Jan 20, 2022

Cara Miller of Mariner Wealth Advisors

DID CARA MICHELLE MILLER CAUSE YOU INVESTMENT LOSSES? Cara Michelle Miller Of Mariner Wealth Advisors Has One Customer Complaint For Alleged Broker Misconduct Who is Cara M. Miller of Mariner Wealth Advisors? Cara Miller (CRD #4521819) who is currently registered with Mariner Wealth Advisors and located in Rapid City, South Dakota is a subject of one of our many securities industry sales practice abuse investigations. Prior to Mariner Wealth Advisors, Cara Miller was associated with Honkamp Krueger Financial Services and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cara Miller Customer Complaint In her career, Cara Miller has been the subject of one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses are unsuitable investments and failure of firm to perform due diligence. This complaint was settled in favor of investors. Cara Miller Red Flags & Your Rights As An Investor Of course, Cara Miller 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 Cara Miller at Mariner Wealth Advisors on alert to review carefully the activity and performance of their accounts and question whether Cara Miller has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Mariner Wealth Advisors which 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 Mariner Wealth Advisors If you have questions about Mariner Wealth Advisors and/or Cara Miller 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 Ramsey of Waddell Reed

DID BRETT MATTHEW RAMSEY CAUSE YOU INVESTMENT LOSSES? Brett Matthew Ramsey Of Waddell Reed Has 2 Customer Complaints For His Alleged Broker Misconduct Who is Brett M. Ramsey of Waddell Reed? Brett Ramsey (CRD #4590083) who is currently registered with Waddell Reed and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to Waddell Reed, Brett Ramsey was associated with Sheridan Road and 10 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brett Ramsey Customer Complaints In his career, Brett Ramsey has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. One of Brett Ramsey’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against WFG Investments for investment losses caused by Brett Ramsey’s alleged misconduct. Allegations Against Brett Ramsey A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege failure to conduct adequate due diligence into a private placement investment they purchased, prior to offering it for sale to its customers. Claimants allege that the product sponsor committed fraud and eventually caused them monetary loss. Claimant alleges failure to conduct adequate due diligence, resulting in an unsuitable recommendation. The allegations are a result of securities purchases by the Claimant based upon the recommendations and assertions made by Brett Ramsey, who is not a named party to the arbitration. Brett Ramsey Red Flags & Your Rights As An Investor Of course, Brett Ramsey 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 Brett Ramsey at Waddell Reed on alert to review carefully the activity and performance of their accounts and question whether Brett Ramsey has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Waddell & Reed which 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 Waddell Reed If you have questions about Waddell Reed and/or Brett Ramsey 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

Brian Roth of Newbridge Securities Corporation

DID BRIAN ROBERT ROTH CAUSE YOU INVESTMENT LOSSES? Brian Robert Roth Of Newbridge Securities Corporation Has 3 Customer Complaints For Alleged Broker Misconduct Who is Brian R. Roth of Newbridge Securities Corporation? Brian Roth (CRD #4607595) who is currently registered with Newbridge Securities Corporation and located in Chester, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Newbridge Securities Corporation, Brian Roth was associated with Aeon Capital and 13 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brian Roth Customer Complaints In his career, Brian Roth has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. Three of Brian Roth’s 3 customer complaints were settled in favor of investors. Allegations Against Brian Roth A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Breach of fiduciary duty, violation of FINRA rules, breach of contract and negligence, negligent supervision of Brian Roth. Customer alleges Brian Roth engaged in excessive trading, unauthorized trading and misrepresentation. Claimaint alleges unauthorized trading and churning by Brian Roth. Brian Roth Red Flags & Your Rights As An Investor Of course, Brian Roth 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 Brian Roth at Newbridge Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Brian Roth has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Newbridge Securities Corporation which 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 Newbridge Securities Corporation If you have questions about Newbridge Securities Corporation and/or Brian Roth 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

Brendan Shaw of Integrated Advisors Network

DID BRENDAN PATRICK SHAW CAUSE YOU INVESTMENT LOSSES? Brendan Patrick Shaw Formerly With Integrated Advisors Network Has 3 Customer Complaints For Alleged Broker Misconduct Who is Brendan P. Shaw formerly with Integrated Advisors Network? Brendan Shaw (CRD #4721215) who was formerly registered with Integrated Advisors Network and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to Integrated Advisors Network, Brendan Shaw was associated with Purshe Kaplan Sterling Investments and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brendan Shaw Customer Complaints In his career, Brendan Shaw has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. There are currently 3 pending customer complaints filed against Purshe Kaplan Sterling Investments for investment losses caused by Brendan Shaw’s alleged misconduct. Allegations Against Brendan Shaw A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Fraudulent, unsuitable and excessive trading in client’s advisory accounts by Brendan Shaw at an unaffiliated RIA firm. Fraudulent and excessive trading in brokerage accounts held at TD Ameritrade and managed by Thomson Financial Advisors LLC, an investment advisory firm with which Mr. Shaw was associated. Claimants allege churning, lack of proper supervision, unsuitable investments and use of manipulative, deceptive, and fraudulent actions by Brendan Shaw to induce claimants to open line of credit. Brendan Shaw Red Flags & Your Rights As An Investor Of course, Brendan Shaw 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 Brendan Shaw at Integrated Advisors Network on alert to review carefully the activity and performance of their accounts and question whether Brendan Shaw has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Integrated Advisors Network which 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 Integrated Advisors Network If you have questions about Integrated Advisors Network and/or Brendan Shaw 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

Brian Jackson of Wells Fargo Clearing Services, LLC

DID BRIAN MICHAEL JACKSON CAUSE YOU INVESTMENT LOSSES? Brian Michael Jackson of Wells Fargo Clearing Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Brian M. Jackson of Wells Fargo Clearing Services, LLC? Brian Jackson (CRD #4733834) who is currently registered with Wells Fargo Clearing Services, LLC and located in Purchase, NY is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Brian Jackson was associated with David Lerner Associates with a history of customer complaints and securities industry regulatory problems. Brian Jackson Customer Complaints In his career, Brian Jackson has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. There is currently one pending customer complaint filed against Wells Fargo Clearing Services, LLC for investment losses caused by Brian Jackson’s alleged misconduct. Allegations Against Brian Jackson A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Unsuitable investment recommendations. Customer alleges at maturity of one product funds were moved into another product without his consent. Brian Jackson Red Flags & Your Rights As An Investor Of course, Brian Jackson 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 Brian Jackson at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Brian Jackson 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 which 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 Wells Fargo Clearing Services, LLC If you have questions about Wells Fargo Clearing Services, LLC and/or Brian Jackson 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

Cameron Benson of Beacon Capital Management, LLC

DID CAMERON WAYNE BENSON CAUSE YOU INVESTMENT LOSSES? Cameron Wayne Benson of Beacon Capital Management, LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Cameron W. Benson of Beacon Capital Management, LLC? Cameron Benson (CRD #5412206) who is currently registered with Beacon Capital Management, LLC and located in Franklin, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Prior to Beacon Capital Management, LLC, Cameron Benson was associated with Kalos Capital and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cameron Benson Customer Complaint In his career, Cameron Benson has been the subject of one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses are unsuitable transactions and breach of fiduciary duty. This complaint was settled in favor of investors. Cameron Benson Red Flags & Your Rights As An Investor Of course, Cameron Benson 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 Cameron Benson at Beacon Capital Management, LLC on alert to review carefully the activity and performance of their accounts and question whether Cameron Benson has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Beacon Capital Management, LLC which 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 Beacon Capital Management, LLC If you have questions about Beacon Capital Management, LLC and/or Cameron Benson 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

Bradford Watt of Colorado Financial Service Corporation

DID BRADFORD LEE WATT CAUSE YOU INVESTMENT LOSSES? Bradford Lee Watt with Colorado Financial Service Corporation Has One Customer Complaint For Alleged Broker Misconduct In the Past Year Who is Bradford L. Watt with Colorado Financial Service Corporation? Bradford Watt (CRD #2565438) who is currently registered with Colorado Financial Service Corporation and located in Centennial, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to Colorado Financial Service Corporation, Bradford Watt was associated with Provasi Capital Partners LP and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Bradford Watt Customer Complaint In his career, Bradford Watt has been the subject of one customer complaint that we know about, that was filed in the last year to recover investment losses. Bradford Watt failed to disclose his commission on the sale. The client alleged the customer complaint settled in favor of investors. Bradford Watt Red Flags & Your Rights As An Investor Of course, Bradford Watt 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 Bradford Watt at Colorado Financial Service Corporation and Provasi Capital Partners LP on alert to review carefully the activity and performance of their accounts and question whether Bradford Watt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Colorado Financial Service Corporation and Provasi Capital Partners LP 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 Colorado Financial Service Corporation If you have questions about Colorado Financial Service Corporation, Provasi Capital Partners LP and/or Bradford Watt 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 Weichbrod of Sagepoint Financial, Inc.

DID BRETT EDWARD WEICHBROD CAUSE YOU INVESTMENT LOSSES? Brett Edward Weichbrod with Sagepoint Financial, Inc. Has One Customer Complaint For Alleged Broker Misconduct In the Past Year Who is Brett E. Weichbrod with Sagepoint Financial, Inc.? Brett Weichbrod (CRD #4595377) who is currently registered with Sagepoint Financial, Inc. and located in Santa Barbara, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Sagepoint Financial, Inc., Brett Weichbrod was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sagepoint Financial, Inc. Broker Misconduct In his career, Brett Weichbrod 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 are that Brett Weichbrod recommended unsuitable private securities transactions. The customer complaint filed against Brett Weichbrod’s current employer Sagepoint Financial, Inc. for investment losses caused by his alleged misconduct is still pending. Brett Weichbrod Red Flags & Your Rights As An Investor Of course, Brett Weichbrod 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 Brett Weichbrod at Sagepoint Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Brett Weichbrod has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sagepoint 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 Sagepoint Financial, Inc. If you have questions about Sagepoint Financial, Inc. and/or Brett Weichbrod 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 Kaup of Cetera Advisor Networks

DID SCOTT VINCENT KAUP CAUSE YOU INVESTMENT LOSSES? Scott Vincent Kaup Of Cetera Advisor Networks Has 3 Customer Complaints for Alleged Broker Misconduct Who is Scott V. Kaup of Cetera Advisor Networks? Scott Kaup (CRD #1002907) who is currently registered with Cetera Advisor Networks and located in Stuart, Nebraska is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisor Networks, Scott Kaup was associated with Summit Brokerage Services and 8 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cetera Advisor Networks Broker Misconduct In his career, Scott Kaup has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. All three customer complaints against Scott Kaupp arose at VSR Financial Services and all 3 were settled in favor of investors. Allegations Against Scott Kaup A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleges Scott Kaup made unsuitable investment recommendations, material misrepresentations, and omissions, and supervisory due diligence failures. Scott Kaup made unsuitable recommendations and committed common law fraud, breach of fiduciary duty, and negligence. Scott Kaup Red Flags & Your Rights as An Investor Of course, Scott Kaup 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 Scott Kaup at Cetera Advisor Networks on alert to review carefully the activity and performance of their accounts and question whether Scott Kaup has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Cetera Advisor Networks which 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 Advisor Networks If you have questions about Cetera Advisor Networks and/or Scott Kaup 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 Riggenbach of Woodbury Financial Services

DID RICHARD CHARLES RIGGENBACH CAUSE YOU INVESTMENT LOSSES? Richard Charles Riggenbach of Woodbury Financial Services Has One Customer Complaint for Alleged Broker Misconduct Who is Richard C. Riggenbach of Woodbury Financial Services? Richard Riggenbach (CRD #1686839) who is currently registered with Woodbury Financial Services and located in Bloomfield, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Prior to Woodbury Financial Services, Richard Riggenbach was associated with Questar Capital and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Riggenbach Customer Complaint In his career, Richard Riggenbach has been the subject of one customer complaint that we know about. Customers allege the representative made recommendations that did not meet the clients’ needs and allegedly caused losses. This complaint is currently pending against Woodbury Financial Services for investment losses caused by Richard Riggenbach’s alleged misconduct. Richard Riggenbach Red Flags & Your Rights as An Investor Of course, Richard Riggenbach 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 Riggenbach at Woodbury Financial Services on alert to review carefully the activity and performance of their accounts and question whether Richard Riggenbach has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Woodbury Financial Services which 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 Woodbury Financial Services If you have questions about Woodbury Financial Services and/or Richard Riggenbach 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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