Jan 20, 2022

Jeffrey Larson of Arete Wealth Management, LLC

DID JEFFREY SCOTT LARSON CAUSE YOU INVESTMENT LOSSES? Jeffrey Scott Larson with Arete Wealth Management, LLC Has 4 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Jeffrey S. Larson with Arete Wealth Management, LLC? Jeffrey Larson (CRD #4836889) who is currently registered with Arete Wealth Management, LLC and located in Kirkwood, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to Arete Wealth Management, LLC, Jeffrey Larson was associated with Larson Financial Securities, LLC and 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Larson Financial Securities, LLC Broker Misconduct In his career, Jeffrey Larson has been the subject of 4 customer complaints that we know about, all of those complaints were filed in the last 2 years to recover investment losses. All of those complaints were filed against Jeffrey Larson’s company, Larson Financial Securities, LLC for investment losses caused by his alleged misconduct. Allegations Against Jeffrey Larson A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customers alleged that they were “duped” into investing in a variable universal life insurance policy. Customers alleged breach of fiduciary duty, breach of contract, securities fraud, conversion and other causes of action in connection with a variable annuity insurance policy. Client alleged that Jeffrey Larson failed to disclose fees and costs related to a variable universal life insurance policy. Client alleged Jeffrey Larson made an unsuitable investment recommendation and sale of variable universal life insurance policy. Jeffrey Larson Red Flags & Your Rights As An Investor Of course, Jeffrey Larson 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 Jeffrey Larson at Arete Wealth Management, LLC and Larson Financial Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Larson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arete Wealth Management, LLC and Larson Financial Securities, 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 Arete Wealth Management, LLC And Larson Financial Securities, LLC If you have questions about Arete Wealth Management, LLC, Larson Financial Securities, LLC and/or Jeffrey Larson 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.

Continue Reading

Jan 20, 2022

John Kesner of CUNA Brokerage Services, Inc.

DID JOHN BRENT KESNER CAUSE YOU INVESTMENT LOSSES? John Brent Kesner with Cuna Brokerage Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is John B. Kesner with Cuna Brokerage Services, Inc.? John Kesner (CRD #1785716) who is currently registered with Cuna Brokerage Services, Inc. and located in Fort Smith, Arkansas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cuna Brokerage Services, Inc., John Kesner was associated with Cabot Lodge Securities LLC and 12 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cuna Brokerage Services, Inc. Broker Misconduct In his career, John Kesner has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years. One was settled in favor of investors. The customer who filed the other complaint is not taken any formal action to date. Allegations Against John Kesner   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleges John Kesner made unsuitable mutual fund investment recommendations. Client alleged unsuitable variable annuity investment recommendations. John Kesner Red Flags & Your Rights As An Investor Of course, John Kesner 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 John Kesner at Cuna Brokerage Services, Inc. and Cabot Lodge Securities LLC on alert to review carefully the activity and performance of their accounts and question whether John Kesner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at John Kesner at Cuna Brokerage Services, Inc. and Cabot Lodge Securities 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 Cuna Brokerage Services, Inc. If you have questions about John Kesner at Cuna Brokerage Services, Inc., Cabot Lodge Securities LLC and/or John Kesner 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.

Continue Reading

Jan 20, 2022

Jeremy Mckitrick of Edward Jones

DID JEREMY MCKITRICK III CAUSE YOU INVESTMENT LOSSES? Jeremy McKitrick III with Edward Jones Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Jeremy McKitrick III with Edward Jones? Jeremy McKitrick (CRD #4037622) who is currently registered with Edward Jones and located in Lafayette, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to Edward Jones, Jeremy McKitrick was associated with Neuberger Berman LLC and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Edward Jones Broker Misconduct In his career, Jeremy McKitrick 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 of Jeremy McKitrick’s customer complaints were settled in favor of investors. Allegations Against Jeremy McKitrick A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleges that the mutual fund exchange purchase that was instructed was not executed in a timely manner. Client alleges negligence in connection with mutual fund exchange transaction. Jeremy McKitrick Red Flags & Your Rights As An Investor Of course, Jeremy McKitrick 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 Jeremy McKitrick at Edward Jones and Neuberger Berman LLC on alert to review carefully the activity and performance of their accounts and question whether Jeremy McKitrick has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones and Neuberger Berman 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 Edward Jones If you have questions about Edward Jones, Neuberger Berman LLC and/or Jeremy McKitrick 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.

Continue Reading

Jan 20, 2022

Jeffrey Parks of Synovus Securities, Inc.

DID JEFFREY DEAN PARKS CAUSE YOU INVESTMENT LOSSES? Jeffrey Dean Parks Of Synovus Securities, Inc. And Formerly With SunTrust Investment Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Jeffrey D. Parks with Synovus Securities, Inc.? Jeffrey Parks (CRD #5974274) who is currently registered with Synovus Securities, Inc. and located in Palm Harbor, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Synovus Securities, Inc., Jeffrey Parks was associated with SunTrust Investment Services, Inc. and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Synovus Securities, Inc. and SunTrust Investment Services Broker Misconduct In his career, Jeffrey Parks has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. Jeffrey Parks’ current employer Synovus Securities, Inc. and SunTrust Investment Services recently denied the complaints for investment losses caused by his alleged misconduct and to date, the customers have not taken further action.. Allegations Against Jeffrey Parks A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client allege that Jeffrey Park, charts and excessive commissions connection with the purchases of treasury bills. Client alleged that financial advisor failed to disclose the markups on treasury bill transactions. Jeffrey Parks Red Flags & Your Rights As An Investor Of course, Jeffrey Parks 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 Jeffrey Parks at Synovus Securities, Inc. and SunTrust Investment Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Parks has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Synovus Securities, Inc. and SunTrust Investment Services, 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 Synovus Securities, Inc. And SunTrust Investment Services, Inc. If you have questions about Synovus Securities, Inc., SunTrust Investment Services, Inc. and/or Jeffrey Parks 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.

Continue Reading

Jan 20, 2022

Jeremy Rosen of Nationwide Planning Associates Inc.

DID JEREMY SETH ROSEN CAUSE YOU INVESTMENT LOSSES? Jeremy Seth Rosen Of Nationwide Planning Associates Inc. And Formerly Berthel, Fisher & Company Has 6 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Jeremy S. Rosen with Nationwide Planning Associates Inc.? Jeremy Rosen (CRD #5513416) who is currently registered with Nationwide Planning Associates Inc. and located in Easton, Philadelphia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Nationwide Planning Associates Inc., Jeremy Rosen was associated with Berthel, Fisher & Company Financial Services, Inc., BFC Planning, Inc. and Planned Financial Programs, Inc. which are all investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. BFC Planning, Inc. and Berthel, Fisher & Company Financial Advisor Misconduct In his career, Jeremy Rosen has been the subject of 7 customer complaints that we know about, 6 of those complaints were filed in the last year to recover investment losses. One of Jeremy Rosen’s 7 customer complaints was settled in favor of investors. There are currently 6 pending customer complaints filed against Jeremy Rosen’s former employer, BFC Planning, Inc. and Berthel, Fisher & Company Financial Services, Inc. for investment losses caused by his alleged misconduct. Allegations Against Jeremy Rosen   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Multiple clients in separate arbitration proceedings alleged that Jeremy Rosen made misrepresentations in unsuitable investment recommendations with respect to a particular strategy utilized in their accounts involving common stocks. Jeremy Rosen Red Flags & Your Rights As An Investor Of course, Jeremy Rosen 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 Jeremy Rosen at Nationwide Planning Associates Inc., Berthel, Fisher & Company Financial Services, Inc. and Planned Financial Programs, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jeremy Rosen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at BFC Planning, Inc. and Berthel, Fisher & Company Financial Services, Inc. and Planned Financial Programs, 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 Nationwide Planning Associates Inc.   If you have questions about Nationwide Planning Associates Inc., Berthel, Fisher & Company Financial Services, Inc., BFC Planning, Inc., and/or Jeremy Rosen 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.

Continue Reading

Jan 20, 2022

John Torres of J.P. Morgan Securities LLC

DID JOHN LUIS TORRES CAUSE YOU INVESTMENT LOSSES? John Luis Torres formerly with J.P. Morgan Securities LLC Has 4 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is John L. Torres formerly with J.P. Morgan Securities LLC? John Torres (CRD #6322231) who was formerly registered with J.P. Morgan Securities LLC and located in Woodland Hills, California is a subject of one of our many securities industry sales practice abuse investigations. He was terminated by J.P. Morgan Chase Bank, NA where he worked as a representative. John Torres is no longer permitted to serve as a securities broker. In April 2019, he was permanently barred by FINRA from association with any member firm in any capacity for failure to cooperate in an investigation FINRA was conducting into allegations of John Torres aiding and abetting a misappropriation by 3rd parties. J.P. Morgan Securities LLC Broker Misconduct In his career, John Torres has been the subject of 4 customer complaints that we know about, all of those complaints were filed in the last 2 years to recover investment losses. The 4 customer complaints filed against John Torres’ former employer J.P. Morgan Securities LLC for investment losses caused by his alleged misconduct are all pending. Allegations Against John Torres A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Third-party (non-customer) alleges misrepresentations and aiding and abetting of the theft of its funds entrusted to a customer of J.P. Morgan Chase. Customers alleged that that they were solicited by 3rd parties to make an investment in that John Torres improperly opened a bank account in the name of the third-party business and to which the customer’s funds were deposited in that the customer funds were subsequently misappropriated by the 3rd parties who solicited the investment. John Torres Red Flags & Your Rights As An Investor Of course, John Torres 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 John Torres at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether John Torres has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities 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 J.P. Morgan Securities LLC If you have questions about J.P. Morgan Securities LLC and/or John Torres 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.

Continue Reading

Jan 20, 2022

Jonathan Upton of LPL Financial LLC

DID JONATHAN DALE UPTON CAUSE YOU INVESTMENT LOSSES? Jonathan Dale Upton with LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Jonathan D. Upton with LPL Financial LLC? Jonathan Upton (CRD #4559794) who is currently registered with LPL Financial LLC and located in Louisville, Kentucky is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Jonathan Upton was associated with another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. LPL Financial LLC Broker Misconduct In his career, Jonathan Upton has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. One of Jonathan Upton’s 3 customer complaints was settled in favor of investors. The other customer complaints were denied by Jonathan Upton and his employer and the customers have not taken any further action. Allegations Against Jonathan Upton   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged mismanagement which caused investment losses. Customer alleged failure to follow instructions. Customer alleged misrepresentation, and an unsuitable hold investment recommendation. Jonathan Upton Red Flags & Your Rights As An Investor Of course, Jonathan Upton 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 Jonathan Upton at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Jonathan Upton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial LLC If you have questions about LPL Financial LLC and/or Jonathan Upton 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.

Continue Reading

Jan 20, 2022

James Anderson of Ameritas Investment Corp.

DID JAMES F. ANDERSON CAUSE YOU INVESTMENT LOSSES? James F. Anderson formerly with Ameritas Investment Corp. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is James F. Anderson formerly with Ameritas Investment Corp.? James Anderson (CRD #4803514) who was formerly registered with Ameritas Investment Corp. and located in Dakota Dunes, South Dakota is a subject of one of our many securities industry sales practice abuse investigations. He was terminated by Ameritas Investment Corp. In February 2019 upon the conclusion of an internal investigation which indicated that he had engaged in sales of indexed annuities and promissory notes “away from the firm” meaning had not requested authority and the firm did not approve those sales. Apparently, that was not the first James Anderson engage in what is commonly known as “selling away” in the industry. His regulatory record indicates that in 2013, Ameritas Investment Corp. compliance Department conducted an examination and discovered he sold indexed annuities that were not listed on the firm’s approved list 6 years prior to his termination. Following James Anderson’s termination from Ameritas Investment Corp., FINRA initiated an investigation and requested documents and information from him. Apparently, he refused to cooperate with the investigation which is in violation of FINRA Rule 8210. Rather than cooperate, James Anderson chose to enter into an agreement whereby is now permanently barred from association with any FINRA member firm in any capacity forever. Ameritas Investment Corp. Broker Misconduct In his career, James Anderson 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 of James Anderson’s customer complaints were settled in favor of investors, one of those complaints was settled for $1.6 million. Allegations Against James Anderson 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 James Anderson offered and sold him security that was not registered. Further, the financial advisor made negligent misrepresentations in connection with the offer and sale of that security.  This dispute was settled for $1.6 million. A second customer made similar allegations about “selling away” promissory notes. James Anderson Red Flags & Your Rights as An Investor Of course, James Anderson 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 James Anderson at Ameritas Investment Corp. on alert to review carefully the activity and performance of their accounts and question whether James Anderson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameritas Investment Corp. 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 Ameritas Investment Corp. If you have questions about Ameritas Investment Corp. and/or James Anderson 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.

Continue Reading

Jan 20, 2022

Gregory Collier of Raymond James Financial Services, Inc

DID GREGORY CLINE COLLIER SR CAUSE YOU INVESTMENT LOSSES? Gregory Cline Collier Sr with Raymond James Financial Services, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Gregory C. Collier Sr with Raymond James Financial Services, Inc.? Gregory Collier (CRD #1408843) who is currently registered with Raymond James Financial Services, Inc. and located in Mt. Dora, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Raymond James Financial Services, Inc., Gregory Collierwas associated with 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Raymond James Financial Services, Inc. Broker Misconduct In his career, Gregory Collier 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. One of those customer complaints was recently denied and the customer is not yet taken any further action.  The other customer complaint filed against Gregory Collier’s current employer Raymond James Financial Services, Inc. for $500,000 in investment losses caused by his alleged misconduct is currently pending. Allegations Against Gregory Collier 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 mismanagement and unsuitable investment recommendations. The claimant alleged unauthorized trading in the account. Gregory Collier Red Flags & Your Rights as An Investor Of course, Gregory Collier 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 Gregory Collierat Raymond James Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Gregory Collier has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, 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 Raymond James Financial Services, Inc.   If you have questions about Raymond James Financial Services, Inc. and/or Gregory Collier 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.

Continue Reading

Jan 20, 2022

Harold Collins of LPL Financial

DID HAROLD MARTIN COLLINS CAUSE YOU INVESTMENT LOSSES? Harold Martin Collins formerly with LPL Financial LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Harold M. Collins formerly with LPL Financial LLC? Harold Collins (CRD #4366651) who was formerly registered with LPL Financial LLC and located in Auburn, Indiana is a subject of one of our many securities industry sales practice abuse investigations.   Prior to LPL Financial LLC, Harold Collins was associated with 2other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. LPL Financial LLC Broker Misconduct In his career, Harold Collins has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. One of Harold Collins’ customer complaints was settled in favor of investors. There is currently 1 pending customer complaint filed against Harold Collins’ former employer LPL Financial LLC for investment losses caused by his alleged misconduct. Allegations Against Harold Collins 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 claims for misrepresentation, selling away, and poor advice with respect to an investment in a “Future Income Payment Purchase Agreement.” The claimant alleged breach of fiduciary duty, breach of contract, and misrepresentations related to a purported investment in Future Income Payment Purchase Agreement. Harold Collins Red Flags & Your Rights as An Investor Of course, Harold Collins 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 Harold Collins at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Harold Collins has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses At LPL Financial LLC If you have questions about LPL Financial LLC and/or Harold Collins 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.

Continue Reading