Jan 20, 2022

Christopher Fallon of MML Investors Services, LLC

DID CHRISTOPHER MICHAEL FALLON CAUSE YOU INVESTMENT LOSSES? Christopher Michael Fallon Of MML Investors Services, LLC And Formally with MSI Financial Services, Inc. Has A Customer Complaints for Alleged Broker Misconduct in The Past Year Who is Christopher M. Fallon with MML Investors Services, LLC? Christopher Fallon (CRD #5096384) who is currently registered with MML Investors Services, LLC and located in Newtown Square, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.   Prior to MML Investors Services, LLC, Christopher Fallon was associated with MSI Financial Services, Inc. and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. MSI Financial Services, Inc. Broker Misconduct Christopher Fallon has been recently identified as the subject of a customer complaint filed in the last year against his former employer MSI Financial Services, Inc. to recover investment losses. The allegations are that Christopher Fallon made unsuitable investment recommendations to the customer to invest in a REIT that was supposedly limited to investments by accredited investors only, which he states he was not. The customer complaint filed against Christopher Fallon’s former employer MSI Financial Services, Inc. for investment losses caused by his alleged misconduct is still pending.  Christopher Fallon Red Flags & Your Rights as An Investor Of course, Christopher Fallon did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Christopher Fallon at MML Investors Services, LLC and MSI Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Fallon has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at MML Investors Services, LLC and MSI Financial Services, Inc. which also raises questions about their supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses at MML Investors Services, LLC And MSI Financial Services, Inc. If you have questions about MML Investors Services, LLC, MSI Financial Services, Inc., and/or Christopher Fallon and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Christopher Fernan of Salomon Whitney Financial

DID CHRISTOPHER ANTHONY FERNAN CAUSE YOU INVESTMENT LOSSES? Christopher Anthony Fernan Formerly with Salomon Whitney Financial Has 6 Customer Complaints for Alleged Broker Misconduct Who is Christopher A. Fernan formerly with Salomon Whitney Financial? Christopher Fernan (CRD #5896584) who was formerly registered with Salomon Whitney Financial and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Salomon Whitney Financial, Christopher Fernan was associated with Rockwell Global Capital LLC and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Christopher Fernan has had his own problem with the authorities and law.  He was once criminally convicted for assault with intent to rob a victim.  In October 2020, Christopher Fernan entered into an agreement with FINRA that he refused to appear for and-the-record testimony requested by FINRA as part of an investigation into a customer complaint and was permanently barred from any further association with any member firm in any capacity in the future. Salomon Whitney Financial Broker Misconduct In his career, Christopher Fernan has been the subject of 6 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Last year an arbitration award was entered against his former employer Salomon Whitney Financial for his alleged misconduct causing investors losses.  Two of Christopher Fernan’s other customer complaints were settled in favor of investors. Three customer complaints were denied by his former employer’s in the customers did not take any further action. There is currently one pending customer complaint filed against Christopher Fernan’s former employer Freedom Investors Corp. for investment losses caused by his alleged misconduct. Allegations Against Christopher Fernan A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleged that Christopher Fernan violated FINRA Rules  2110, 2120, 2111, and 3010 in connection with options trading. The client alleged that the broker guaranteed the account against losses and would pay her back but failed to do so. The client claims to have loaned Christopher Fernan monies which he only partially repaid. The client alleged that Christopher Fernan made unsuitable option transactions in his account. The claimant alleged fraud, deceptive practices, breach of fiduciary duty, breach of contract, and negligence related to stock and options trading. The client alleged fraud, excessive trading or churning, unauthorized trading, breach of fiduciary duty, unsuitable investment recommendations, and breach of contract in connection with stock and options transactions. The customer alleged and proved in an arbitration proceeding his allegations that Christopher Fernan engaged in stockbroker misconduct which resulted in an arbitration award in the investor’s favor. Christopher Fernan Red Flags & Your Rights as An Investor Of course, Christopher Fernan did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Christopher Fernan at Salomon Whitney Financial and Rockwell Global Capital LLC on alert to review carefully the activity and performance of their accounts and question whether Christopher Fernan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Salomon Whitney Financial and Rockwell Global Capital LLC about Christopher Fernan also raises questions about their supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses at Salomon Whitney Financial and Rockwell Global Capital, LLC If you have questions about Salomon Whitney Financial, Rockwell Global Capital, LLC and/or Christopher Fernan, and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Christopher Fess of KCD Financial, Inc

DID CHRISTOPHER CHARLES FESS CAUSE YOU INVESTMENT LOSSES? Christopher Charles Fess with KCD Financial, Inc. Has 5 Customer Complaints for Alleged Broker Misconduct Who is Christopher C. Fess with KCD Financial, Inc.? Christopher Fess (CRD #1335361) who is currently registered with KCD Financial, Inc. and located in Frisco, Texas is a subject of one of our many securities industry sales practice abuse investigations.   Prior to KCD Financial, Inc., Christopher Fess was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. KCD Financial, Inc. Broker Misconduct In his career, Christopher Fess has been the subject of 5 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. Three of Christopher Fess’ 5 customer complaints were settled in favor of investors. There are currently one pending customer complaint filed against Christopher Fess’ current employer KCD Financial, Inc. for investment losses caused by his alleged misconduct. Allegations Against Christopher Fess A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleged that Christopher Fess recommended illiquid investments in the real estate sector which were unsuitable investment recommendations. Claimants allege that variable annuity policies sold to them were misrepresented. The claimant alleged that Christopher Fess made unsuitable investment recommendations and committed fraud and negligence in connection with the offer and sale of mutual fund investments. The claimant alleged that the variable annuity offered and sold to him was misrepresented and an unsuitable investment recommendation. Christopher Fess Red Flags & Your Rights as An Investor Of course, Christopher Fess did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Christopher Fess at KCD Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Fess has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at KCD Financial, Inc. which also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses at KCD Financial, Inc. If you have questions about KCD Financial, Inc. and/or Christopher Fessand the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Christopher Larochelle of DFPG Investments, LLC

DID CHRISTOPHER KINGSLEY LAROCHELLE CAUSE YOU INVESTMENT LOSSES? Christopher Kingsley Larochelle Of DFPG Investments, LLC And Formally with First Allied Securities, Inc. Has Had Customer Complaints for Alleged Broker Misconduct in The Past Year Who is Christopher K. Larochelle with DFPG Investments, LLC? Christopher Larochelle (CRD #4883462) who is currently registered with DFPG Investments, LLC and located in Round Rock, Texas is a subject of one of our many securities industry sales practice abuse investigations.   Prior to DFPG Investments, LLC, Christopher Larochelle was associated with First Allied Securities, Inc. and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. DFPG Investments, LLC Broker Misconduct Christopher Larochelle has been identified as the subject of a customer complaint made in the last year to recover investment losses. The client alleged mishandling of his account and misrepresentation of a REIT investment. The complaint was recently denied and the customer has not yet filed an arbitration claim for that alleged misconduct. Christopher Larochelle Red Flags & Your Rights as An Investor Of course, Christopher Larochelle did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Christopher Larochelle on alert to review carefully the activity and performance of their accounts and question whether Christopher Larochelle has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at DFPG Investments, LLC and First Allied Securities, Inc. which also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses at DFPG Investments, LLC If you have questions about DFPG Investments, LLC, First Allied Securities, Inc., and/or Christopher Larochelleand the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Christina Nash of Royal Alliance Associates, Inc

DID CHRISTINA ANNE NASH CAUSE YOU INVESTMENT LOSSES? Christina Anne Nash Of Royal Alliance Associates, Inc. And Formally with David Lerner Associates, Inc. Has Had Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Christina A. Nash with Royal Alliance Associates, Inc.? Christina Nash (CRD #4870294) who is currently registered with Royal Alliance Associates, Inc. and located in Pennington, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Royal Alliance Associates, Inc., Christina Nash was associated with David Lerner Associates, Inc. and other investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. David Lerner Associates, Inc. Broker Misconduct Christina Nash has been recently identified as the subject of a customer complaint filed against her former employer in the last 2 years to recover investment losses. The allegations are that Christina Nash made misrepresentations and unsuitable investment recommendations regarding REIT investments. The customer complaint filed against Christina Nash’s former employer, David Lerner Associates, Inc., for investment losses caused by her alleged misconduct is still pending. Christina Nash Red Flags & Your Rights as An Investor Of course, Christina Nash 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 Christina Nash at Royal Alliance Associates, Inc., David Lerner Associates, Inc., and Signator Investors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christina Nash has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Royal Alliance Associates, Inc., David Lerner Associates, Inc., and Signator Investors, Inc. which also raises questions about their supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses at Royal Alliance Associates, Inc., and David Lerner Associates, Inc. If you have questions about Royal Alliance Associates, Inc., David Lerner Associates, Inc., Signator Investors, Inc., and/or Christina Nash 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

Charles Natt of Morgan Stanley

DID CHARLES VINCENT NATT CAUSE YOU INVESTMENT LOSSES? Charles Vincent Natt Of Morgan Stanley Has Had Customer Complaints for Alleged Broker Misconduct in The Past Year Who is Charles V. Natt with Morgan Stanley? Charles Natt (CRD #4357934) who is currently registered with Morgan Stanley and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Morgan Stanley, Charles Natt was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct Charles Natt has been recently identified as the subject of a customer complaint that was filed in the last year against Morgan Stanley to recover investment losses.   The allegations made against Charles Natt were that he made unsuitable recommendations relating to putting option trading. The customer complaint filed against Charles Natt’s current employer Morgan Stanley for investment losses caused by his alleged misconduct is still pending.  Charles Natt Red Flags & Your Rights as An Investor Of course, Charles Natt 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 Charles Natt at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Charles Natt has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Morgan Stanleywhichalso 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 Morgan Stanley If you have questions about Morgan Stanley and/or Charles Nattand the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Christopher Passero of Money Concepts Capital Corp

DID CHRISTOPHER JOHN PASSERO CAUSE YOU INVESTMENT LOSSES? Christopher John Passero Of Money Concepts Capital Corp. Has Had Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Christopher J. Passero with Money Concepts Capital Corp.? Christopher Passero (CRD #2517681) who is currently registered with Money Concepts Capital Corp. and located in Hurricane, West Virginia is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Money Concepts Capital Corp., Christopher Passero was associated with another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Money Concepts Capital Corp. Broker Misconduct In his career, Christopher Passero has been the subject of 3 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses.   Two of the customer complaints were denied by his employer and the customers took no further action. There is currently one pending customer complaint filed against Christopher Passero’s current employer Money Concepts Capital Corp. for investment losses caused by his alleged misconduct. Allegations Against Christopher Passero   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 recommendation to purchase the Inland REIT was an unsuitable recommendation and in violation of state law. The customer alleged that Christopher Pessero invested all of the funds in his account in a non-traded REIT with no liquidity which was an unsuitable investment recommendation that caused losses. The claimant alleged Christopher Pessero committed negligence, gross negligence, breach of fiduciary duty, fraud, and made unsuitable investment recommendations to invest in non-traded REITs. Christopher Passero Red Flags & Your Rights as An Investor Of course, Christopher Passero did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Christopher Passero at Money Concepts Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Christopher Passero has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Money Concepts Capital Corp. 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 Money Concepts Capital Corp. If you have questions about Money Concepts Capital Corp. and/or Christopher Passero and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Christopher Waterbury of Charles Schwab & Co

DID CHRISTOPHER M. WATERBURY CAUSE YOU INVESTMENT LOSSES? Christopher M. Waterbury with Charles Schwab & Co. Inc. Has A Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Christopher M. Waterbury with Charles Schwab & Co. Inc.? Christopher Waterbury (CRD #6666300) who is currently registered with Charles Schwab & Co. Inc. and located in Lone Tree, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Charles Schwab & Co. Inc. is an investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Charles Schwab & Co. Inc. Broker Misconduct Christopher Waterbury has been recently identified as the subject of a customer complaint filed against Charles Schwab & Co. within the last year to recover investment losses. The allegations are that Christopher Waterbury made an unsuitable options trading strategy recommendation resulting in investment losses. The customer complaint filed against Christopher Waterbury’s current employer Charles Schwab & Co. Inc. for investment losses caused by his alleged misconduct is still pending. Christopher Waterbury Red Flags & Your Rights as An Investor Of course, Christopher Waterbury did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Christopher Waterbury at Charles Schwab & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Waterbury has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Charles Schwab & Co. Inc. 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 Charles Schwab & Co. Inc. If you have questions about Charles Schwab & Co. Inc. and/or Christopher Waterbury 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

Chad Allen of Oppenheimer & Co. Inc.

DID CHAD EDWARD ALLEN CAUSE YOU INVESTMENT LOSSES? Chad Edward Allen with Oppenheimer & Co. Inc. Has A Customer Complaint For Alleged Broker Misconduct In the Past 2 Years Who is Chad E. Allen with Oppenheimer & Co. Inc.? Chad Allen (CRD #2712784) who is currently registered with Oppenheimer & Co. Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co. Inc., Chad Allen was associated with UBS Financial Services, Inc. and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Oppenheimer & Co. Inc. Broker Misconduct In his career, Chad Allen has been the subject of 2 customer complaints that we know about, one of those complaints were filed in the last 2 years to recover investment losses. There is currently one pending customer complaint filed against Chad Allen’s current employer Oppenheimer & Co. Inc. for investment losses caused by his alleged misconduct. Allegations Against Chad Allen A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged Chad Allen made fraudulent misrepresentations, and engaged in excessive trading, unauthorized trading, and gave unsuitable investment recommendations related to option trading. Customers alleged that Chad Allen engaged in trading activity without their approval. Chad Allen Red Flags & Your Rights As An Investor Of course, Chad Allen 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 Chad Allen at Oppenheimer & Co. Inc. and UBS Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Chad Allen has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Oppenheimer & Co. Inc. which also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Oppenheimer & Co. Inc. If you have questions about Oppenheimer & Co. Inc., UBS Financial Services, Inc. and/or Chad Allen 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

Charles Darrow of American Portfolios Financial Services, Inc.

DID CHARLES PHILLIPS DARROW CAUSE YOU INVESTMENT LOSSES? Charles Phillips Darrow Formerly With American Portfolios Financial Services, Inc. Has A Customer Complaint For Alleged Broker Misconduct In The Past 2 Years Who is Charles P. Darrow formerly with American Portfolios Financial Services, Inc.? Charles Darrow (CRD #2325527) who was formerly registered with American Portfolios Financial Services, Inc. and located in Fayetteville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to American Portfolios Financial Services, Inc., Charles Darrow was associated with LPL Financial, LLC and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. It is probably not a coincidence that he was terminated by LPL Financial, LLC for not following its policies and procedures relative to processing variable annuity transactions and his currently accused of similar misconduct while he was employed at American Portfolios Financial Services, Inc. American Portfolios Financial Services, Inc. Broker Misconduct Charles Darrow was recently named as the subject of a customer complaint. The claimant has alleged that he made misrepresentations and omissions of material facts, breached his fiduciary duty, and violated the FINRA rules to 110 and 2111 relating to unsuitable investment recommendations to invest in variable annuities and real estate securities. The customer complaint recently filed against Charles Darrow’s former employer American Portfolios Financial Services, Inc. for investment losses caused by his alleged misconduct is still pending. Charles Darrow Red Flags & Your Rights As An Investor Of course, Charles Darrow 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 Charles Darrow at American Portfolios Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Charles Darrow has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at American Portfolios Financial Services, Inc. which also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At American Portfolios Financial Services, Inc. If you have questions about American Portfolios Financial Services, Inc. and/or Charles Darrow 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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