Jan 20, 2022

Steven Colacurcio of Dawson James Securities

DID STEVEN PAUL COLACURCIO CAUSE YOU INVESTMENT LOSSES? Steven Paul Colacurcio Of Dawson James Securities Has 7 Customer Complaints for Alleged Broker Misconduct Who is Steven P. Colacurcio of Dawson James Securities? Steven Colacurcio (CRD #1717483) who is currently registered with Dawson James Securities and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Dawson James Securities, Steven Colacurcio was associated with Raymond James Financial Services and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Steven Colacurcios has had his own regulatory problems. In September 2016, he consented to the sanctions and entry of findings by FINRA that he exercised discretionary power in a customer’s account without written authorization and was suspended and fined. Dawson James Securities Broker Misconduct In his career, Steven Colacurcio has been the subject of 7 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. 2 of Steven Colacurcio’s 7 customer complaints were settled in favor of investors. 4 of the customer’s complaints were denied and the customers did not take any further action. There is currently one pending customer complaint filed against Dawson James Securities for investment losses caused by Steven Colacurcio’s alleged misconduct. Allegations Against Steven Colacurcio A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Steven Colacurcio failed to explain the risks and fees associated with the purchases of 2 REITs. The customer’s attorney alleged that the investments into a mutual fund and a variable annuity through the former representative Steven Colacurcio were unsuitable. Breach of contract; violation of FINRA rules; negligence; breach of fiduciary duty; violation of Massachusetts general laws, Chapter 93a. The client claimed that the annuity was misrepresented by Steven Colacurcio as a safe investment. The client alleged that the former representative Steven Colacurcio misled her regarding the possibility of market loss in her investments. Florida resident complains that Steven Colacurcio forged her signature on the change of broker-dealer form. Steven Colacurcio Red Flags & Your Rights as An Investor Of course, Steven Colacurcio 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 Colacurcio at Dawson James Securities alert to review carefully the activity and performance of their accounts and question whether Steven Colacurcio has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Dawson James Securitieswhich 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 Dawson James Securities If you have questions about Dawson James Securities and/or Steven Colacurcio 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 Denouden of Sagepoint Financial

DID ROBERT HENRY DENOUDEN CAUSE YOU INVESTMENT LOSSES? Robert Henry Denouden Formerly with Sagepoint Financial Has One Customer Complaint for Alleged Broker Misconduct Who is Robert H. Denouden formerly with Sagepoint Financial? Robert Denouden (CRD #2457728) who was formerly registered with Sagepoint Financial and located in St.  Joseph, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to Sagepoint Financial, Robert Denouden was associated with Berthel Fisher Company Financial Services and two other broker-dealers with a history of customer complaints and securities industry regulatory problems. Robert Denouden Customer Complaint In his career, Robert Denouden has been the subject of one customer complaint that we know about. The clients allege the investments purchased were illiquid and not suitable for them. In addition, the clients allege the product sponsor’s offerings were misrepresented. The client also alleges the firm was negligent and failed to conduct adequate due diligence. Robert Denouden Red Flags & Your Rights as An Investor Of course, Robert Denouden 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 Robert Denouden at Sagepoint Financial on alert to review carefully the activity and performance of their accounts and question whether Robert Denouden has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Sagepoint Financial 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 Sagepoint Financial If you have questions about Sagepoint Financial and/or Robert Denouden 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

Patricia Gleason of Cetera Advisors

DID PATRICIA ANN GLEASON CAUSE YOU INVESTMENT LOSSES? Patricia Ann Gleason of Cetera Advisors Has 3 Customer Complaints for Alleged Broker Misconduct Who is Patricia A. Gleason of Cetera Advisors? Patricia Gleason (CRD #2811669) who is currently registered with Cetera Advisors and located in Alachua, FL is the subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors, Patricia Gleason was associated with Morgan Stanley & Co. and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Patricia Gleason Customer Complaints In his/her career, Patricia Gleason 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. One of Patricia Gleason’s 3 customer complaints was settled in favor of investors. Two of the customer’s complaints were denied and the customers did not take any further action. Allegations Against Patricia Gleason A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Unsuitable investments, excessive commissions, mismanagement, and churning by Patricia Gleason. The client alleges that rolling over his 401 k into a 2005 IRA brokerage account and then utilizing some of the funds to repay other debts was not suitable advice. The client alleges agent Patricia Gleason filled out and signed their names to an annuity change of dealer form. Patricia Gleason Red Flags & Your Rights as An Investor Of course, Patricia Gleason 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 Patricia Gleason at Cetera Advisors on alert to review carefully the activity and performance of their accounts and question whether Patricia Gleason has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Cetera 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 Cetera Advisors If you have questions about Cetera Advisors and/or Patricia Gleason 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

Preston Bellaire of MML Investors Services

DID PRESTON JASON BELLAIRE CAUSE YOU INVESTMENT LOSSES? Preston Jason Bellaire of MML Investors Services Has 2 Customer Complaints for Alleged Broker Misconduct Who is Preston J. Bellaire of MML Investors Services? Preston Bellaire (CRD #4028710) who is currently registered with MML Investors Services and located in Orlando, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Preston Bellaire was associated with MSI Financial Services and 1 other investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. MML Investors Services Broker Misconduct In his career, Preston Bellaire 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 the customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against MSI Financial Services for investment losses caused by Preston Bellaire’s alleged misconduct. Allegations Against Preston Bellaire A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged that the representative Preston Bellaire misrepresented the risk of speculative investment in order to secure a high commission sale in and around February of 2015. The customer alleged the representative Preston Bellaire provided incorrect information regarding the settlement options available to a beneficiary of variable annuities. Preston Bellaire Red Flags & Your Rights as An Investor Of course, Preston Bellaire 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 Preston Bellaire at MML Investors Services on alert to review carefully the activity and performance of their accounts and question whether Preston Bellaire 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 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 MML Investors Services If you have questions about MML Investors Servicesand/or Preston Bellaire 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

Samuel Gramentz of Northland Securities

DID SAMUEL DARIN GRAMENTZ CAUSE YOU INVESTMENT LOSSES? Samuel Darin Gramentz Of Northland Securities Has One Customer Complaint for Alleged Broker Misconduct Who is Samuel D. Gramentz of Northland Securities? Samuel Gramentz (CRD #4494493) who is currently registered with Northland Securities and located in Minneapolis, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Northland Securities Broker Misconduct In his career, Samuel Gramentz has been the subject of one customer complaint that we know about. Beneficiaries allege that from early 2014 until the client’s death in September 2018, Samuel Gramentz managed his client’s accounts poorly and performance would have been better had he not solicited investments in securities with high costs or were overly risky. This complaint is currently pending against Northland Securities for investment losses caused by Samuel Gramentz’s alleged misconduct. Samuel Gramentz Red Flags & Your Rights as An Investor Of course, Samuel Gramentz 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 Samuel Gramentz at Northland Securities on alert to review carefully the activity and performance of their accounts and question whether Samuel Gramentz has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Northland Securitieswhich 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 Northland Securities If you have questions about Northland Securities and/or Samuel Gramentz 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

Wesley Foltz of Prospera Financial Services

DID WESLEY JUSTIN FOLTZ CAUSE YOU INVESTMENT LOSSES? Wesley Justin Foltz formerly with Prospera Financial Services Has 2 Customer Complaints for Alleged Broker Misconduct Who is Wesley J. Foltz formerly with Prospera Financial Services? Wesley Foltz (CRD #4617507) who was formerly registered with Prospera Financial Services and located in Alexandria, Louisiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to Prospera Financial Services, Wesley Foltz was associated with LPL Financial and 1 other investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Wesley Foltz has had his own regulatory problems. In October 2018, without admitting or denying the allegations, Wesley Foltz consented to sanctions and entry of findings by FINRA that he recommended certain L-share variable annuities without any reasonable basis for believing the recommendations were suitable. As a result, he was suspended by FINRA for 30 days and fined. Wesley J. Foltz Customer Complaints In his/her career, Wesley Foltz 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 the customer’s complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against LPL Financial for investment losses caused by Wesley Foltz’s alleged misconduct. Allegations Against Wesley Foltz A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged that Wesley Foltz’s recommendation of REIT investment in December 2008 was unsuitable and seeks recovery of investment losses, which he estimates to be $40,000 to $50,000. The customer alleges that Wesley Foltz purchased REITs for his account that were unsuitable. Wesley Foltz Red Flags & Your Rights as An Investor Of course, Wesley Foltz 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 Wesley Foltz at Prospera Financial Services on alert to review carefully the activity and performance of their accounts and question whether Wesley Foltz has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Prospera 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 Prospera Financial Services If you have questions about Prospera Financial Services and/or Wesley Foltz 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

Mark Trewitt of VFG Securities, Inc.

DID MARK ANDREW TREWITT CAUSE YOU INVESTMENT LOSSES? Mark Andrew Trewitt Formerly With VFG Securities, Inc. And Madison Avenue Securities, Inc. Has 19 Customer Complaints For Alleged Broker Misconduct Who is Mark A. Trewitt formerly with VFG Securities, Inc., and Madison Avenue Securities, Inc.? Mark Trewitt (CRD #1364490) who was formerly registered with VFG Securities, Inc. and located in Plano, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to VFG Securities, Inc., Mark Trewitt was associated with Niagara International Capital Limited and 8 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Trewitt has had his own regulatory problems. In 2019, a complaint was made to the Texas State Securities Board about his recommendations to clients to invest in non-listed REITs and business development companies and private placements that were unsuitable investment recommendations to many clients. Shortly thereafter, the financial advisor sought registration in the State of Texas with another company. An agreement was made where by Mark Trewitt’s application to be registered as an investment advisor was granted, but on the condition he enter into an agreement with the State of Texas that included a 90 day suspension. VFG Securities, Inc. And Madison Avenue Securities, Inc. Broker Misconduct In his career, Mark Trewitt has been the subject of 19 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. Fourteen of Mark Trewitt’s customer complaints were settled in favor of investors. There are currently 4 pending customer complaints filed against Mark Trewitt’s former employers VFG Securities, Inc. and/or Madison Avenue Securities, Inc. for investment losses caused by his alleged misconduct. Allegations Against Mark Trewitt   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged that Mark Trewitt recommended an unsuitable over-concentration of alternative investments in his portfolio. Products included variable annuities, direct investments, and private placements in the equipment leasing, oil and gas, and real estate sectors. Claimants alleged negligence and breach of fiduciary duty against Mark Trewitt for making unsuitable investment recommendations alternative investments. Claimant alleged Mark Trewitt was negligent and breached his fiduciary duty related to recommendations to invest in non-traded REITs. Claimant alleged Mark Trewitt made misrepresentations and unsuitable investment recommendations relating multiple alternative investments in his portfolio. Claimants allege breach of fiduciary duty, and breach of contract and negligence pertaining to the recommendation and sales of oil and gas investments. Claimants allege negligence, breach of fiduciary duty in relation to unsuitable investment recommendations to invest in a variety of private placements. Claimants allege that Mark Trewitt made misrepresentations concerning the safety of the investment strategy. Claimant alleged that he was misled by Mark Trewitt to invest in non-traded REITs and private placements. Mark Trewitt Red Flags & Your Rights As An Investor Of course, Mark Trewitt 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 Mark Trewitt at VFG Securities, Inc. and Niagara International Capital Limited on alert to review carefully the activity and performance of their accounts and question whether Mark Trewitt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at VFG Securities, Inc. and Madison Avenue Securities, Inc. also raises questions about their supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At VFG Securities, Inc., and Madison Avenue Securities, Inc. If you have questions about VFG Securities, Inc., Niagara International Capital Limited and/or Mark Trewitt 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

Joseph Roop of Dempsey Lord Smith, LLC

DID JOSEPH PATRICK ROOP CAUSE YOU INVESTMENT LOSSES? Joseph Patrick Roop Of Dempsey Lord Smith, LLC And Formerly With Kalos Capital, Inc. Has 9 Customer Complaints For Alleged Broker Misconduct Who is Joseph P. Roop with Dempsey Lord Smith, LLC? Joseph Roop (CRD #2774470) who is currently registered with Dempsey Lord Smith, LLC and located in Belmont, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Dempsey Lord Smith, LLC, Joseph Roop was associated with Kalos Capital, Inc. and 8 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Dempsey Lord Smith, LLC And Kalos Capital, Inc. Broker Misconduct In his career, Joseph Roop has been the subject of 9 customer complaints that we know about, 4 of those complaints were filed in the last year to recover investment losses. Eight of Joseph Roop’s 9 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Joseph Roop’s former employer Kalos Capital, Inc. for investment losses caused by his alleged misconduct. Allegations Against Joseph Roop A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged Joseph Roop failed to conduct reasonable due diligence, made misrepresentations, and recommended an investment portfolio comprised of speculative private placements offered by GPB Capital Holdings, LLC. Client alleged that Joseph Roop made unsuitable investment recommendations to invest in alternative investments such as REITs and other securities in the oil and gas sector. Client alleged that Joseph Roop made unsuitable investment recommendations to invest in the REITs and business development companies and sold securities in the State of Alabama where he was not registered.  Customer alleged unsuitable investment recommendations, misrepresentations, and excessive trading of options in a margin account. Client alleged that Joseph Roop made unsuitable investment recommendations to invest in equity products and options. Client alleged unsuitable option trading in his account. Joseph Roop Red Flags & Your Rights As An Investor Of course, Joseph Roop 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 Joseph Roop at Dempsey Lord Smith, LLC and Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether Joseph Roop has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kalos Capital, 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 Dempsey Lord Smith, LLC And Kalos Capital, Inc. If you have questions about Dempsey Lord Smith, LLC, Kalos Capital, Inc. and/or Joseph Roop 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

Mark Reffett of Arkadios Capital

DID MARK ALEXANDER REFFETT CAUSE YOU INVESTMENT LOSSES? Mark Alexander Reffett Of Arkadios Capital Has One Recent Customer Complaint For Alleged Broker Misconduct Who is Mark A. Reffett with Arkadios Capital? Mark Reffett (CRD #5894110) who is currently registered with Arkadios Capital and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Arkadios Capital, Mark Reffett was associated with Triad Advisors, LLC another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Triad Advisors, LLC Broker Misconduct Mark Reffett has recently been identified as the subject of a customer filed in the last year against his former employer, Triad Advisors, LLC to recover investment losses. The allegations are that Mark Reffett made unsuitable investment recommendations to pursue a strategy of investing in alternative investments in the real estate sector. The customer complaint filed against Mark Reffett’s former employer, Triad Advisors, LLC for investment losses caused by his alleged misconduct remains pending. Mark Reffett Red Flags & Your Rights As An Investor Of course, Mark Reffett 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 Mark Reffett at Arkadios Capital and Triad Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Reffett has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arkadios Capital and Triad Advisors, 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 Arkadios Capital And Triad Advisors, LLC If you have questions about Arkadios Capital, Triad Advisors, Inc. and/or Mark Reffett 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

Allen Neuenschwander of G.F. Investment Services, LLC

DID MICHAEL ALLEN NEUENSCHWANDER CAUSE YOU INVESTMENT LOSSES? Michael Allen Neuenschwander Formerly With G.F. Investment Services, LLC Has One Customer Complaint For Alleged Broker Misconduct In the Past 2 Years Who is Michael A. Neuenschwander formerly with G.F. Investment Services, LLC? Michael Neuenschwander (CRD #4212297) who was formerly registered with G.F. Investment Services, LLC and located in Shenandoah, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to G.F. Investment Services, LLC, Michael Neuenschwander was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Neuenschwander is currently the subject of an investigation by the Texas State Securities Board relating to REIT investments. G.F. Investment Services, LLC Broker Misconduct Michael Neuenschwander is also the subject of a customer complaint that was filed in the last 2 years to recover investment losses. The customer complaint alleges unsuitable investment recommendations of REITs. The customer complaints filed against Michael Neuenschwander’s former employer G.F. Investment Services, LLC for investment losses caused by his alleged misconduct is still pending. Michael Neuenschwander Red Flags & Your Rights As An Investor Of course, Michael Neuenschwander 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 Michael Neuenschwander at G.F. Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Michael Neuenschwander has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at G.F. Investment Services, LLC 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 G.F. Investment Services, LLC If you have questions about G.F. Investment Services, LLC and/or Michael Neuenschwander 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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