May 3, 2024

Susan Duke formerly with Transamerica Financial Advisors, Inc

DID SUSAN M DUKE CAUSE YOU INVESTMENT LOSSES? Susan Duke Formerly With Transamerica Financial Advisors, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Susan Duke Customer Complaints Susan Duke has been the subject of 2 customer complaints that we know about seeking to recover investment losses.  Both of these customer complaints evolved into FINRA arbitration proceedings that were subsequently settled by Transamerica Financial Advisors in favor of the investors or Susan Duke’s alleged misconduct. Allegations Against Susan Duke A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Susan Duke Red Flags & Your Rights As An Investor Of course, Susan Duke 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 Susan Duke at Transamerica Financial Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Susan Duke has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Transamerica Financial Advisors, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Transamerica Financial Advisors, Inc. Due To Susan Duke  If you have questions about Transamerica Financial Advisors, Inc. and/or Susan Duke 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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May 2, 2024

Ruben Fernandez of Stonecrest Capital Markets, Inc

DID RUBEN C FERNANDEZ CAUSE YOU INVESTMENT LOSSES? Ruben Fernandez Of Stonecrest Capital Markets, Inc. And Formerly With Herbert J. Sims & Co., Inc. Has 21 Customer Complaints For Alleged Broker Misconduct Ruben Fernandez Customer Complaints Ruben Fernandez has been the subject of 21 customer complaints that we know about seeking to recover investment losses. Nineteen customer complaints were settled by Oriental Financial Services Corp. in favor of the investors.  Another customer complaint was denied by PaineWebber and the investor took no further action is currently one customer complaint pending with Herbert J.  Sims and Co. for Ruben Fernandez’s alleged misconduct. Allegations Against Susan Duke A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Ruben Fernandez Red Flags & Your Rights As An Investor Of course, Ruben Fernandez 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 Ruben Fernandez at Stonecrest Capital Markets, Inc. and Herbert J. Sims & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Ruben Fernandez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stonecrest Capital Markets, Inc. and Herbert J. Sims & Co., Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Stonecrest Capital Markets, Inc. Due To Ruben Fernandez  If you have questions about Stonecrest Capital Markets, Inc., Herbert J. Sims & Co., Inc. and/or Ruben Fernandez 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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May 2, 2024

Robert Earls, Jr. of LPL Financial LLC

DID ROBERT JOSEPH EARLS, JR. CAUSE YOU INVESTMENT LOSSES? Robert Earls, Jr. Of LPL Financial LLC Has 3 Customer Complaints For Alleged Broker Misconduct Robert Earls, Jr.  Customer Complaints Robert Earls, Jr. has been the subject of 3 customer complaints that we know about seeking to recover investment losses.  All 3 of these customer complaints were recently filed with LPL Financial and are still pending. Allegations Against Robert Earls, Jr. A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Robert Earls, Jr.  Red Flags & Your Rights As An Investor Of course, Robert Earls, Jr. 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 Robert Earls, Jr. at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Robert Earls, Jr. has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Robert Earls, Jr.  If you have questions about LPL Financial LLC and/or Robert Earls, Jr. 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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May 2, 2024

Matthew Dupuis of Merrill Lynch, Pierce, Fenner & Smith Incorporated

DID MATTHEW CHRISTOPHER DUPUIS CAUSE YOU INVESTMENT LOSSES? Matthew Dupuis Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct Matthew Dupuis Customer Complaints Matthew Dupuis has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint was settled by Merrill, Lynch Pierce Fenner and Smith for Matthew Dupuis’s alleged misconduct in favor of the investor.  The other customer complaint was recently denied by the same brokerage firm and so far, the investor is not filed any arbitration proceeding or taken any other action. Allegations Against Matthew Dupuis A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Matthew Dupuis Red Flags & Your Rights As An Investor Of course, Matthew Dupuis 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 Matthew Dupuis at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Matthew Dupuis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Matthew Dupuis  If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Matthew Dupuis 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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May 2, 2024

Tory Duggins formerly Spartan Capital Securities, LLC

DID TORY A. DUGGINS CAUSE YOU INVESTMENT LOSSES? Tory Duggins Formerly With Spartan Capital Securities, LLC Has 4 Customer Complaints For Alleged Broker Misconduct Tory Duggins Customer Complaints Tory Duggins has been the subject of 4 customer complaints that we know about seeking to recover investment losses. One customer complaint evolved in a FINRA arbitration and award entered in favor of the investor for his alleged misconduct.   Two more customer complaints were settled by VFinance Investments in favor of the investors.  The same brokerage firm denied another customer complaint and the investor took no further action. Allegations Against Tory Duggins A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Tory Duggins Red Flags & Your Rights As An Investor Of course, Tory Duggins 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 Tory Duggins at Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Tory Duggins has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Spartan Capital Securities, LLC Due To Tory Duggins  If you have questions about Spartan Capital Securities, LLC and/or Tory Duggins 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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May 2, 2024

Dan Droeg formerly with United Planners’ Financial Services of America A Limited Partner

DID DAN EDWARD DROEG CAUSE YOU INVESTMENT LOSSES? Dan Droeg Formerly With United Planners’ Financial Services of America A Limited Partner and Sagepoint Financial, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Dan Droeg Customer Complaints Dan Droeg has been the subject of 3 customer complaints that we know about seeking to recover investment losses. Two customer complaints were settled by his former employer’s in favor of investors for his alleged misconduct.  Another FINRA arbitration proceeding was recently filed against Grove Point Investments and Woodbury Financial Services for Dan Droeg’s alleged misconduct seeking over $980,000 in damages and still pending. Allegations Against Dan Droeg A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Dan Droeg Red Flags & Your Rights As An Investor Of course, Dan Droeg 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 Dan Droeg at United Planners’ Financial Services of America A Limited Partner and Sagepoint Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Dan Droeg has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at United Planners’ Financial Services of America, A Limited Partner and Sagepoint Financial, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At United Planners’ Financial Services of America A Limited Partner Due To Dan Droeg  If you have questions about United Planners’ Financial Services of America A Limited Partner, Sagepoint Financial, Inc. and/or Dan Droeg 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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May 1, 2024

Kevin DeAngelis of Ameriprise Financial Services, LLC

DID KEVIN JOHN DEANGELIS CAUSE YOU INVESTMENT LOSSES? Kevin Deangelis Of Ameriprise Financial Services, LLC And Formerly With Commonwealth Financial Network Has 3 Customer Complaints For Alleged Broker Misconduct Kevin Deangelis Customer Complaints Kevin Deangelis has been the subject of 3 customer complaints that we know about seeking to recover investment losses. Two customer complaints filed against Kevin DeAngelis while employed by CCO Investment Services of the brokerage firm denied the customer complaints and, to date, the investors took no further action.  The other customer complaint was recently filed against Ameriprise Financial Services for Kevin DeAngelis alleged misconduct and still pending  in a FINRA arbitration proceeding. Allegations Against Kevin Deangelis A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Anthony D’Ascoli Red Flags & Your Rights As An Investor Of course, Kevin Deangelis 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 Deangelis at Ameriprise Financial Services, LLC and Commonwealth Financial Network on alert to review carefully the activity and performance of their accounts and question whether Kevin Deangelis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC and Commonwealth Financial Network also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Ameriprise Financial Services, LLC Due To Kevin Deangelis  If you have questions about Ameriprise Financial Services, LLC, Commonwealth Financial Network and/or Kevin Deangelis 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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May 1, 2024

Anthony D’Ascoli of Oppenheimer & Co. Inc

DID ANTHONY D’ASCOLI CAUSE YOU INVESTMENT LOSSES? Anthony D’Ascoli Of Oppenheimer & Co. Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Anthony D’Ascoli Customer Complaints Anthony D’Ascoli has been the subject of 3 customer complaints that we know about seeking to recover investment losses. One customer complaint was settled by Merrill, Lynch Pierce Fenner and Smith for the advisors alleged misconduct in favor of the investor.  The other two customer complaints were denied by Oppenheimer and Co. recently can sell for the investors have not taken any further action. Allegations Against Anthony D’Ascoli A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Anthony D’Ascoli Red Flags & Your Rights As An Investor Of course, Anthony D’Ascoli 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 Anthony D’Ascoli at Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Anthony D’Ascoli has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Oppenheimer & Co. Inc. Due To Anthony D’Ascoli  If you have questions about Oppenheimer & Co. Inc. and/or Anthony D’Ascoli 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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May 1, 2024

Anthony Cristiano of RBC Capital Markets, LLC

DID ANTHONY EDWARD CRISTIANO CAUSE YOU INVESTMENT LOSSES? Anthony Cristiano Of RBC Capital Markets, LLC And Formerly With UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Anthony Cristiano Customer Complaints Anthony Cristiano has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint was settled by UBS Financial Services in favor of the investor.  The other customer complaint was denied by his former employer, Morgan Stanley, and the investor took no further action. Allegations Against Anthony Cristiano A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Anthony Cristiano Red Flags & Your Rights As An Investor Of course, Anthony Cristiano 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 Anthony Cristiano at RBC Capital Markets, LLC and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Anthony Cristiano has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC and UBS Financial Services Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At RBC Capital Markets, LLC Due To Anthony Cristiano  If you have questions about RBC Capital Markets, LLC, UBS Financial Services Inc. and/or Anthony Cristiano 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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May 1, 2024

Raymond Clark formerly with Alexander Capital, L.P

DID RAYMOND WILLIAM CLARK CAUSE YOU INVESTMENT LOSSES? Raymond Clark Formerly With Alexander Capital, L.P., Monmouth Capital Management LLC and Garden State Securities, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Raymond Clark Customer Complaints Raymond Clark has been the subject of 4 customer complaints that we know about seeking to recover investment losses. Three of the customer complaints evolved into FINRA arbitration proceedings and settled by Raymond Clark’s former employer’s in favor of the investors.  The other customer complaint also evolved into a FINRA arbitration proceeding against Monmouth Capital Management for his alleged misconduct, and it is still pending. Allegations Against Raymond Clark A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Raymond Clark Red Flags & Your Rights As An Investor Of course, Raymond Clark 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 Raymond Clark at Alexander Capital, L.P., Monmouth Capital Management LLC and Garden State Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Raymond Clark has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Alexander Capital, L.P., Monmouth Capital Management LLC and Garden State Securities, Inc also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Alexander Capital, L.P. Due To Raymond Clark  If you have questions about Alexander Capital, L.P., Monmouth Capital Management LLC, Garden State Securities, Inc. and/or Raymond Clark 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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