Jan 20, 2022

Kevin Barbalace of Corinthian Partners, LLC

DID KEVIN LAWRENCE BARBALACE CAUSE YOU INVESTMENT LOSSES? Kevin Lawrence Barbalace formerly with Corinthian Partners, LLC And Dawson, James Securities, Inc. Has 6 Customer Complaints For Alleged Broker Misconduct Who is Kevin L. Barbalace formerly with Corinthian Partners, LLC and Dawson, James Securities, Inc.? Kevin Barbalace (CRD #4456476) who was formerly registered with Corinthian Partners, LLC and located in Middletown, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Corinthian Partners, LLC, Kevin Barbalace was associated with Dawson James Securities, Inc. and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kevin Barbalace has had his share of regulatory problems as well. In November 2016, he entered into an Acceptance, Waiver and Consent agreement with FINRA, without admitting or denying the allegations, but where FINRA made findings that he made unsuitable investment recommendations to a customer and exposed the customer to a risk of loss that was inconsistent with the customer’s financial needs and situation. The transactions resulted in an excessive concentration of low-price stocks in the customer’s accounts. FINRA also claimed that he accepted a check from a customer for an undisclosed outside business activity. Kevin Barbalace was then suspended for 3 months and fined. Prior to the FINRA suspension, the Maryland Division of Securities investigated and reach an agreement with Kevin Barbalace whereby he consented to 2 years of heightened supervision in a civil monetary penalty. Dawson James Securities, Inc. Broker Misconduct In his career, Kevin Barbalace has been the subject of 6 customer complaints that we know about, 3 of those complaints were filed in the last 2 years to recover investment losses. There are currently 2 pending customer complaints filed against Kevin Barbalace’s former employer Corinthian Partners, LLC for investment losses caused by his alleged misconduct. Allegations Against Kevin Barbalace   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged unsuitable investment recommendations and misrepresentations related to certain private placement investments. The customer alleged that Kevin Barbalace made misrepresentations in connection with her investment in a promissory note. Claimant alleged that Kevin Barbalace made unsuitable investment recommendations and misrepresentations in connection with direct investments in limited partnership interests. Claimants allege that Mr. Barbara lay’s misrepresented the risk associated with a private placement, investment he recommended. Kevin Barbalace Red Flags & Your Rights As An Investor Of course, Kevin Barbalace 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 Barbalace at Corinthian Partners, LLC and Dawson James Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Kevin Barbalace has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Dawson James Securities, 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 Corinthian Partners, LLC If you have questions about Corinthian Partners, LLC, Dawson James Securities, Inc. and/or Kevin Barbalace 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

William Baum of Great American Investors, Inc.

DID WILLIAM BRYSON BAUM CAUSE YOU INVESTMENT LOSSES? William Bryson Baum with Great American Investors, Inc. Has 8 Customer Complaints For Alleged Broker Misconduct Who is William B. Baum with Great American Investors, Inc.? William Baum (CRD #1528847) who is currently registered with Great American Investors, Inc. and located in Overland Park, Kansas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Great American Investors, Inc., William Baum was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Baum’s employers were not the only ones with regulatory problems. In August 2017, he was suspended for 30 days for circumventing the firm’s supervisory practices relating to communications with clients. He used an Apple iPhone which did not have the technological ability to capture and relay texts for compliance purposes. Great American Investors, Inc. Broker Misconduct In his career, William Baum has been the subject of 8 customer complaints that we know about, 2 of those complaints were filed in the last two years to recover investment losses. William Baum was a respondent in an arbitration proceeding where an arbitration award was entered in favor of the investor for unauthorized trading in breach of fiduciary duty. Six of William Baum’s 8 customer complaints were settled in favor of investors.   Allegations Against William Baum A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants alleged that William Baum failed to make suitable investment recommendations, failed to disclose all conflicts of interest, and failed to inform them of all the associated risk with the investment recommendations he made to them. Claimants alleged that William Baum recommended unsuitable trading strategies failed to act in their best interest. Claimants alleged that William Baum mismanaged their accounts by over-concentrating the holdings in certain stocks and engaging in excessive trading activity. Customer alleges that William Baum failed to act in their best interests in managing their accounts. Customer alleged William Baum made unsuitable investment recommendations and misrepresentation of the risks related to certain investments. William Baum Red Flags & Your Rights As An Investor Of course, William Baum 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 William Baum at Great American Investors, Inc. on alert to review carefully the activity and performance of their accounts and question whether William Baum has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Great American Investors, Inc. about William Baum 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 Great American Investors, Inc. If you have questions about Great American Investors, Inc. and/or William Baum 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 Bowman of Aeon Capital Inc.

DID CHRISTOPHER JOHN BOWMAN CAUSE YOU INVESTMENT LOSSES? Christopher John Bowman formerly with Aeon Capital Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Christopher J. Bowman formerly with Aeon Capital Inc.? Christopher Bowman (CRD #2187173) who was formerly registered with Aeon Capital Inc. and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aeon Capital Inc., Christopher Bowman was associated with Accelerated Capital Group and 10 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Aeon Capital Inc. Broker Misconduct In his career, Christopher Bowman has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last two years to recover investment losses. Both customer complaints filed against Christopher Bowman’s former employers Accelerated Capital Group, Inc. and Meridian Capital for investment losses caused by his alleged misconduct. Allegations Against Christopher Bowman   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege breach of fiduciary duty, negligence, and breach of contract in connection with several private placement investments sold to the claimants by Christopher Bowman. Customers alleged misconduct in connection with several alternative investments purchased through Christopher Bowman and his former employers. Christopher Bowman Red Flags & Your Rights As An Investor Of course, Christopher Bowman 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 Christopher Bowman at Aeon Capital Inc. and Accelerated Capital Group on alert to review carefully the activity and performance of their accounts and question whether Christopher Bowman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aeon Capital Inc. and Accelerated Capital Group 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 Aeon Capital Inc. If you have questions about Aeon Capital Inc., Accelerated Capital Group and/or Christopher Bowman 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

Denis Drummey of Ameriprise Financial Services, Inc.

DID DENIS MICHAEL DRUMMEY CAUSE YOU INVESTMENT LOSSES? Denis Michael Drummey formerly with Ameriprise Financial Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Denis M. Drummey formerly with Ameriprise Financial Services, Inc.? Denis Drummey (CRD #4910232) who was formerly registered with Ameriprise Financial Services, Inc. and located in Hingham, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, Inc., Denis Drummey was associated with LPL Financial LLC and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. LPL Financial, LLC Broker Misconduct In his career, Denis Drummey has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year against LPL Financial, LLC to recover investment losses. One of Denis Drummey’s 2 customer complaints was settled in favor of investors. The other customer complaint was denied by his former employer LPL Financial, LLC and to date, the customer has not taken any further action.  Allegations Against Denis Drummey 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 Denis Drummey made an unsuitable investment recommendation to purchase an interest in a business development company. Further, that the financial information the financial advisor placed on count paperwork was overstated. Customer alleged that Denis Drummey made misrepresentations in unsuitable investment recommendations connection with the purchase of REITs. Denis Drummey Red Flags & Your Rights As An Investor Of course, Denis Drummey 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 Denis Drummey at Ameriprise Financial Services, Inc. and LPL Financial LLC  on alert to review carefully the activity and performance of their accounts and question whether Denis Drummey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC about Denis Drummey 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 Ameriprise Financial Services, Inc. If you have questions about Ameriprise Financial Services, Inc., LPL Financial LLC and/or Denis Drummey 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

David Krumrey of Oppenheimer & Co. Inc.

DID DAVID WAYNE KRUMREY CAUSE YOU INVESTMENT LOSSES? David Wayne Krumrey formerly with Oppenheimer & Co. Inc. Has 6 Customer Complaints For Alleged Broker Misconduct Who is David W. Krumrey formerly with Oppenheimer & Co. Inc.? David Krumrey (CRD #4121845) who was formerly registered with Oppenheimer & Co. Inc. and located in The Woodlands, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co. Inc., David Krumrey was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. In August 2017, Oppenheimer & Co. terminated him for allegedly attempting to settle a complaint away from the firm. Thereafter, David Krumrey also had regulatory problems. In January 2018, he was suspended for failure to respond to a FINRA request for information in connection with an investigation. Three months later he was permanently barred from association with any FINRA member firm in any capacity in the future. Oppenheimer & Co. Inc. Broker Misconduct In his career, David Krumrey has been the subject of 6 customer complaints that we know about, two of those complaints were filed in the last 2 years to recover investment losses. One customer complaint was resolved during arbitration with an award in favor of the investor for an amount in excess of $250,000. Four of David Krumrey’s 6 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against David Krumrey’s former employer Oppenheimer & Co. Inc. for investment losses caused by his alleged misconduct. Allegations Against David Krumrey A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: David Krumrey was the subject of a customer complaint against Oppenheimer & Co. that asserted he breached his fiduciary duties, committed negligence, and violated the Louisiana securities laws. Claimant asserted that David Krumrey made unsuitable investment recommendations and breach of his fiduciary duties and violated state securities laws. Claimant alleged negligence, breach of fiduciary duty, and breach of contract related to certain energy related investments. Client alleges that David Krumrey in unauthorized transactions in his account. Claimants allege that David Krumrey breached his fiduciary duty, and committed negligence in connection with the management of their accounts. David Krumrey Red Flags & Your Rights As An Investor Of course, David Krumrey 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 David Krumrey at Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether David Krumrey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. Inc. about David Krumrey 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. and/or David Krumrey 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

Trevor Gordon of Sandlapper Securities, LLC

DID TREVOR LEE GORDON CAUSE YOU INVESTMENT LOSSES? Trevor Lee Gordon formerly with Sandlapper Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Trevor L. Gordon formerly with Sandlapper Securities, LLC? Trevor Gordon (CRD #2195122) who was formerly registered with Sandlapper Securities, LLC and located in Greenville, South Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Sandlapper Securities, LLC, Trevor Gordon was associated with 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Trevor Gordon’s former employers were not the only ones with regulatory problems. In September 2017, FINRA initiated an investigation and filed a complaint against Trevor Gordon and Sandlapper Securities, LLC alleging that they participated in the fraudulent scheme and defrauded investors by selling investments in saltwater disposal wells at excessive undisclosed markups through a corporation they owned and controlled. The disciplinary proceeding resulted in Trevor Gordon being permanently barred from association with any member firm in any capacity in the future. In addition, was ordered to pay restitution in excess of $3.3 million. The FINRA Panel’s decision is currently on appeal. Sandlapper Securities, LLC Broker Misconduct In his career, Trevor Gordon 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 Trevor Gordon’s 2 customer complaints was settled in favor of investors. The other customer complaint filed against Trevor Gordon’s former employer Sandlapper Securities, LLC for investment losses caused by his alleged misconduct is still pending. Allegations Against Trevor Gordon A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The pending arbitration claim is for Trevor Gordon’s alleged unsuitable investment recommendations, intentional and negligent misrepresentations and omissions, breach of fiduciary duty, violations of the California Securities Act, breach of FINRA rules, breach of contract and negligence. The customer alleged unsuitable investment recommendations and unsuitable investment strategy involving direct investments constituted negligence, fraud, breach of fiduciary duty, and financial elder abuse. Trevor Gordon Red Flags & Your Rights As An Investor Of course, Trevor Gordon 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 Trevor Gordon at Sandlapper Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Trevor Gordon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sandlapper Securities, LLC about Trevor Gordon 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 Sandlapper Securities, LLC   If you have questions about Sandlapper Securities, LLC and/or Trevor Gordon 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

David Mirolli of Kalos Capital, Inc.

DID DAVID SCOTT MIROLLI CAUSE YOU INVESTMENT LOSSES? David Scott Mirolli Of Kalos Capital, Inc. And Formerly Triad Advisors, LLC Has 3 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is David S. Mirolli with Kalos Capital, Inc.? David Mirolli (CRD #5116067) who is currently registered with Kalos Capital, Inc. and located in Suwanee, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kalos Capital, Inc., David Mirolli was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kalos Capital, Inc. and Triad Advisors, LLC Broker Misconduct In his career, David Mirolli has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. One of David Mirolli’s 3 customer complaints was settled in favor of investors. There are currently 2 pending customer complaints filed against David Mirolli’s current employer Kalos Capital, Inc. and former employer, Triad Advisors, LLC for investment losses caused by his alleged misconduct. Allegations Against David Mirolli 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 David Mirolli failed to conduct reasonable due diligence and recommended investment strategy that was speculative and involved unsuitable securities recommendations in GPB Capital Holdings private placements. Multiple customers alleged in a single arbitration complaint that David Mirolli engage in unsuitable investment recommendations and unsuitable strategy of investing in alternative investments sponsored by GPB Capital Holdings, LLC. Claimant alleged failure to conduct reasonable due diligence of an offering by GPB Capital Holdings prior to recommending that the client invest in its sponsored private placement investments. David Mirolli Red Flags & Your Rights As An Investor Of course, David Mirolli 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 David Mirolli at Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Mirolli has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kalos Capital, Inc. and Triad Advisors, LLC 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 Kalos Capital, Inc. If you have questions about Kalos Capital, Inc. and/or David Mirolli 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

Aleksandr Osaulenko of First Standard Financial Company LLC

DID ALEKSANDR OSAULENKO CAUSE YOU INVESTMENT LOSSES? Aleksandr Osaulenko Formerly With First Standard Financial Company LLC And Alexander Capital, LP Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Aleksandr Osaulenko formerly with First Standard Financial Company LLC? Aleksandr Osaulenko (CRD #5992623) who was formerly registered with First Standard Financial Company LLC and located in Staten Island, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Standard Financial Company LLC, Aleksandr Osaulenko was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. First Standard Financial Company LLC and Alexander Capital, LP Broker Misconduct In his career, Aleksandr Osaulenko 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 the customer complaints filed against Aleksandr Osaulenko’s former employer First Standard Financial Company LLC and Alexander Capital, LP for investment losses caused by his alleged misconduct are still pending. Allegations Against Aleksandr Osaulenko 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 Aleksandr Osaulenko made unsuitable investment recommendations, over-concentrated his account in certain common stock investments, and engaged in churning of the investments in his account. Customer alleged that Aleksandr Osaulenko engaged in unauthorized trading and excessive trading which was unsuitable for the investor. Aleksandr Osaulenko Red Flags & Your Rights As An Investor Of course, Aleksandr Osaulenko 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 Aleksandr Osaulenko at First Standard Financial Company LLC on alert to review carefully the activity and performance of their accounts and question whether Aleksandr Osaulenko has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Standard Financial Company LLC and Alexander Capital, LP also raises questions about their supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At First Standard Financial Company LLC And Alexander Capital, LP If you have questions about First Standard Financial Company LLC and/or Aleksandr Osaulenko 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

Timothy Vanlohuizen of Sagepoint Financial, Inc.

DID TIMOTHY JAN VANLOHUIZEN CAUSE YOU INVESTMENT LOSSES? Timothy Jan Vanlohuizen with Sagepoint Financial, Inc. Has 9 Customer Complaints For Alleged Broker Misconduct Who is Timothy J. Vanlohuizen with Sagepoint Financial, Inc.? Timothy Vanlohuizen (CRD #2166867) who is currently registered with Sagepoint Financial, Inc. and located in Coeur d’Alene, Idaho is a subject of one of our many securities industry sales practice abuse investigations. Prior to Sagepoint Financial, Inc., Timothy Vanlohuizen was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sagepoint Financial, Inc. Broker Misconduct In his career, Timothy Vanlohuizen has been the subject of 9 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. One of those customer complaints was resolved in an arbitration and an award was entered in favor of the investor. Four of Timothy Vanlohuizen’s 9 customer complaints were settled in favor of investors. 1 customer complaint was denied by his current employer and the customer has yet to take any further action. There are currently 3 pending customer complaints filed against Timothy Vanlohuizen’s current employer Sagepoint Financial, Inc. for investment losses caused by his alleged misconduct. Allegations Against Timothy Vanlohuizen A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleges that Timothy Vanlohuizen made unsuitable and overly aggressive investment recommendations. Customer alleged that Timothy Vanlohuizen made misrepresentations and breached his fiduciary duty connection with the sale of precious metal and oil and gas investments. Timothy Vanlohuizen allegedly made unsuitable oil and gas investment recommendations. Customer alleged that Timothy Vanlohuizen poorly managed her retirement account. Claimant alleged that Timothy Vanlohuizen made unsuitable investment recommendations to invest in high yield bonds in various energy investments. Timothy Vanlohuizen Red Flags & Your Rights As An Investor Of course, Timothy Vanlohuizen 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 Timothy Vanlohuizen at Sagepoint Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Timothy Vanlohuizen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sagepoint Financial, Inc. about Timothy Vanlohuizen 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, Inc.   If you have questions about Sagepoint Financial, Inc. and/or Timothy Vanlohuizen 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 Thompson of Arkadios Capital

DID MARK ALAN THOMPSON CAUSE YOU INVESTMENT LOSSES? Mark Alan Thompson with Arkadios Capital Has 2 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Mark A. Thompson with Arkadios Capital? Mark Thompson (CRD #4632270) who is currently registered with Arkadios Capitaland located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Arkadios Capital, Mark Thompson was associated with Triad Advisors, Inc. and 5other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Arkadios Capital Broker Misconduct In his career, Mark Thompson has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last two years to recover investment losses. Both customer complaints filed against Mark Thompson’s current employer Arkadios Capital and former employer, Triad Advisors, Inc. for investment losses caused by his alleged misconduct. Allegations Against Mark Thompson 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 the financial advisor made unsuitable recommendations to invest in alternative investments. The customer alleged that the financial advisor misrepresented a private placement investment. Mark Thompson Red Flags & Your Rights as An Investor Of course, Mark Thompson 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 Thompson at Arkadios Capital and Triad Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Thompson 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, Inc. If you have questions about Arkadios Capital, Triad Advisors, Inc., and/or Mark Thompson 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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