya Financial Advisors Has 6 Customer Complaints for Alleged Broker Misconduct Who is Douglas Everett of Ameriprise Financial Services? Douglas Everett (CRD #1295057) who is currently registered with Ameriprise Financial Services and located in Portland, Oregon is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, Douglas Everett was associated with Voya Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Douglas Everett Customer Complaints Douglas Everett has been the subject of 6 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of Douglas Everett’s 6 customer complaints were settled in favor of investors. Three of Douglas Everett’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Douglas Everett A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Clients alleged Douglas Everett was making risky transactions that were not done with their approval and not in line with their risk tolerance, along with his inability to monitor the market and not being available to make transactions. The customer alleged Douglas Everett gave poor advice surrounding the purchase and sale of HFRO mutual fund. The customer alleged Douglas Everett provided poor advice by recommending a high-risk investment. The client alleged that Douglas Everett failed to promptly process the signed documentation establishing accounts at American Express and requesting the distribution of funds which caused financial damage. Douglas Everett Red Flags & Your Rights as An Investor Of course, Douglas Everett 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 Everett at Ameriprise Financial Services and Voya Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Douglas Everett has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Ameriprise Financial Services and Voya Financial Advisors also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses at Ameriprise Financial Services Due to Douglas Everett If you have questions about Ameriprise Financial Services, Voya Financial Advisors, and/or Douglas Everett 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

Brett Everhart of Raymond James Financial Services

DID BRETT WILSON EVERHART CAUSE YOU INVESTMENT LOSSES? Brett Everhart of Raymond James Financial Services Has 2 Customer Complaints for Alleged Broker Misconduct Who is Brett Everhart of Raymond James Financial Services? Brett Everhart (CRD #1036050) who is currently registered with Raymond James Financial Services and Raymond James Financial Services Advisors and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations. Brett Everhart Customer Complaints Brett Everhart has been the subject of 2 customer complaints that we know about.  Both of Brett Everhart’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Brett Everhart A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client alleged Brett Everhart’s sale of equity position was unauthorized. The client alleged terms of joint income rider were misrepresented at the point of sale by Brett Everhart. Brett Everhart Red Flags & Your Rights as An Investor Of course, Brett Everhart 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 Brett Everhart at Raymond James Financial Services and Raymond James Financial Services Advisors on alert to review carefully the activity and performance of their accounts and question whether Brett Everhart has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Raymond James Financial Services and Raymond James Financial Services 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 Raymond James Financial Services Due to Brett Everhart If you have questions about Raymond James Financial Services, Raymond James Financial Services Advisors, and/or Brett Everhart 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

Floyd Ewing of Equitable Advisors

DID FLOYD TALMADGE EWING CAUSE YOU INVESTMENT LOSSES? Floyd Ewing of Equitable Advisors Has A Customer Complaint for Alleged Broker Misconduct Who is Floyd Ewing of Equitable Advisors? Floyd Ewing (CRD #802876) 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. Floyd Ewing Customer Complaint Floyd Ewing 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 client alleges the variable annuity sold to him is not suitable for his needs. Floyd Ewing’s customer complaint was denied and the customers did not take any further action. Floyd Ewing Red Flags & Your Rights as An Investor Of course, Floyd Ewing 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 Floyd Ewing at Equitable Advisors on alert to review carefully the activity and performance of their accounts and question whether Floyd Ewing 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 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 Due to Floyd Ewing If you have questions about Equitable Advisors and/or Floyd Ewing 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 Fair of Davenport & Company

DID DANIEL JEROME FAIR CAUSE YOU INVESTMENT LOSSES? Daniel Fair of Davenport & Company Has 2 Customer Complaints for Alleged Broker Misconduct Who is Daniel Fair of Davenport & Company? Daniel Fair (CRD #722195) who is currently registered with Davenport & Company and located in Roanoke, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Daniel Fair Customer Complaint Daniel Fair has been the subject of 2 customer complaints that we know about. One of Daniel Fair’s 2 customers’ complaints was denied and the customers did not take any further action. The customer complaint filed against Daniel Fair’s current employer Davenport & Company for investment losses caused by the alleged misconduct is pending as of the date of this report. Allegations Against Daniel Fair A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client alleged unsuitable and non-diversified investment recommendations by Daniel Fair. The customer filed a claim against Daniel Fair and firm (JCB) alleging unauthorized & excessive trade in his account.  The customer also alleged his account was wrongfully liquidated in response to margin calls. Daniel Fair Red Flags & Your Rights as An Investor Of course, Daniel Fair 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 Fair at Davenport & Company on alert to review carefully the activity and performance of their accounts and question whether Daniel Fair has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Davenport & Company 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 Davenport & Company Due to Daniel Fair If you have questions about Davenport & Company, and/or Daniel Fair 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

Richard Bernstein of Wells Fargo Clearing Services, LLC

DID RICHARD JAY BERNSTEIN CAUSE YOU INVESTMENT LOSSES? Richard Jay Bernstein with Wells Fargo Clearing Services, LLC Has 8 Customer Complaints For Alleged Broker Misconduct Who is Richard J. Bernstein with Wells Fargo Clearing Services, LLC? Richard Bernstein (CRD #1113777) who is currently registered with Wells Fargo Clearing Services, LLC and located in Incline Village, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Richard Bernstein was associated with Morgan Stanley and 9 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wells Fargo And Morgan Stanley Broker Misconduct In his career, Richard Bernstein has been the subject of 8 customer complaints that we know about, 1 of those complaints were filed in the last year to recover investment losses. Two of those customer cases proceeded through an arbitration and an award was entered in their favor. Four of Richard Bernstein’s 8 customer complaints were settled by Wells Fargo, Morgan Stanley, and UBS Financial Services, Inc. in favor of investors. The 2 other customer complaints were denied by his former employer UBS Financial Services, Inc. and the customer took no further action. Allegations Against Richard Bernstein A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged unsuitable investments and unauthorized trading in breach of Richard Bernstein’s fiduciary duties which resulted in an arbitration award in the investor’s favor. Customer alleged and proved excessive and unauthorized trading in an arbitration hearing and received an award for his damages. Claimant alleged unsuitable investment recommendations. Claimant alleged that Richard Bernstein made unauthorized transactions which conflicted with his stated, investment goals. Customer complaints related to the sale of auction rate securities. Client alleged that the financial advisor purchase a higher risk mutual fund without his permission. Client alleged unsuitable investment recommendations and overconcentration in the financial sector despite instructions to avoid market risk and to preserve capital. Richard Bernstein Red Flags & Your Rights As An Investor Of course, Richard Bernstein 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 Richard Bernstein at Wells Fargo Clearing Services, LLC and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Richard Bernstein has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC and Morgan Stanley 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 Clearing Services, LLC And Morgan Stanley If you have questions about Wells Fargo Clearing Services, LLC, Morgan Stanley and/or Richard Bernstein 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

Robert Jennis of Securian Financial Services, Inc.

DID ROBERT J. JENNIS CAUSE YOU INVESTMENT LOSSES? Robert J. Jennis Of Securian Financial Services, Inc. , and Formerly With New England Securities Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Robert J. Jennis with Securian Financial Services, Inc.? Robert Jennis (CRD #4161684) who is currently registered with Securian Financial Services, Inc. and located in Jacksonville, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securian Financial Services, Inc., Robert Jennis was associated with Metlife Securities Inc. and New England Securities, two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Securian Financial Services, Inc. And New England Securities Broker Misconduct In his career, Robert Jennis has been the subject of 5 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. One of Robert Jennis’ 5 customer complaints was settled in favor of investors. There is currently 1 pending customer complaint filed against Robert Jennis’ current employer Securian Financial Services, Inc. for investment losses caused by his alleged misconduct. Allegations Against Robert Jennis A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged that he advised Robert Jennis that he wanted a fixed annuity and instead a financial advisor purchased a variable annuity. Customer alleged that Robert Jennis misrepresented variable annuity contracts. Customer alleged that the financial advisor made an unsuitable recommendation of a variable annuity. Customer alleged that Robert Jennis purchased a variable annuity for him even though he told the financial advisor. He knew the liquidity within 3 to 5 years and the contract did not provide same. Robert Jennis Red Flags & Your Rights As An Investor Of course, Robert Jennis did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Robert Jennis at Securian Financial Services, Inc., Metlife Securities Inc., and New England Securities on alert to review carefully the activity and performance of their accounts and question whether Robert Jennis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securian Financial Services, Inc. and New England Securities 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 Securian Financial Services, Inc. And New England Securities If you have questions about Securian Financial Services, Inc., Metlife Securities Inc., New England Securities and/or Robert Jennis 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

Richard Kaplan of Legacy Asset Securities, Inc.

DID RICHARD E. KAPLAN CAUSE YOU INVESTMENT LOSSES? Richard E. Kaplan formerly with Legacy Asset Securities, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Richard E. Kaplan formerly with Legacy Asset Securities, Inc.? Richard Kaplan (CRD #2944041) who was formerly registered with Legacy Asset Securities, Inc. and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Legacy Asset Securities, Inc., Richard Kaplan was associated with another investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Legacy Asset Securities, Inc. Broker Misconduct In his career, Richard Kaplan has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. Both customer complaints filed against Richard Kaplan’s former employer Legacy Asset Securities, Inc. for investment losses caused by his alleged failure to supervise and are currently pending.  Allegations Against Richard Kaplan A sample of the allegations made in the FINRA reported arbitration claim and pending complaints for investment losses are as follows: Two groups of customers and separate arbitration proceedings made allegations against supervisors of a broker named William Hightower. It alleges that Richard Kaplan and others failed to supervise William Hightower. Richard Kaplan Red Flags & Your Rights As An Investor Of course, Richard Kaplan 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 Richard Kaplan at Legacy Asset Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Richard Kaplan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Legacy Asset Securities, Inc. about William Hightower raises legitimate questions about Kaplan and others 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 Legacy Asset Securities, Inc. If you have questions about Legacy Asset Securities, Inc. and/or Richard Kaplan 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

Rodrigue Lors of Wilmington Capital Securities, LLC

DID RODRIGUE LORS CAUSE YOU INVESTMENT LOSSES? Rodrigue Lors Of Wilmington Capital Securities, LLC And Formally With National Securities Corp. Has 3 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Rodrigue Lors with Wilmington Capital Securities, LLC? Rodrigue Lors (CRD #4379214) who is currently registered with Wilmington Capital Securities, LLC and located in Westbury, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wilmington Capital Securities, LLC, Rodrigue Lors was associated with National Securities Corporation and another investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wilmington Capital Securities, LLC And National Securities Corp. Broker Misconduct In his career, Rodrigue Lors has been the subject of 5 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Three of the customer complaints were denied by his former employer’s in the customers did not pursue any further action. There are currently 2 pending customer complaints filed against Rodrigue Lors’ former employer, National Securities Corp. for investment losses caused by his alleged misconduct. Allegations Against Rodrigue Lors A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged failure to follow instructions and unauthorized transactions. Customer alleged unauthorized trading in stocks. Two Claimants and separate arbitration proceedings have alleged unsuitable investment recommendations to purchase private placements. Rodrigue Lors Red Flags & Your Rights As An Investor Of course, Rodrigue Lors 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 Rodrigue Lors at Wilmington Capital Securities, LLC, National Securities Corporation and GunnAllen Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Rodrigue Lors has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wilmington Capital Securities, LLC and National Securities Corporation 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 Wilmington Capital Securities, LLC And National Securities Corporation If you have questions about Wilmington Capital Securities, LLC, National Securities Corporation, GunnAllen Financial, Inc. and/or Rodrigue Lors 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

Benjamin Barbour of Kalos Capital, Inc.

DID BENJAMIN PAUL BARBOUR CAUSE YOU INVESTMENT LOSSES? Benjamin Paul Barbour with Kalos Capital, Inc. Has A Customer Complaint For Alleged Broker Misconduct In the Past Year Who is Benjamin P. Barbour with Kalos Capital, Inc.? Benjamin Barbour (CRD #5948847) who is currently registered with Kalos Capital, Inc. and located in Reston, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kalos Capital, Inc., Benjamin Barbour was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kalos Capital, Inc. Broker Misconduct There is currently one pending customer complaint filed against Benjamin Barbour’s current employer Kalos Capital, Inc. for investment losses caused by his alleged misconduct. The customer alleged in May 2020 that Benjamin Barbour made unsuitable investment recommendation to invest in a direct investment involving real estate related securities. Benjamin Barbour Red Flags & Your Rights As An Investor Of course, Benjamin Barbour does not admit to any of the allegations. But regardless of whether an arbitration award is entered, a settlement occurs, or the customer complaint is still pending, the allegations made by the customer are red flags which should put all current and former customers of Benjamin Barbour at Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether Benjamin Barbour has engaged in any stockbroker misconduct that may have caused them investment losses. 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 Kalos Capital, Inc. If you have questions about Kalos Capital, Inc. and/or Benjamin Barbour 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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