Mar 8, 2022

Kerry Farley of Cetera Investment Advisers

DID KERRY GEROW FARLEY CAUSE YOU INVESTMENT LOSSES? Kerry Farley Of Cetera Investment Services, Cetera Investment Advisers And Formerly With SunTrust Investment Services, SunTrust Advisory Services Has A Customer Complaint For Alleged Broker Misconduct Who is Kerry Farley of Cetera Investment Advisers? Kerry Farley (CRD #1560826) who is currently registered with Cetera Investment Services, Cetera Investment Advisers and located in Palm Harbor, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Investment Services and Cetera Investment Advisers, Kerry Farley was associated with SunTrust Investment Services, SunTrust Advisory Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kerry Farley Customer Complaint Kerry Farley 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 profit-sharing plan administrator for the law firm alleges Kerry Farley recommended purchase of $500,000 SILCs which could not be transferred into a new 401K plan. The investments would have to be liquidated at a possible loss. Kerry Farley’s customer complaint was settled in favor of the investors. Kerry Farley Red Flags & Your Rights As An Investor Of course, Kerry Farley 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 Kerry Farley at Cetera Investment Services, Cetera Investment Advisers, SunTrust Investment Services, and SunTrust Advisory Services and on alert to review carefully the activity and performance of their accounts and question whether Kerry Farley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Investment Services, Cetera Investment Advisers, SunTrust Investment Services, and SunTrust Advisory Services 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 Cetera Investment Services Due To Kerry Farley If you have questions about Cetera Investment Services, Cetera Investment Advisers, SunTrust Investment Services, SunTrust Advisory Services, and/or Kerry Farley 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 8, 2022

James Gibson of Cetera Advisors

DID JAMES JOSEPH GIBSON CAUSE YOU INVESTMENT LOSSES? James Gibson of Cetera Advisors And Formerly With LPL Financial and Private Advisor Group Has A Customer Complaint For Alleged Broker Misconduct Who is James Gibson of Cetera Advisors? James Gibson (CRD #1420473) who is currently registered with Cetera Advisors and located in Yardley, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors, James Gibson was associated with LPL Financial, Private Advisor Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Gibson Customer Complaint James Gibson 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 misrepresentation related to a variable annuity. James Gibson’s customer complaint was settled in favor of the investors. James Gibson Red Flags & Your Rights As An Investor Of course, James Gibson 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 Gibson at Cetera Advisors, LPL Financial, and Private Advisor Group on alert to review carefully the activity and performance of their accounts and question whether James Gibson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors, LPL Financial, and Private Advisor Group 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 Cetera Advisors Due To James Gibson If you have questions about Cetera Advisors, LPL Financial, Private Advisor Group, and/or James Gibson 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 8, 2022

Michael David of Cetera Advisor Networks

DID MICHAEL DAVID CAUSE YOU INVESTMENT LOSSES? Michael David Of Cetera Advisor Networks, LLC, CWM And Formerly With LPL Financial Has One Customer Complaint For Alleged Broker Misconduct Who is Michael David of Cetera Advisor Networks, LLC? Michael David (CRD #2880609) who is currently registered with Cetera Advisor Networks, LLC, CWM and located in Amarillo, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisor Networks, LLC and CWM, Michael David was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael David Customer Complaint Michael David 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 that the claimant was allegedly induced into purchasing at least three alternative products- two BDCs and one REIT – which she allegedly did not understand and were allegedly misrepresented to her. Claimant alleges the investments were unsuitable. The customer complaint filed against Michael David’s current employer LPL Financial for investment losses caused by the alleged misconduct is pending as of the date of this report. Michael David Red Flags & Your Rights As An Investor Of course, Michael David 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 David at Cetera Advisor Networks, LLC, CWM and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Michael David has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks, LLC, CWM, and LPL Financial 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 Cetera Advisor Networks, LLC Due To Michael David If you have questions about Cetera Advisor Networks, LLC, CWM, LPL Financial, and/or Michael David 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 8, 2022

Richard Klimpt of Cetera Investment Services

DID RICHARD KLIMPT CAUSE YOU INVESTMENT LOSSES? Richard Klimpt Of Cetera Investment Services LLC, Cetera Investment Advisers And Formerly With PNC Investments Has One Customer Complaint For Alleged Broker Misconduct Who is Richard Klimpt of Cetera Investment Services LLC? Richard Klimpt (CRD #1264574) who is currently registered with Cetera Investment Services LLC, Cetera Investment Advisers and located in Homewood, Alabama is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Investment Services LLC, Cetera Investment Advisers, Richard Klimpt was associated with PNC Investments and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Klimpt Customer Complaint Richard Klimpt 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 that the client alleges that it was her understanding that she was investing in a certificate of deposit and not an annuity. Richard Klimpt’s customer complaint was denied and the customers did not take any further action. Richard Klimpt Red Flags & Your Rights As An Investor Of course, Richard Klimpt 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 Richard Klimpt at Cetera Investment Services LLC, Cetera Investment Advisers, and PNC Investments on alert to review carefully the activity and performance of their accounts and question whether Richard Klimpt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Investment Services LLC, Cetera Investment Advisers, and PNC Investments 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 Cetera Investment Services LLC Due To Richard Klimpt If you have questions about Cetera Investment Services LLC, Cetera Investment Advisers, PNC Investments, and/or Richard Klimpt 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 8, 2022

Gary Meagher of LPL Financial

DID GARY MEAGHER CAUSE YOU INVESTMENT LOSSES? Gary Meagher Of LPL Financial LLC And Formerly With Cetera Advisor Networks Has One Customer Complaint For Alleged Broker Misconduct Who is Gary Meagher of LPL Financial LLC? Gary Meagher (CRD #1308083) who is currently registered with LPL Financial LLC and located in Renton, Washington is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Gary Meagher was associated with Cetera Advisor Networks and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gary Meagher Customer Complaint Gary Meagher 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 representative failed to place trade in Interval Fund. Gary Meagher’s customer complaint was settled in favor of investors. Gary Meagher Red Flags & Your Rights As An Investor Of course, Gary Meagher 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 Gary Meagher at LPL Financial LLC and Cetera Advisor Networks on alert to review carefully the activity and performance of their accounts and question whether Gary Meagher has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Cetera Advisor Networks 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 LPL Financial LLC Due To Gary Meagher If you have questions about LPL Financial LLC, Cetera Advisor Networks, and/or Gary Meagher 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 8, 2022

John Broughton of Citizens Securities

DID JOHN CHARLES BROUGHTON CAUSE YOU INVESTMENT LOSSES? John Broughton Formerly With Citizens Securities, Cetera Investment Services And LPL Financial Has 4 Customer Complaints For Alleged Broker Misconduct Who is John Broughton of Citizens Securities? John Broughton (CRD #2362478) who was formerly registered with Citizens Securities and located in Johnston, Rhode Island is a subject of one of our many securities industry sales practice abuse investigations. Prior to Citizens Securities, John Broughton was associated with Cetera Investment Services, LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Broughton Customer Complaints John Broughton has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of John Broughton’s 4 customer complaints were settled in favor of investors. One of John Broughton’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against John Broughton A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged John Broughton misrepresented the interest she would receive from annuity and the fees charged. Customer alleged misrepresentation by John Broughton in connection with the preferred stock sale. Customer alleged John Broughton gave them improper investment advice. John Broughton Red Flags & Your Rights As An Investor Of course, John Broughton 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 Broughton at Citizens Securities, Cetera Investment Services, and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether John Broughton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Citizens Securities, Cetera Investment Services, and LPL Financial 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. File A Claim To Recover Your Investment Losses At Citizens Securities, Cetera Investment Services, And LPL Financial Due To John Broughton If you have questions about Citizens Securities, Cetera Investment Services, LPL Financial, and/or John Broughton 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 8, 2022

James Anderson of Cetera Advisor Networks

DID JAMES DONALD ANDERSON CAUSE YOU INVESTMENT LOSSES? James Anderson Of Cetera Advisor Networks, CWM And Formerly With Northwestern Mutual Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is James Anderson of Cetera Advisor Networks? James Anderson (CRD #2636501) who is currently registered with CWM, Cetera Advisor Networks and located in Cedar Rapids, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisor Networks and CWM, James Anderson was associated with Northwestern Mutual Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Anderson Customer Complaint James Anderson 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 that the representative recommended and processed a 401(k) loan without ensuring the recommendations was appropriate and this resulted in losses due to penalties, sanctions, interest, and expenses. James Anderson’s customer complaint was settled in favor of the investors. James Anderson Red Flags & Your Rights As An Investor Of course, James Anderson 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 Anderson at CWM, Cetera Advisor Networks and Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether James Anderson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at CWM, Cetera Advisor Networks and Northwestern Mutual Investment Services 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 Cetera Advisor Networks Due To James Anderson If you have questions about CWM, Cetera Advisor Networks, Northwestern Mutual Investment Services, and/or James Anderson 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 8, 2022

James Bakun formerly with Cetera Advisors

DID JAMES EDWARD BAKUN CAUSE YOU INVESTMENT LOSSES? James Bakun Formerly With Cetera Advisors And Investors Capital Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Bakun formerly with Cetera Advisors? James Bakun (CRD #2376801) who was formerly registered with Cetera Advisors and located in Newburgh, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors, James Bakun was associated with Investors Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Bakun Customer Complaints James Bakun has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of James Bakun’s customers’ complaints was denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Cetera Advisors for investment losses caused by James Bakun’s alleged misconduct. Allegations Against James Bakun A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Conversion, common law fraud, breach of contract, and breach of fiduciary duty allegedly committed by James Bakun. Unauthorized trading allegedly by James Bakun. James Bakun Red Flags & Your Rights As An Investor Of course, James Bakun 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 Bakun at Cetera Advisors and Investors Capital on alert to review carefully the activity and performance of their accounts and question whether James Bakun has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors and Investors Capital 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. File A Claim To Recover Your Investment Losses At Cetera Advisors Due To James Bakun If you have questions about Cetera Advisors, Investors Capital, and/or James Bakun 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 8, 2022

Brent Blaus of Cetera Investment Services

DID BRENT L. BLAUS CAUSE YOU INVESTMENT LOSSES? Brent Blaus Of Cetera Investment Services, Cetera Investment Advisers And Formerly With Ameriprise Financial Services and Investment Professionals Has A Customer Complaint For Alleged Broker Misconduct Who is Brent Blaus of Cetera Investment Services? Brent Blaus (CRD #2563015) who is currently registered with Cetera Investment Services, Cetera Investment Advisers and located in Believue, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Investment Services and Cetera Investment Advisers, Brent Blaus was associated with Ameriprise Financial Services, Investment Professionals and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brent Blaus Customer Complaint Brent Blaus 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 that Brent Blaus guaranteed that his variable annuity contract would be worth $300,000.00 in ten years. Brent Blaus’ customer complaint was denied and, to date, the customer has not taken any further action. Brent Blaus Red Flags & Your Rights As An Investor Of course, Brent Blaus 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 Brent Blaus at Cetera Investment Services, Cetera Investment Advisers, Ameriprise Financial Services, and Investment Professionals on alert to review carefully the activity and performance of their accounts and question whether Brent Blaus has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Investment Services, Cetera Investment Advisers, Ameriprise Financial Services, and Investment Professionals 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 Cetera Investment Services Due To Brent Blaus If you have questions about Cetera Investment Services, Cetera Investment Advisers, Ameriprise Financial Services, Investment Professionals, and/or Brent Blaus 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 8, 2022

Phillip Bracey of Cetera Advisor Networks

DID PHILLIP GAYLE BRACEY CAUSE YOU INVESTMENT LOSSES? Phillip Bracey Of Cetera Advisor Networks Has A Customer Complaint For Alleged Broker Misconduct Who is Phillip Bracey of Cetera Advisor Networks? Phillip Bracey (CRD #1435778) who is currently registered with Cetera Advisor Networks and located in La Mirada, California is a subject of one of our many securities industry sales practice abuse investigations. Phillip Bracey Customer Complaint Phillip Bracey 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 client alleges tax liability after sale of assets. Phillip Bracey’s customer complaint was denied and, to date, the customers and not take any further action. Phillip Bracey Red Flags & Your Rights As An Investor Of course, Phillip Bracey 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 Bracey at Cetera Advisor Networks on alert to review carefully the activity and performance of their accounts and question whether Phillip Bracey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks 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 Cetera Advisor Networks Due To Phillip Bracey If you have questions about Cetera Advisor Networks and/or Phillip Bracey 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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