Mar 7, 2022

Joshua Beitel of Cambridge Investment Research

DID JOSHUA JON BEITEL CAUSE YOU INVESTMENT LOSSES? Joshua Beitel Of Cambridge Investment Research, Cambridge Investment Research Advisors And Formerly With Cetera Investment Services, Cetera Investment Advisers And Fifth Third Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joshua Beitel of Cambridge Investment Research? Joshua Beitel (CRD #5911459) who is currently registered with Cambridge Investment Research, Cambridge Investment Research Advisors and located in Traverse City, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cambridge Investment Research and Cambridge Investment Research Advisors, Joshua Beitel was associated with Cetera Investment Services, Cetera Investment Advisers, Fifth Third Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joshua Beitel Customer Complaints Joshua Beitel has been the subject of 2 customer complaints that we know about. One of Joshua Beitel’s 2 customer complaints was settled in favor of investors. One of Joshua Beitel’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Joshua Beitel 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 her investment was changed without her consent allegedly by Joshua Beitel. Customer alleged Joshua Beitel should have informed her of tax consequences of liquidation of account. Joshua Beitel Red Flags & Your Rights As An Investor Of course, Joshua Beitel 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 Joshua Beitel at Cambridge Investment Research, Cambridge Investment Research Advisors, Cetera Investment Services, Cetera Investment Advisers, and Fifth Third Securities on alert to review carefully the activity and performance of their accounts and question whether Joshua Beitel 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, Cetera Investment Services, Cetera Investment Advisers, and Fifth Third Securities 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 Cambridge Investment Research Due To Joshua Beitel If you have questions about Cambridge Investment Research, Cambridge Investment Research Advisors, Cetera Investment Services, Cetera Investment Advisers, Fifth Third Securities, and/or Joshua Beitel 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 7, 2022

Nicholas Doyle of Cetera Investment Services

DID NICHOLAS SHAWN DOYLE CAUSE YOU INVESTMENT LOSSES? Nicholas Doyle Of Cetera Investment Services, Cetera Investment Advisers And Formerly With Foresters Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Nicholas Doyle of Cetera Investment Services? Nicholas Doyle (CRD #4962555) who is currently registered with Cetera Investment Services, Cetera Investment Advisers and located in Phoenix, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Investment Services and Cetera Investment Advisers, Nicholas Doyle was associated with Foresters Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Nicholas Doyle Customer Complaint Nicholas Doyle 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 performance/service issues. Nicholas Doyle’s customer complaint was denied and, to date, the customer has not taken any further action. Nicholas Doyle Red Flags & Your Rights As An Investor Of course, Nicholas Doyle 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 Nicholas Doyle at Cetera Investment Services, Cetera Investment Advisers, and Foresters Financial Services on alert to review carefully the activity and performance of their accounts and question whether Nicholas Doyle 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, and Foresters Financial 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 Nicholas Doyle If you have questions about Cetera Investment Services, Cetera Investment Advisers, Foresters Financial Services, and/or Nicholas Doyle 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 7, 2022

Shawn Everett of Cetera Advisor Networks

DID SHAWN CHRISTIAN EVERETT CAUSE YOU INVESTMENT LOSSES? Shawn Everett Of Cetera Advisor Networks Has A Customer Complaint For Alleged Broker Misconduct Who is Shawn Everett of Cetera Advisor Networks? Shawn Everett (CRD #4653270) who is currently registered with Cetera Advisor Networks and located in Estero, Florida is a subject of one of our many securities industry sales practice abuse investigations. Shawn Everett Customer Complaint Shawn Everett 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 related to an over concentration of assets in the customer’s account. Shawn Everett’s customer complaint was settled in favor of the investors. Shawn Everett Red Flags & Your Rights As An Investor Of course, Shawn Everett 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 Shawn Everett at Cetera Advisor Networks on alert to review carefully the activity and performance of their accounts and question whether Shawn Everett 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 Shawn Everett If you have questions about Cetera Advisor Networks and/or Shawn Everett 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

George Merhoff of Cetera Advisors

DID GEORGE CRAIG MERHOFF, JR. CAUSE YOU INVESTMENT LOSSES? George C. Merhoff, Jr., Formerly With Cetera Advisors Has  49 Customer Complaints For Alleged Broker Misconduct Who is George C. Merhoff, Jr., Formerly With Cetera Advisors? George Merhoff (CRD# 2918171) who was formerly registered with Cetera Advisors and located in Kalmouth Falls, Oregon is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Cetera Advisors George Merhoff was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. George Merhoff was terminated by Cetera Advisors for making undisclosed payments to clients.  He was subsequently barred from association with any securities broker-dealer permanently by the FINRA and subject of a Cease and Desist Order by the Oregon Division of Financial Regulation George Merhoff Broker Misconduct In his career, George Merhoff has been the subject of 49 customer complaints that we know about, 15 of those complaints were filed in the last two years to recover investment losses. Thirty-four of George Merhoff’s customer complaints were settled in favor of investors. There are currently 15 pending customer complaints filed against George Merhoff most recent employer Cetera Advisors for investment losses caused by his alleged misconduct.  Allegations Against George Merhoff 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. Violation of Oregon securities law, breach of fiduciary duty, unsuitable investment recommendations, violation of FINRA rules, and negligence. Breach of fiduciary duty, unsuitable investment recommendations, violation of FINRA’s rules, negligence, and breach of contract. Incurred investment losses due to over-concentration. Breach of fiduciary duty, fraud, material omissions of fact, breach of contract, professional negligence, violation of Oregon and SEC securities laws. Negligence, breach of fiduciary duty, and violation of Oregon securities laws. Negligence and breach of fiduciary duty. Unsuitable investments, common law fraud, breach of contract, breach of fiduciary duty, violation of Oregon securities laws. Unsuitable investments which resulted in portfolio decline. Violation of Oregon securities laws, violation of California Corporation code, and negligence George Merhoff Red Flags & Your Rights As An Investor Of course, George Merhoff 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 George Merhoff at on alert to review carefully the activity and performance of their accounts and question whether George Merhoff has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors 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 Cetera Advisors  If you have questions about Cetera Advisors and/or George Merhoff 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 or locally at 561-338-0037.

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Mar 4, 2022

Nina Jessee of Cetera Advisors, LLC

DID NINA SUE JESSEE CAUSE YOU INVESTMENT LOSSES? Nina Sue Jessee formerly with Cetera Advisors LLC Has 24 Customer Complaints For Alleged Broker Misconduct Who is Nina S. Jessee formerly with Cetera Advisors LLC? Nina Jessee (CRD #1484808) who was formerly registered with Cetera Advisors LLC and located in Abingdon, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors LLC, Nina Jessee was associated with Investors Capital Corp. and 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Nina Jessee not only had problems with customer complaints, but problems with the regulators and her former employer. In June 2019, Nina Jessee was permanently barred by FINRA from association with any member firm in any capacity in the securities industry because she failed to appear for FINRA on-the-record testimony in connection with FINRAs investigation of customer related to alternative investments in allegations that Nina Jessee failed to disclose outside business activities. The investigation obviously arose out of the numerous complaints referred to above and disclosure of her resignation after it was alleged she violated Cetera Advisors, LLC, policy and not disclosing outside business activities prior to engaging in them. Nina Jessee Broker Misconduct In her career, Nina Jessee has been the subject of 24 customer complaints that we know about. Nineteen of Nina Jessee’s 24 customer complaints were settled in favor of investors. Five of those complaints were denied by her employer and the customers to date have done taking any further action.  We understand that many of the complaints related to Real Estate Investment Trusts (REITs). The allegation that she failed to disclose outside business activities required under FINRA rules is serious. FINRA and brokerage firms require their registered representatives to disclose all outside business activities, particularly those related to the offer and sale of securities because brokerage firms are required to exercise due diligence and make sure all investments are approved before they are offered to the public. The offer and sale of securities not pre-approved by the brokerage firm is known as “selling away” and the firm can be liable its brokers who engage in that misconduct. Allegations Against Nina Jessee A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged overconcentration in REITs. Claimants allegations were focused on the suitability of investment recommendations in REITs. Claimants allege that the registered representative misrepresented investments and over-concentrated their portfolio in REITs. Nina Jessee Red Flags & Your Rights As An Investor Of course, Nina Jessee 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 Nina Jessee at Cetera Advisors LLC and Investors Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Nina Jessee has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors LLC and Investors Capital Corp. about Nina Jessee 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 Cetera Advisors LLC If you have questions about Cetera Advisors LLC, Investors Capital Corp. and/or Nina Jessee 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

Francisco Leon of Cetera Investment Services LLC

DID FRANCISCO JAVIER FERNANDEZ LEON CAUSE YOU INVESTMENT LOSSES? Francisco Javier Fernandez Leon with Cetera Investment Services LLC Has 7 Customer Complaints For Alleged Broker Misconduct In the The Past 3 Years Who is Francisco J. Fernandez Leon with Cetera Investment Services LLC? Francisco Leon (CRD #5648271) who is currently registered with Cetera Investment Services LLC and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Investment Services LLC, Francisco Leon was associated with Oriental Financial Services Corp. and 1 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Oriental Financial Services Corp. Broker Misconduct In his career, Francisco Leon has been the subject of 7 customer complaints that we know about, 5 of those complaints were filed in the last two years to recover investment losses. All of those customer complaints arose in connection with his employment at Oriental Financial Services Corp. One of Francisco Leon’s 7 customer complaints was settled in favor of investors. One customer complaint was denied by his former employer and the customer took no further action. There are currently 5 pending customer complaints filed against Francisco Leon’s former employer Oriental Financial Services Corp. for investment losses caused by his alleged misconduct. Allegations Against Francisco Leon A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleges misrepresentation and omissions, breach of fiduciary duty, breach of contract, unsuitable investment recommendations, fraud, and negligence. Customer alleges misrepresentation, over-concentration, unsuitable investment recommendations purchased Puerto Rico municipal bonds. Claimant alleges over-concentration in Puerto Rico holdings. Further, he alleges misrepresentation and unsuitable recommendations, breach of fiduciary duty, breach of contract, and negligence. Francisco Leon Red Flags & Your Rights As An Investor Of course, Francisco Leon 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 Francisco Leon at Cetera Investment Services LLC and Oriental Financial Services Corp. on alert to review carefully the activity and performance of their accounts and question whether Francisco Leon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about Francisco Leon at Oriental Financial Services Corp. 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 Cetera Investment Services LLC and Oriental Financial Services Corp. If you have questions about Cetera Investment Services LLC, Oriental Financial Services Corp. and/or Francisco Leon 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

Ken Balser of Cetera Advisors, LLC

DID KEN ALAN BALSER CAUSE YOU INVESTMENT LOSSES? Ken Alan Balser formerly with Cetera Advisors, LLC Has 4 Customer Complaints for Alleged Broker Misconduct in the Past 3 Years Who is Ken A. Balser formerly with Cetera Advisors, LLC? Ken Balser (CRD #704053) who was formerly registered with Cetera Advisors, LLC and located in Colorado Springs, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors, LLC, Ken Balser was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ken Balser has had his share of regulatory problems as well.  In fact, his license has been revoked by the Colorado Division of Securities and he consented to a FINRA permanent bar from association with any member firm in any capacity.  Both regulatory actions arose out of an alleged undisclosed and unapproved investment solicitation by Ken Balzer that no less than 17 of his clients invest in Tesoro Del Alma, an alleged gold mine investment. When FINRA requested his testimony in connection with its investigation, he refused to appear and testify, another FINRA Rule 8210 violation which warranted, the permanent bar by itself. Undoubtedly, the regulatory investigations triggered the termination of his employment at Cetera Advisors, LLC.  The alleged recommendations that his clients invest in the gold mine would not only be a violation of FINRA Rules but firm policies and procedures as well. Cetera Advisors, LLC Broker Misconduct In his career, Ken Balser has been the subject of 4 customer complaints that we know about, 1 of those complaints were filed in the last year to recover investment losses. All of Ken Balser’s customer complaints were settled in favor of investors. Allegations Against Ken Balser A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer’s alleged violations of federal and Pennsylvania securities laws, Pennsylvania Unfair Trade Practices Act, violation of Colorado Securities and Consumer Protection Acts, breach of contract, common law fraud, breach of fiduciary duty, and gross negligence related to an investment in a gold mine. The customer alleged violation of federal and Colorado securities laws, breach of contract, common law fraud, breach of fiduciary duty, negligence, and gross negligence related to a private placement, investment. Claimants alleged violations of federal, Colorado, and South Carolina securities laws, breach of contract, common law fraud, breach of fiduciary duty, negligence, and gross negligence related to a gold mine investment. The client alleged unsuitable investment recommendations in violation of the Wyoming and Colorado securities laws, breach of contract, breach of fiduciary duty, common law fraud, and negligence related to a private placement investment. Ken Balser Red Flags & Your Rights as An Investor Of course, Ken Balser 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 Ken Balser at Cetera Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Ken Balser has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Cetera Advisors, LLC 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 Cetera Advisors, LLC If you have questions about Cetera Advisors, LLC and/or Ken Balser 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

Mark Barrand of Ameriprise Financial Services, LLC

DID MARK ALLEN BARRAND CAUSE YOU INVESTMENT LOSSES? Mark Allen Barrand Of Ameriprise Financial Services, LLC And Formerly with Cetera Advisors, LLC Has 7 Customer Complaints for Alleged Broker Misconduct Who is Mark A. Barrand with Ameriprise Financial Services, LLC? Mark Barrand (CRD #4586528) who is currently registered with Ameriprise Financial Services, LLC and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, LLC, Mark Barrand was associated with Cetera Advisors LLC and another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Ameriprise Financial Services, LLC Broker Misconduct In his career, Mark Barrand has been the subject of 7 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Six of the 7 customer complaints arose in connection with his employment at Cetera Advisors, LLC. Two of Mark Barrand’s 7 customer complaints were settled in favor of investors. Three of the customer complaints were denied by his former employer Cetera Advisors and to date, customers have not taken any further action. There are currently 2 pending customer complaints filed against Mark Barrand’s former employer Cetera Advisors, LLC for investment losses caused by his alleged misconduct. Allegations Against Mark Barrand A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Failure to perform due diligence, unsuitable investment recommendations, fraud, breach of fiduciary duty, and negligence in connection with the recommendation and purchase of direct investments and limited partnership interests. Complainants or customers of the former registered representative and assert claims for misrepresentation, breach of fiduciary duty, professional negligence, and violation of securities regulations connection with the purchase of a variable annuity. The clients alleged that the terms of their variable annuity contracts and unit investment trusts were misrepresented by the financial advisor. Misrepresentation, and failure to follow instructions in the placement of orders related to mutual funds. The customer alleges unsuitable investment recommendations of real estate securities in business development companies. The customer alleges that respondents recommended unsuitable investments, namely, Oppenheimer SteelPath MLP Alpha Plus Fund and Northstar Health Care REIT investments. Mark Barrand Red Flags & Your Rights as An Investor Of course, Mark Barrand 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 Barrand at Ameriprise Financial Services, LLC and Cetera Advisors LLC on alert to review carefully the activity and performance of their accounts and question whether Mark Barrand has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors LLC about Mark Barrandalso 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, LLC And Cetera Advisors, LLC If you have questions about Ameriprise Financial Services, LLC, Cetera Advisors LLC, and/or Mark Barrandand 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

Mengxuan Zhang Formerly With Cetera Investment Services

DID MENGXUAN ZHANG CAUSE YOU INVESTMENT LOSSES? Mengxuan Zhang Formerly With Cetera Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is Mengxuan Zhang formerly with Cetera Investment Services? Mengxuan Zhang (CRD #6548853) who was formerly registered with Cetera Investment Services and located in Pasadena, California is a subject of one of our many securities industry sales practice abuse investigations. Mengxuan Zhang has also been the subject of a FINRA investigation for allegedly falsifying client signatures on account forms were of 3 different customers.  Without admitting or denying the allegations, Mengxuan Zhang, consented to a one-month suspension and $5, 000 fine. Mengxuan Zhang Customer Complaint Mengxuan Zhang 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 customers alleged they were sold an unsuitable product. The customer complaint filed against Mengxuan Zhang’s former employer Cetera Investment Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Mengxuan Zhang Red Flags & Your Rights As An Investor Of course, Mengxuan Zhang 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 Mengxuan Zhang at Cetera Investment Services on alert to review carefully the activity and performance of their accounts and question whether Mengxuan Zhang has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera 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 Investment Services Due To Mengxuan Zhang If you have questions about Cetera Investment Services and/or Mengxuan Zhang 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

H. Brock Seibold of LPL Financial

DID H. BROCK SEIBOLD CAUSE YOU INVESTMENT LOSSES? H. Brock Seibold Of LPL Financial And Formerly With Cetera Advisor Networks Has 2 Customer Complaints For Alleged Broker Misconduct Who is H. Brock Seibold of LPL Financial? H. Brock Seibold (CRD #4640150) who is currently registered with LPL Financial and located in Berkley, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, H. Brock Seibold was associated with Cetera Advisor Networks and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. H. Brock Seibold Customer Complaints H. Brock Seibold has been the subject of 2 customer complaints that we know about. Both of H. Brock Seibold’s customers’ complaints were denied and, to date, the customers have 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. Allegations Against H. Brock Seibold A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged forgery by H. Brock Seibold. Customer was unhappy that she could not liquidate the investment allegedly made by H. Brock Seibold until after the one-year holding period. H. Brock Seibold Red Flags & Your Rights As An Investor Of course, H. Brock Seibold 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 H. Brock Seibold at LPL Financial and Cetera Advisor Networks on alert to review carefully the activity and performance of their accounts and question whether H. Brock Seibold has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and Cetera Advisor Networks 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 LPL Financial Due To H. Brock Seibold If you have questions about LPL Financial, Cetera Advisor Networks, and/or H. Brock Seibold 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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