Jan 20, 2022

Douglas Hyer of First Allied Securities, Inc

DID DOUGLAS KEITH HYER CAUSE YOU INVESTMENT LOSSES? Douglas Keith Hyer with First Allied Securities, Inc. Has 4 Customer Complaints for Alleged Broker Misconduct Who is Douglas K. Hyer with First Allied Securities, Inc.? Douglas Hyer (CRD #254358) who is currently registered with First Allied Securities, Inc. and located in Great Neck, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Allied Securities, Inc., Douglas Hyer was associated with 10 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. First Allied Securities, Inc. Broker Misconduct In his career, Douglas Hyer has been the subject of 4 customer complaints that we know about, one of those complaints were filed in the last 2 years to recover investment losses. Two of Douglas Hyer’s customer complaints were settled in favor of investors.  The other 2 complaints were denied by Douglas Hyer’s former employers and the customers took no further action Allegations Against Douglas Hyer A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Clients in separate customer complaints alleged unsuitable investment recommendations related to mutual fund investments. The claimant alleged that Douglas Hyer made unsuitable investment recommendations and churned his account and further made recommendations to avoid breakpoints and lower the commissions for the customer.  The claimant alleged that the financial advisor recommended unsuitable alternative investments. Douglas Hyer Red Flags & Your Rights as An Investor Of course, Douglas Hyer 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 Hyer at First Allied Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Douglas Hyer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Allied Securities, Inc. about Douglas Hyer 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 First Allied Securities, Inc.   If you have questions about First Allied Securities, Inc. and/or Douglas Hyer 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

Jason Jaynes of Wells Fargo Clearing Services, LLC

DID JASON RYAN JAYNES CAUSE YOU INVESTMENT LOSSES? Jason Ryan Jaynes Of Wells Fargo Clearing Services, LLC And Formerly with Merrill, Lynch, Pierce, Fenner & Smith, Inc. Was Recently Named in A Customer Complaint for Alleged Broker Misconduct Who is Jason R. Jaynes with Wells Fargo Clearing Services, LLC? Jason Jaynes (CRD #5555100) who is currently registered with Wells Fargo Clearing Services, LLC and located in Plano, Texas is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Wells Fargo Clearing Services, LLC, Jason Jayneswas associated with Merrill Lynch, Pierce, Fenner, & Smith Incorporated and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Merrill, Lynch, Pierce, Fenner & Smith Broker Misconduct Jason Jaynes was recently named as the subject of an arbitration claim filed against his former employer, Merrill, Lynch, Pierce, Fenner, & Smith. The claim was filed in August last year to recover investment losses.   The allegations are that Jason Jaynes made unsuitable investment recommendations to a client to invest in commodity futures in commodity options transactions. The claim filed against Jason Jaynes’ former employer Merrill, Lynch, Pierce, Fenner, & Smith for investment losses caused by his alleged misconduct.  Jason Jaynes Red Flags & Your Rights as An Investor Of course, Jason Jaynes 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 Jason Jaynes at Wells Fargo Clearing Services, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Jason Jaynes 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 Clearing Services, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated, which 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 Merrill, Lynch, Pierce, Fenner & Smith If you have questions about Wells Fargo Clearing Services, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Jason Jaynes 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 Neumann of Cambridge Investment Research, Inc

DID DAVID ROBERT NEUMANN CAUSE YOU INVESTMENT LOSSES? David Robert Neumann Of Cambridge Investment Research, Inc. Was Recently Named in Customer Complaint for Alleged Broker Misconduct Who is David R. Neumann with Cambridge Investment Research, Inc.? David Neumann (CRD #6290456) who is currently registered with Cambridge Investment Research, Inc. and located in Altoona, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Cambridge Investment Research, Inc., David Neumann was associated with Morgan Stanley and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cambridge Investment Research, Inc. Broker Misconduct David Neumann was recently identified as the subject of customer complaints in an arbitration claim filed against Cambridge Investment Research, Inc. in August last year to recover investment losses.  It was alleged in the arbitration claim that David Neumann recommended and sold unsuitable alternative, illiquid, and complex investment products, including variable annuities, direct investments in limited partnership interests, mutual funds, in the oil and gas in real estate sectors.  The arbitration claim filed against David Neumann’s current employer Cambridge Investment Research, Inc. for investment losses caused by his alleged misconduct is still pending. David Neumann Red Flags & Your Rights as An Investor Of course, David Neumann 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 Neumann at Cambridge Investment Research, Inc. and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether David Neumann has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Cambridge Investment Research, Inc. and Morgan Stanley which 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 Cambridge Investment Research, Inc. If you have questions about Cambridge Investment Research, Inc., Morgan Stanley, and/or David Neumann 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

Gerald Repasz of Ausdal Financial Partners, Inc

DID GERALD LEE REPASZ CAUSE YOU INVESTMENT LOSSES? Gerald Lee Repasz Formerly with Ausdal Financial Partners, Inc. And Berthel, Fisher & Company Financial Services, Inc. Has 6 Customer Complaints for Alleged Broker Misconduct Who is Gerald L. Repasz formerly with Ausdal Financial Partners and Berthel, Fisher & Company Financial Services? Gerald Repasz (CRD #1273452) who was formerly registered with Ausdal Financial Partners, Inc. and located in East Peoria, Illinois is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Ausdal Financial Partners, Inc., Gerald Repasz was associated with Berthel, Fisher & Company Financial Services, Inc., and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ausdal Financial Partners and Berthel, Fisher & Company Financial Services Broker Misconduct In his career, Gerald Repasz has been the subject of 6 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. Two of Gerald Repasz’s 6 customer complaints were settled in favor of investors. There is currently one pending customer complaints filed against Gerald Repasz’s former employer Ausdal Financial Partners, Inc., and with Berthel, Fisher & Company Financial Services, Inc. for investment losses caused by his alleged misconduct. Allegations Against Gerald Repasz A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleged Gerald Repasz made unsuitable investment recommendations to invest in UDF III and IV, and Behringer Harvard REIT. The client alleged that the financial advisor made unsuitable investment recommendations and misrepresented alternative investments he sold. The customer alleged that the stockbroker misrepresented to surrender fees of a variable annuity product. Claimants alleged that Gerald Repasz recommended unsuitable investments and falsified their net worth on applications to justify the sales. Gerald Repasz Red Flags & Your Rights as An Investor Of course, Gerald Repasz 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 Gerald Repasz at Ausdal Financial Partners, Inc. and Berthel, Fisher & Company Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Gerald Repasz has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Ausdal Financial Partners, Inc. and Berthel, Fisher & Company Financial Services, Inc. which 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 Ausdal Financial Partners, Inc. And Berthel, Fisher & Company Financial Services If you have questions about Ausdal Financial Partners, Inc., Berthel, Fisher & Company Financial Services, Inc., and/or Gerald Repasz 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

Deborah Shuster of Cambridge Investment Research, Inc

DID DEBORAH SHUSTER CAUSE YOU INVESTMENT LOSSES? Deborah Shuster Formerly with Cambridge Investment Research, Inc. Has A Recent Customer Complaint for Alleged Broker Misconduct Who is Deborah Shuster formerly with Cambridge Investment Research, Inc.? Deborah Shuster (CRD #5551868) who was formerly registered with Cambridge Investment Research, Inc. and located in Altoona, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Cambridge Investment Research, Inc., Deborah Shuster has associated with2other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cambridge Investment Research, Inc. Broker Misconduct Deborah Shuster has been named as the subject of a customer complaint filed against Cambridge Investment Research, Inc. in August last year to recover investment losses.  The claimant, in that case, alleged that Deborah Shuster offered and sold alternative, illiquid and complex investment products in the oil and gas, and real estate sectors, which were unsuitable investments. The products included variable annuities and direct investments. The customer complaint filed against Deborah Shuster’s former employer Cambridge Investment Research, Inc. for investment losses caused by her alleged misconduct remains pending. Deborah Shuster Red Flags & Your Rights as An Investor Of course, Deborah Shuster 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 Deborah Shuster at Cambridge Investment Research, Inc. on alert to review carefully the activity and performance of their accounts and question whether Deborah Shuster has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Cambridge Investment Research, Inc. which 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 Cambridge Investment Research, Inc. If you have questions about Cambridge Investment Research, Inc. and/or Deborah Shuster 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

Christopher Tolmacs of Triad Advisors, Inc

DID CHRISTOPHER THOMAS TOLMACS CAUSE YOU INVESTMENT LOSSES? Christopher Thomas Tolmacs formerly with Triad Advisors, Inc. Has 12 Customer Complaints for Alleged Broker Misconduct Who is Christopher T. Tolmacs formerly with Triad Advisors, Inc.? Christopher Tolmacs (CRD #4648724) who was formerly registered with Triad Advisors, Inc. and located in Portage, Michigan is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Triad Advisors, Inc., Christopher Tolmacs was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Christopher Tolmacs has had his own problems with the regulators.  In 2016, the State of Michigan revoked his license and fined him $50,000 for allegedly willfully violating the Michigan Securities Act, impeding an examination of the Triad Branch Office, and engaging in dishonest and unethical business practices.  Later, he was suspended by FINRA for failing to pay an arbitration award. And then, Christopher Tolmacs allegedly refused to appear and give testimony to FINRA during the course of an ongoing FINRA investigation into whether he entered into lending arrangements with several of his customers through the issuance of promissory notes, and he was permanently barred from association with any FINRA member firm in any capacity. Triad Advisors, Inc. Broker Misconduct In his career, Christopher Tolmacs has been the subject of 12 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses.  In 2016, he was found liable and ordered to pay the claimants in an arbitration proceeding of $1.2 million.  Based upon the panel’s finding of negligence, gross negligence, breach of fiduciary duty, willful and wanton misconduct, conversion of funds, securities fraud, and in addition, ordered to pay $300,000 in punitive damages based upon his willful and wanton misconduct, including the conversion of funds and securities.  Ten of Christopher Tolmacs’ 12 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Christopher Tolmacs’ former employer Triad Advisors, Inc. for investment losses caused by his alleged misconduct. Allegations Against Christopher Tolmacs 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 money provided to Christopher Tolmacs for investment were converted by him for his own use. Claimants alleged that the financial advisor recommended unsuitable alternative investments involving equipment leasing and other business development companies and further that they loaned him money that was not repaid. Claimants alleged that Christopher Tolmacs made unsuitable investment recommendations for their retirement assets in exchange-traded funds in business development companies. Conversion of funds. Claimants alleged unsuitable investment recommendations involving mutual funds, and oil and gas, and real estate partnerships. Claimants made loans to Christopher Tolmacs and exchange received promissory notes that were never repaid. The claimant alleged unsuitable investment recommendations to concentrate the assets of an individual retirement account in illiquid, high commission, private placement investments. Christopher Tolmacs Red Flags & Your Rights as An Investor Of course, Christopher Tolmacs 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 Christopher Tolmacs at Triad Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Tolmacs has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Triad Advisors, 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 Triad Advisors, Inc. If you have questions about Triad Advisors, Inc. and/or Christopher Tolmacsand 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

Christopher Fallon of MML Investors Services, LLC

DID CHRISTOPHER MICHAEL FALLON CAUSE YOU INVESTMENT LOSSES? Christopher Michael Fallon Of MML Investors Services, LLC And Formally with MSI Financial Services, Inc. Has A Customer Complaints for Alleged Broker Misconduct in The Past Year Who is Christopher M. Fallon with MML Investors Services, LLC? Christopher Fallon (CRD #5096384) who is currently registered with MML Investors Services, LLC and located in Newtown Square, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.   Prior to MML Investors Services, LLC, Christopher Fallon was associated with MSI Financial Services, Inc. and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. MSI Financial Services, Inc. Broker Misconduct Christopher Fallon has been recently identified as the subject of a customer complaint filed in the last year against his former employer MSI Financial Services, Inc. to recover investment losses. The allegations are that Christopher Fallon made unsuitable investment recommendations to the customer to invest in a REIT that was supposedly limited to investments by accredited investors only, which he states he was not. The customer complaint filed against Christopher Fallon’s former employer MSI Financial Services, Inc. for investment losses caused by his alleged misconduct is still pending.  Christopher Fallon Red Flags & Your Rights as An Investor Of course, Christopher Fallon 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 Christopher Fallon at MML Investors Services, LLC and MSI Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Fallon has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at MML Investors Services, LLC and MSI Financial Services, Inc. which 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 MML Investors Services, LLC And MSI Financial Services, Inc. If you have questions about MML Investors Services, LLC, MSI Financial Services, Inc., and/or Christopher Fallon 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

Christopher Fernan of Salomon Whitney Financial

DID CHRISTOPHER ANTHONY FERNAN CAUSE YOU INVESTMENT LOSSES? Christopher Anthony Fernan Formerly with Salomon Whitney Financial Has 6 Customer Complaints for Alleged Broker Misconduct Who is Christopher A. Fernan formerly with Salomon Whitney Financial? Christopher Fernan (CRD #5896584) 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.   Prior to Salomon Whitney Financial, Christopher Fernan was associated with Rockwell Global Capital LLC and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Christopher Fernan has had his own problem with the authorities and law.  He was once criminally convicted for assault with intent to rob a victim.  In October 2020, Christopher Fernan entered into an agreement with FINRA that he refused to appear for and-the-record testimony requested by FINRA as part of an investigation into a customer complaint and was permanently barred from any further association with any member firm in any capacity in the future. Salomon Whitney Financial Broker Misconduct In his career, Christopher Fernan has been the subject of 6 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Last year an arbitration award was entered against his former employer Salomon Whitney Financial for his alleged misconduct causing investors losses.  Two of Christopher Fernan’s other customer complaints were settled in favor of investors. Three customer complaints were denied by his former employer’s in the customers did not take any further action. There is currently one pending customer complaint filed against Christopher Fernan’s former employer Freedom Investors Corp. for investment losses caused by his alleged misconduct. Allegations Against Christopher Fernan 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 Christopher Fernan violated FINRA Rules  2110, 2120, 2111, and 3010 in connection with options trading. The client alleged that the broker guaranteed the account against losses and would pay her back but failed to do so. The client claims to have loaned Christopher Fernan monies which he only partially repaid. The client alleged that Christopher Fernan made unsuitable option transactions in his account. The claimant alleged fraud, deceptive practices, breach of fiduciary duty, breach of contract, and negligence related to stock and options trading. The client alleged fraud, excessive trading or churning, unauthorized trading, breach of fiduciary duty, unsuitable investment recommendations, and breach of contract in connection with stock and options transactions. The customer alleged and proved in an arbitration proceeding his allegations that Christopher Fernan engaged in stockbroker misconduct which resulted in an arbitration award in the investor’s favor. Christopher Fernan Red Flags & Your Rights as An Investor Of course, Christopher Fernan 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 Christopher Fernan at Salomon Whitney Financial and Rockwell Global Capital LLC on alert to review carefully the activity and performance of their accounts and question whether Christopher Fernan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Salomon Whitney Financial and Rockwell Global Capital LLC about Christopher Fernan 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 Salomon Whitney Financial and Rockwell Global Capital, LLC If you have questions about Salomon Whitney Financial, Rockwell Global Capital, LLC and/or Christopher Fernan, 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

Christopher Fess of KCD Financial, Inc

DID CHRISTOPHER CHARLES FESS CAUSE YOU INVESTMENT LOSSES? Christopher Charles Fess with KCD Financial, Inc. Has 5 Customer Complaints for Alleged Broker Misconduct Who is Christopher C. Fess with KCD Financial, Inc.? Christopher Fess (CRD #1335361) who is currently registered with KCD Financial, Inc. and located in Frisco, Texas is a subject of one of our many securities industry sales practice abuse investigations.   Prior to KCD Financial, Inc., Christopher Fess was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. KCD Financial, Inc. Broker Misconduct In his career, Christopher Fess has been the subject of 5 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. Three of Christopher Fess’ 5 customer complaints were settled in favor of investors. There are currently one pending customer complaint filed against Christopher Fess’ current employer KCD Financial, Inc. for investment losses caused by his alleged misconduct. Allegations Against Christopher Fess 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 Christopher Fess recommended illiquid investments in the real estate sector which were unsuitable investment recommendations. Claimants allege that variable annuity policies sold to them were misrepresented. The claimant alleged that Christopher Fess made unsuitable investment recommendations and committed fraud and negligence in connection with the offer and sale of mutual fund investments. The claimant alleged that the variable annuity offered and sold to him was misrepresented and an unsuitable investment recommendation. Christopher Fess Red Flags & Your Rights as An Investor Of course, Christopher Fess 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 Christopher Fess at KCD Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Fess has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at KCD Financial, Inc. which 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 KCD Financial, Inc. If you have questions about KCD Financial, Inc. and/or Christopher Fessand 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

Christopher Larochelle of DFPG Investments, LLC

DID CHRISTOPHER KINGSLEY LAROCHELLE CAUSE YOU INVESTMENT LOSSES? Christopher Kingsley Larochelle Of DFPG Investments, LLC And Formally with First Allied Securities, Inc. Has Had Customer Complaints for Alleged Broker Misconduct in The Past Year Who is Christopher K. Larochelle with DFPG Investments, LLC? Christopher Larochelle (CRD #4883462) who is currently registered with DFPG Investments, LLC and located in Round Rock, Texas is a subject of one of our many securities industry sales practice abuse investigations.   Prior to DFPG Investments, LLC, Christopher Larochelle was associated with First Allied Securities, Inc. and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. DFPG Investments, LLC Broker Misconduct Christopher Larochelle has been identified as the subject of a customer complaint made in the last year to recover investment losses. The client alleged mishandling of his account and misrepresentation of a REIT investment. The complaint was recently denied and the customer has not yet filed an arbitration claim for that alleged misconduct. Christopher Larochelle Red Flags & Your Rights as An Investor Of course, Christopher Larochelle 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 Christopher Larochelle on alert to review carefully the activity and performance of their accounts and question whether Christopher Larochelle has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at DFPG Investments, LLC and First Allied Securities, Inc. which 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 DFPG Investments, LLC If you have questions about DFPG Investments, LLC, First Allied Securities, Inc., and/or Christopher Larochelleand 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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