Mar 7, 2022

Michael Francoeur Formerly With Cambridge Investment Research

DID MICHAEL PAUL FRANCOEUR CAUSE YOU INVESTMENT LOSSES? Michael Francoeur Formerly With Cambridge Investment Research Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Francoeur formerly with Cambridge Investment Research? Michael Francoeur (CRD #5534184) who was formerly registered with Cambridge Investment Research and located in Somersworth, New Hampshire is a subject of one of our many securities industry sales practice abuse investigations. Michael Francoeur was also the subject of a FINRA investigation into whether he assisted a client with an investment that was not approved by the brokerage firm.  He refused to cooperate with the FINRA investigation and consented to the sanction and entry of findings that he refused to provide information requested by FINRA.  Accordingly, he was permanently barred from any further association with any member firm in any capacity. Michael Francoeur Customer Complaint Michael Francoeur has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were clients alleged misappropriation of their IRA funds resulting in surrender penalties and tax implications. Michael Francoeur’s customer complaint was denied and, to date, the customers have not taken any further action. Michael Francoeur Red Flags & Your Rights As An Investor Of course, Michael Francoeur 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 Francoeur at Cambridge Investment Research on alert to review carefully the activity and performance of their accounts and question whether Michael Francoeur has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research 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. File A Claim To Recover Your Investment Losses At Cambridge Investment Research Due To Michael Francoeur If you have questions about Cambridge Investment Research and/or Michael Francoeur 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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Mar 4, 2022

David Melilli of Cambridge Investment Research, Inc

DID DAVID JOHN MELILLI CAUSE YOU INVESTMENT LOSSES? David John Melilli formerly with Cambridge Investment Research, Inc. and SagePoint Financial, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is David J. Melilli formerly with Cambridge Investment Research, Inc.? David Melilli (CRD #5254172) who was formerly registered with Cambridge Investment Research, Inc. and located in Moorestown, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cambridge Investment Research, Inc., David Melilli was associated with SagePoint Financial, Inc. and LPL Financial LLC and four other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. In January 2020, David Melilli was terminated by Cambridge Investment Research, Inc. for allegedly placing discretionary trades without the written authority. Such conduct, if it occurred, is a violation of FINRA Rule 2510.  David Melilli claims he completed the incorrect paperwork for a non-discretionary commission account instead of a discretionary managed account but it appears as employee did not believe as he was discharged from employment at that firm. SagePoint Financial, Inc. Broker Misconduct In his career, David Melilli 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 those complaints was recently denied by his former employer, and to date customer has not taken any further action. There are currently two pending customer complaints filed against David Melilli’s former employer, SagePoint Financial, Inc., for investment losses caused by his alleged misconduct. Allegations Against David Melilli A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client’s alleged unauthorized trading involving options. Claimants alleged unauthorized trading, breach of fiduciary duty, unsuitability, churning, negligence, common law fraud, and violation of the federal securities laws. David Melilli Red Flags & Your Rights As An Investor Of course, David Melilli 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 Melilli at Cambridge Investment Research, Inc., SagePoint Financial, Inc. and LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether David Melilli has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SagePoint Financial, Inc. about David Melilli 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 Cambridge Investment Research, Inc. and SagePoint Financial, Inc. If you have questions about Cambridge Investment Research, Inc., Sagepoint Financial, Inc., LPL Financial LLC and/or David Melilli 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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Mar 4, 2022

John Pronovost of Cambridge Investment Research, Inc

DID JOHN STEPHEN PRONOVOST CAUSE YOU INVESTMENT LOSSES? John Stephen Pronovost with Cambridge Investment Research, Inc. Has 14 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is John S. Pronovost with Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.? John Pronovost (CRD #1990612) who is currently registered with Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. and located in Watertown, Connecticut is a subject of one of our many securities industry sales practices abuse investigations.   Prior to Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc., John Pronovost was associated with three other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. Broker Misconduct In his career, John Pronovost has been the subject of 14 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. One case went to arbitration and an award was entered against John Pronovost for $41,270 relating to an investment in LJM Preservation and Growth Fund.  Eight of John Pronovost’s 14 customer complaints were settled in favor of investors. Four of those complaints were denied by his employer and the customers thus far have not taken any further action. There is currently one pending customer complaint filed against John Pronovost’s current employers Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. for investment losses caused by his alleged misconduct. Allegations Against John Pronovost A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege advisor-sold them unsuitable investments. Clients allege the sale of LJM funds was unsuitable. Client’s alleged misrepresentation and suitability of a mutual fund investment. The client alleges the fund was misrepresented and unsuitable for her needs. The client alleges a mutual fund purchased in 2016 is unsuitable for his risk tolerance. The client alleges the financial professional recommended the purchases of 2 REITs that have lost money and that she is unable to sell the investments. The client alleges unauthorized sale of LJM funds was unsuitable, as well as nondisclosure of fees associated with that fund. John Pronovost Red Flags & Your Rights As An Investor Of course, John Pronovost did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of John Pronovost at Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether John Pronovost has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research, Inc. and Cambridge Investment Research 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 Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. If you have questions about Cambridge Investment Research, Inc., Cambridge Investment Research Advisors, Inc., and/or John Pronovost 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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Mar 4, 2022

James Vandenburg of Cambridge Investment Research

DID JAMES DAVID VANDENBURG CAUSE YOU INVESTMENT LOSSES? James Vandenburg Of Cambridge Investment Research, Cambridge Investment Research Advisors And Formerly With Voya Financial Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is James Vandenburg of Cambridge Investment Research? James Vandenburg (CRD #6463658) who is currently registered with Cambridge Investment Research, Cambridge Investment Research Advisors and located in Des Moines, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cambridge Investment Research and Cambridge Investment Research Advisors, James Vandenburg was associated with Voya Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Vandenburg Customer Complaint James Vandenburg has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were the client alleged that the representative did not disclose and inform her about the tax impact of accepting an enhanced surrender offer related to an annuity contract. The client demanded to be paid the taxes she incurred. James Vandenburg’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. James Vandenburg Red Flags & Your Rights As An Investor Of course, James Vandenburg did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Vandenburg at Cambridge Investment Research, Cambridge Investment Research Advisors, and Voya Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether James Vandenburg has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research, Cambridge Investment Research Advisors, and Voya Financial Advisors 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. File A Claim To Recover Your Investment Losses At Cambridge Investment Research Due To James Vandenburg If you have questions about Cambridge Investment Research, Cambridge Investment Research Advisors, Voya Financial Advisors, and/or James Vandenburg 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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Mar 4, 2022

Jay Weil formerly with Cambridge Investment Research

DID JAY A. WEIL CAUSE YOU INVESTMENT LOSSES? Jay Weil Formerly With Cambridge Investment Research Has A Customer Complaint For Alleged Broker Misconduct Who is Jay Weil formerly with Cambridge Investment Research? Jay Weil (CRD #4383868) who was formerly registered with Cambridge Investment Research and located in Mission Viejo, California is a subject of one of our many securities industry sales practice abuse investigations. Jay Weil Customer Complaint Jay Weil has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were allegations included breach of fiduciary duty and failure to comply with ERISA standards. Allegations stated that through his discretionary authority, Jay Weil selected investments based on substantial and excessive fees/commissions. Jay Weil’s customer complaint was settled in favor of the investors. Jay Weil Red Flags & Your Rights As An Investor Of course, Jay Weil 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 Jay Weil at Cambridge Investment Research on alert to review carefully the activity and performance of their accounts and question whether Jay Weil has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research 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. File A Claim To Recover Your Investment Losses At Cambridge Investment Research Due To Jay Weil If you have questions about Cambridge Investment Research and/or Jay Weil 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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Feb 24, 2022

Berrie Coble of Cambridge Investment Research, Inc.

DID BERRIE BETH COBLE CAUSE YOU INVESTMENT LOSSES? Berrie Coble Of Cambridge Investment Research, Inc. And Formerly With FTB Advisors, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Berrie Coble of Cambridge Investment Research, Inc.? Berrie Coble (CRD #4540578) who is currently registered with Cambridge Investment Research, Inc. and located in Columbia, Tennessee is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Cambridge Investment Research, Inc., Berrie Coble was associated with FTB Advisors, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Berrie Coble Customer Complaint Berrie Coble has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were failure to disclose tax consequences of sales in managed accounts.  Berrie Coble’s customer complaint was denied and, to date, the customer has not taken any further action. Berrie Coble Red Flags & Your Rights As An Investor Of course, Berrie Coble 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 Berrie Coble at Cambridge Investment Research, Inc. and FTB Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Berrie Coble has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research, Inc. and FTB 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. File A Claim To Recover Your Investment Losses At Cambridge Investment Research, Inc. Due To Berrie Coble If you have questions about Cambridge Investment Research, Inc., FTB Advisors, Inc. and/or Berrie Coble 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

Deborah Shuster of Cambridge Investment Research, Inc

DID DEBORAH SHUSTER CAUSE YOU INVESTMENT LOSSES? Deborah Shuster Formerly with Cambridge Investment Research, Inc. Has A Recent Customer Complaint for Alleged Broker Misconduct Who is Deborah Shuster formerly with Cambridge Investment Research, Inc.? Deborah Shuster (CRD #5551868) who was formerly registered with Cambridge Investment Research, Inc. and located in Altoona, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Cambridge Investment Research, Inc., Deborah Shuster has associated with2other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cambridge Investment Research, Inc. Broker Misconduct Deborah Shuster has been named as the subject of a customer complaint filed against Cambridge Investment Research, Inc. in August last year to recover investment losses.  The claimant, in that case, alleged that Deborah Shuster offered and sold alternative, illiquid and complex investment products in the oil and gas, and real estate sectors, which were unsuitable investments. The products included variable annuities and direct investments. The customer complaint filed against Deborah Shuster’s former employer Cambridge Investment Research, Inc. for investment losses caused by her alleged misconduct remains pending. Deborah Shuster Red Flags & Your Rights as An Investor Of course, Deborah Shuster 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 Deborah Shuster at Cambridge Investment Research, Inc. on alert to review carefully the activity and performance of their accounts and question whether Deborah Shuster has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Cambridge Investment Research, 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 Cambridge Investment Research, Inc. If you have questions about Cambridge Investment Research, Inc. and/or Deborah Shuster 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 Neumann of Cambridge Investment Research, Inc

DID DAVID ROBERT NEUMANN CAUSE YOU INVESTMENT LOSSES? David Robert Neumann Of Cambridge Investment Research, Inc. Was Recently Named in Customer Complaint for Alleged Broker Misconduct Who is David R. Neumann with Cambridge Investment Research, Inc.? David Neumann (CRD #6290456) who is currently registered with Cambridge Investment Research, Inc. and located in Altoona, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Cambridge Investment Research, Inc., David Neumann was associated with Morgan Stanley and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cambridge Investment Research, Inc. Broker Misconduct David Neumann was recently identified as the subject of customer complaints in an arbitration claim filed against Cambridge Investment Research, Inc. in August last year to recover investment losses.  It was alleged in the arbitration claim that David Neumann recommended and sold unsuitable alternative, illiquid, and complex investment products, including variable annuities, direct investments in limited partnership interests, mutual funds, in the oil and gas in real estate sectors.  The arbitration claim filed against David Neumann’s current employer Cambridge Investment Research, Inc. for investment losses caused by his alleged misconduct is still pending. David Neumann Red Flags & Your Rights as An Investor Of course, David Neumann 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 David Neumann at Cambridge Investment Research, Inc. and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether David Neumann has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Cambridge Investment Research, Inc. and Morgan Stanley 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 Cambridge Investment Research, Inc. If you have questions about Cambridge Investment Research, Inc., Morgan Stanley, and/or David Neumann 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

Eladio Santiago of Cambridge Investment Research, Inc

DID ELADIO ARTURO SANTIAGO CAUSE YOU INVESTMENT LOSSES? Eladio Arturo Santiago Of Cambridge Investment Research, Inc. And Formerly UBS Financial Services, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Eladio A. Santiago with Cambridge Investment Research, Inc.? Eladio Santiago (CRD #3060628) who is currently registered with Cambridge Investment Research, Inc. and located in Fulton, Maryland is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Cambridge Investment Research, Inc., Eladio Santiago was associated with UBS Financial Services Inc. and 6 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, Eladio Santiago 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. Two of Eladio Santiago’s 3 customer complaints were settled by UBS Financial Services, Inc. in favor of investors. Allegations Against Eladio Santiago   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customers alleged unsuitable transactions in their accounts. Two claimants and separate arbitration proceedings alleged unsuitable investment recommendations and mismanagement of their accounts. Eladio Santiago Red Flags & Your Rights as An Investor Of course, Eladio Santiago 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 Eladio Santiagoat Cambridge Investment Research, Inc. and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Eladio Santiagohas 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 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 Cambridge Investment Research, Inc.  And UBS Financial Services, Inc. If you have questions about Cambridge Investment Research, Inc., UBS Financial Services Inc., and/or Eladio Santiago 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

Phillip Smelser of Cambridge Investment Research, Inc.

DID PHILLIP LLOYD SMELSER CAUSE YOU INVESTMENT LOSSES? Phillip Lloyd Smelser with Cambridge Investment Research, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Phillip L. Smelser with Cambridge Investment Research, Inc.? Phillip Smelser (CRD #2338831) who is currently registered with Cambridge Investment Research, Inc. and located in Woodfin, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cambridge Investment Research, Inc., Phillip Smelser was associated with 10 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cambridge Investment Research, Inc. Broker Misconduct In his career, Phillip Smelser has been the subject of 2 customer complaints that we know about, 1 of those complaints were filed in the last year to recover investment losses. One of Phillip Smelser’s customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Phillip Smelser’s current employer Cambridge Investment Research, Inc. for investment losses caused by his alleged misconduct. Allegations Against Phillip Smelser A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleges unsuitable investment recommendations and misrepresentations involving mutual funds and real estate investments. Claimant alleges the sale of unsuitable investments, misrepresentations and other sales practice violations. Phillip Smelser Red Flags & Your Rights As An Investor Of course, Phillip Smelser 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 Phillip Smelser at Cambridge Investment Research, Inc. on alert to review carefully the activity and performance of their accounts and question whether Phillip Smelser has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research, 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 Cambridge Investment Research, Inc. If you have questions about Cambridge Investment Research, Inc. and/or Phillip Smelser 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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