Jan 20, 2022

Mark Hopkins of American Portfolios Financial Services, Inc.

DID MARK LEWTON HOPKINS CAUSE YOU INVESTMENT LOSSES? Mark Lewton Hopkins formerly with American Portfolios Financial Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Mark L. Hopkins formerly with American Portfolios Financial Services, Inc.? Mark Hopkins (CRD #2653473) who was formerly registered with American Portfolios Financial Services, Inc. and located in Grand Blanc, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to American Portfolios Financial Services, Inc., Mark Hopkins was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Hopkins has his own share of regulatory problems as well.  In November 2019, the Michigan securities division alleged that he made misrepresentations and omissions in connection with an investment in a credit union an account over which the customer had no ownership interest whatsoever.  This was followed by a FINRA investigation where Mark Hopkins refused to cooperate in accordance with Rule 8210 and consequently permanently barred from any further association with any member firm in the securities industry.  Shortly thereafter, the SEC filed a complaint against Mark Hopkins alleging that he misappropriated at least $1.15 million from at least 5 customers of the brokerage firm. According to the SEC, Mark Hopkins represented that he would invest their funds and investment program at a local credit union, when in actuality no such program existed. Further, that he deposited the investors funds into an account he controlled and that the credit union misappropriated them. American Portfolios Financial Services, Inc. Broker Misconduct In his career, Mark Hopkins 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 Mark Hopkins’ 3 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Mark Hopkins’ former employer American Portfolios Financial Services, Inc. for investment losses caused by his alleged misconduct. Allegations Against Mark Hopkins A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged that mark options solicited $500,000 from him for the credit union investment and instead utilized the funds for his own purposes. Customer alleged that recommendation to invest in a REIT was an unsuitable investment recommendation. Claimant alleged that mark Hopkins solicited $400,000 for an investment away from the broker-dealer at a credit union. Mark Hopkins Red Flags & Your Rights As An Investor Of course, Mark Hopkins 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 Hopkins at American Portfolios Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Hopkins has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Portfolios 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 American Portfolios Financial Services, Inc. If you have questions about American Portfolios Financial Services, Inc. and/or Mark Hopkins 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

Michael Norman of NYLife Securities LLC

DID MICHAEL ANDREW NORMAN CAUSE YOU INVESTMENT LOSSES? Michael Andrew Norman formerly with NYLife Securities LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Michael A. Norman formerly with NYLife Securities LLC? Michael Norman (CRD #2092589) who was formerly registered with NYLife Securities LLC and located in Reno, Nevada is a subject of one of our many securities industry sales practice abuse investigations.   Michael Norman is no longer employed with NYLife Securities LLC since he was permanently barred by FINRA from further association with any member firm were allegedly not cooperating with an investigation into allegations that he loaned money to a customer, so that the customer could purchase securities. NYLife Securities LLC Broker Misconduct In his career Michael Norman has been the subject of 3 customer complaints that we know about, one of those complaints were filed in the last 2 years to recover investment losses. Two of Michael Norman’s 3 customer complaints were settled in favor of investors. The other customer complaint filed against Michael Norman’s former employer NYLife Securities LLC for investment losses caused by his alleged misconduct was denied by the company and the customer is not yet taken any further action. Allegations Against Michael Norman A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged that Michael Norman made an unsuitable recommendation to invest in a variable annuity due to the mortality and expense and investment protection of fees incurred over the life of the product. Customer alleged that Michael Norman misrepresented the rate of return, failed to disclose associated fees, and further provided unsuitable investment advice to make a mutual fund transaction. Customer alleged that Michael Norman failed to adequately disclose the annual fees and surrender charges associated with a variable annuity transaction. Further, that the investment was an unsuitable one in light of his investment profile, liquidity needs. Michael Norman Red Flags & Your Rights As An Investor Of course, Michael Norman 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 Norman at NYLife Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Michael Norman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLife Securities LLC about Michael Norman 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 NYLife Securities LLC If you have questions about NYLife Securities LLC and/or Michael Norman and the management or performance of your accounts, and, 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

Melvin Payne of PHX Financial, Inc.

DID MELVIN JAMES PAYNE JR CAUSE YOU INVESTMENT LOSSES? Melvin James Payne Jr formerly with PHX Financial, Inc. And Aegis Capital Corp. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Melvin J. Payne Jr Formerly With PHX Financial, Inc. And Aegis Capital Corp.? Melvin Payne (CRD #5891840) who was formerly registered with PHX Financial, Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to PHX Financial, Inc., Melvin Payne was associated with Garden State Securities, Inc., Salomon Whitney Financial, and Aegis Capital Corp. and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Aegis Capital Corp. Broker Misconduct In his career, Melvin Payne 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. Both are currently pending customer complaints filed against Melvin Payne’s former employer Aegis Capital Corp. for investment losses caused by his alleged misconduct. Allegations Against Melvin Payne A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Two claimants and separate arbitration proceedings alleged that Melvin Payne made unsuitable investment recommendations and breach of his fiduciary duty that constituted a breach of contract as well. Melvin Payne Red Flags & Your Rights As An Investor Of course, Melvin Payne 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 Melvin Payne at PHX Financial, Inc., Garden State Securities, Inc. and Salomon Whitney Financial on alert to review carefully the activity and performance of their accounts and question whether Melvin Payne has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital 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 PHX Financial, Inc. And Aegis Capital Corp. If you have questions about PHX Financial, Inc., Garden State Securities, Inc., Salomon Whitney Financial, Aegis Capital Corp. and/or Melvin Payne 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

Michael Sims of Wedbush Securities Inc.

DID MICHAEL STEVAN SIMS CAUSE YOU INVESTMENT LOSSES? Michael Stevan Sims formerly with Wedbush Securities Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Michael S. Sims formerly with Wedbush Securities Inc.? Michael Sims (CRD #1034180) who was formerly registered with Wedbush Securities Inc. and located in Santa Rosa, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wedbush Securities Inc., Michael Sims was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wedbush Securities Inc. Broker Misconduct In his career, Michael Sims has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. All of Michael Sims’ customer complaints were settled by Wedbush Securities, Inc. in favor of investors. Allegations Against Michael Sims 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 Michael Sims engaged in excessive trading, made inappropriate investments, and mismanaged his account. Client alleged that Michael Sims made unsuitable recommendations in breach of his fiduciary duty of loyalty, committed negligence, negligent misrepresentation, fraud and violation of the federal and California securities laws as well as FINRA rules regarding the sale of securities in connection with Master Limited partnership investments and other stock transactions. Client alleged improprieties in connection with Master Limited Partnerships, Master Limited Partnership funds and Limited Partnerships. Client alleged unsuitable investment recommendations, excessive trading involving exchange traded funds. Michael Sims Red Flags & Your Rights As An Investor Of course, Michael Sims 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 Sims at Wedbush Securities Inc. on alert to review carefully the activity and performance of their accounts and question whether Michael Sims has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wedbush Securities Inc. about Michael Sims 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 Wedbush Securities Inc. If you have questions about Wedbush Securities Inc. and/or Michael Sims 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 Zeller of UBS Financial Services Inc.

DID MARK ALLEN ZELLER CAUSE YOU INVESTMENT LOSSES? Mark Allen Zeller Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Mark A. Zeller with UBS Financial Services Inc.? Mark Zeller (CRD #2263684) who is currently registered with UBS Financial Services Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., Mark Zeller was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services Inc. Broker Misconduct In his career, Mark Zeller 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 those customer complaints resulted in arbitration proceeding in an arbitration award in favor of the investor. Another one of Mark Zeller’s 3 customer complaints was settled in favor of the investor. There is currently one pending customer complaint filed against Mark Zeller’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct. Allegations Against Mark Zeller A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Mark Zeller was the subject of a customer’s complaint against his current employer UBS Financial Services, Inc. relating to claimant’s investment in the UBS Yield Enhancement Strategy (“UBS-YES”) strategy. The customer alleged constructive fraud, negligent misrepresentation, breach of fiduciary duty, unsuitable investment recommendations, and breach of contract. The arbitrators agreed to made an award in the customer’s favor. Claimant alleged sales practice violations by Mark Zeller in connection with the offer and sale of Lehman structured notes. Claimants alleged unsuitable investment recommendations and misrepresentations related to the UBS-YES option overlay strategy. Mark Zeller Red Flags & Your Rights As An Investor Of course, Mark Zeller 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 Zeller at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Zeller has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services 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 UBS Financial Services Inc. If you have questions about UBS Financial Services Inc. and/or Mark Zeller 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

Joshua Autenrieth of NYLife Securities, LLC

DID JOSHUA MAX AUTENRIETH CAUSE YOU INVESTMENT LOSSES? Joshua Max Autenrieth formerly with Transam Securities, Inc. And NYLife Securities, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Joshua M. Autenrieth formerly with Transam Securities, Inc. And NYLife Securities, LLC? Joshua Autenrieth (CRD #5894861) who was formerly registered with Transam Securities, Inc. and located in Altamonte Springs, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Transam Securities, Inc., Joshua Autenrieth was associated with Maitland Securities, Inc. and another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. NYLife Securities, LLC Broker Misconduct In his career, Joshua Autenrieth 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 Joshua Autenrieth’s customer complaints were settled by NYLife Securities, LLC in favor of investors. Allegations Against Joshua Autenrieth   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 fees associated with the variable universal life insurance policy were not fully disclosed. The customer alleged that the costs and features associated with the variable universal life insurance policy were misrepresented by a financial advisor. Joshua Autenrieth Red Flags & Your Rights as An Investor Of course, Joshua Autenrieth 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 Joshua Autenrieth at Transam Securities, Inc. and Maitland Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Joshua Autenrieth has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at NYLife 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 Transam Securities, Inc. And NYLife Securities, LLC If you have questions about Transam Securities, Inc., Maitland Securities, Inc., NYLife Securities, LLC, and/or Joshua Autenrieth 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

Kevin Cook of Equitable Advisors, LLC

DID KEVIN DEAN COOK CAUSE YOU INVESTMENT LOSSES? Kevin Dean Cook with Equitable Advisors, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Kevin D. Cook with Equitable Advisors, LLC? Kevin Cook (CRD #6591894) who is currently registered with Equitable Advisors, LLC and located in Columbia, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Equitable Advisors, LLC Broker Misconduct In his career, Kevin Cook 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 Kevin Cook’s customer complaints settled in favor of investors.   The other customer complaint filed against Kevin Cook was recently denied by his current employer Equitable Advisors, LLC for investment losses caused by his alleged misconduct and the customer has yet to take any action. Allegations Against Kevin Cook 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 that Kevin Cook misrepresented an insurance policy. The client alleges that Kevin Cook made an unsuitable investment recommendation to purchase a variable annuity. Kevin Cook Red Flags & Your Rights as An Investor Of course, Kevin Cook 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 Kevin Cook at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Kevin Cook has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Equitable Advisors, 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 Equitable Advisors, LLC If you have questions about Equitable Advisors, LLC and/or Kevin Cook 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

Lawrence Fawcett of WestPark Capital, Inc

DID LAWRENCE JOHN FAWCETT JR CAUSE YOU INVESTMENT LOSSES? Lawrence John Fawcett Jr formerly with WestPark Capital, Inc. Has 8 Customer Complaints for Alleged Broker Misconduct   Who is Lawrence J. Fawcett Jr formerly with WestPark Capital, Inc.? Lawrence Fawcett (CRD #5851474) who was formerly registered with WestPark Capital, Inc. and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations.   Prior to WestPark Capital, Inc., Lawrence Fawcett was associated with Salomon Whitney Financial and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. In March 2018, Lawrence Fawcett was discharged by WestPark Capital, Inc. for allegedly conducting business from a non-disclosed location in making false representations to his employer. Lawrence Fawcett, Jr., has had his share of regulatory problems; he has been permanently barred from association with any FINRA member firm in any capacity for failure to pay an arbitration award, and failure to pay fees, failure to supply information to FINRA in violation of Rule 8210. WestPark Capital, Inc. Broker Misconduct In his career, Lawrence Fawcett has been the subject of 8 customer complaints that we know about, 4 of those complaints were filed in the last year to recover investment losses. Two customers went all the way through an arbitration proceeding and received an arbitration award in their favor to recover their investment losses.   One of Lawrence Fawcett’s 8 customer complaints was settled in favor of investors. There are currently 3 pending customer complaints filed against Lawrence Fawcett’s former employers WestPark Capital, Inc. and SW Financial for investment losses caused by his alleged misconduct. Allegations Against Lawrence Fawcett A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: A customer alleged and proved in an arbitration proceeding all or some of his allegations that Lawrence Fawcett was negligent and engaged in qualitative and quantitative suitability misconduct, breach of fiduciary duty, breach of contract, negligent misrepresentations, and omissions. The customer alleged that Lawrence Fawcett engaged in unauthorized trading, made unsuitable investment recommendations, and engage in an unsuitable investment strategy. The customer alleged Lawrence Fawcett engaged in unauthorized trading at Salomon Whitney brokerage. The claimant alleged that Lawrence Fawcett made unsuitable recommendations and misrepresentations and breach his fiduciary duty related to common stock transactions and private placement investments. The claimant alleged excessive trading or churning which are unsuitable transactions. The claimant alleged, churning, negligence, unauthorized trading, and breach of contract related to certain equity transactions. Lawrence Fawcett Red Flags & Your Rights as An Investor Of course, Lawrence Fawcett 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 Lawrence Fawcett at Westpark Capital, Inc. and Salomon Whitney Financial on alert to review carefully the activity and performance of their accounts and question whether Lawrence Fawcett has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Westpark Capital, Inc. and Salomon Whitney Financial about Lawrence Fawcett 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 Westpark Capital, Inc., Salomon Whitney Financial, And SW Financial If you have questions about Westpark Capital, Inc., Salomon Whitney Financial, SW Financial, and/or Lawrence Fawcett 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

Jose Huerfano of J.P. Morgan Securities, LLC

DID JOSE LINO HUERFANO JR CAUSE YOU INVESTMENT LOSSES? Jose Lino Huerfano Jr with J.P. Morgan Securities, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Jose Lino Huerfano Jr with J.P. Morgan Securities LLC? Jose Huerfano (CRD #4104166) who is currently registered with J.P. Morgan Securities, LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to J.P. Morgan Securities, LLC, Jose Huerfano was associated with 9other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. J.P. Morgan Securities, LLC Broker Misconduct In his career, Jose Huerfano 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. J.P. Morgan Securities, LLC denied those customer complaints, and to date, the customers and not taking any further action.  Allegations Against Jose Huerfano A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Two clients separately alleged that José Huerfano made unsuitable investment recommendations in connection with common stock transactions. When the client alleged unauthorized trading by José Huerfano. Jose Huerfano Red Flags & Your Rights as An Investor Of course, Jose Huerfano 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 Jose Huerfano at J.P. Morgan Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Jose Huerfano 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 about José Huerfano 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 J.P. Morgan Securities, LLC If you have questions about J.P. Morgan Securities, LLC and/or Jose Huerfano 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 Kelly of Spartan Capital Securities, LLC

DID JOSEPH KELLY CAUSE YOU INVESTMENT LOSSES? Joseph Kelly with Spartan Capital Securities, LLC Has 3 Customer Complaints for Alleged Broker Misconduct Who is Joseph Kelly with Spartan Capital Securities, LLC? Joseph Kelly (CRD #4560737) who is currently registered with Spartan Capital Securities, LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Spartan Capital Securities, LLC, Joseph Kelly was associated with PHX Financial, Inc. and National Securities Corporation, and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Spartan Capital Securities, LLC Broker Misconduct In his career, Joseph Kelly has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. One of Joseph Kelly’s 3 customer complaints was settled in favor of investors. There are currently 2 pending customer complaints filed against Joseph Kelly’s current employer Spartan Capital Securities, LLC for investment losses caused by his alleged misconduct. Allegations Against Joseph Kelly 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 in the arbitration proceeding that Joseph Kelly made unsuitable investment recommendations and misrepresentations. The customer alleged that Joseph Kelly engaged in churning his account and unsuitable transactions. The claimant alleged misrepresentations and excessive trading. Joseph Kelly Red Flags & Your Rights as An Investor Of course, Joseph Kelly 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 Kelly at Spartan Capital Securities, LLC, PHX Financial, Inc. and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Joseph Kelly has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Spartan Capital Securities, LLC about Joseph Kelly 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 Spartan Capital Securities, LLC If you have questions about Spartan Capital Securities, LLC, PHX Financial, Inc., National Securities Corporation, and/or Joseph Kelly 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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