Mar 4, 2022

James Stottlemyre formerly with LPL Financial

DID JAMES ARTHUR STOTTLEMYRE CAUSE YOU INVESTMENT LOSSES? James Stottlemyre Formerly With LPL Financial And Cetera Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is James Stottlemyre formerly with LPL Financial? James Stottlemyre (CRD #4996744) who was formerly registered with LPL Financial and located in Kennewick, Washington is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, James Stottlemyre was associated with Cetera Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Stottlemyre Customer Complaint James Stottlemyre 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 breach of contract, violation of Washington securities law, suitability, breach of fiduciary duty, professional negligence. James Stottlemyre’s customer complaint was settled in favor of the investors. James Stottlemyre Red Flags & Your Rights As An Investor Of course, James Stottlemyre 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 Stottlemyre at LPL Financial and Cetera Investment Services on alert to review carefully the activity and performance of their accounts and question whether James Stottlemyre has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and 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 LPL Financial Due To James Stottlemyre If you have questions about LPL Financial, Cetera Investment Services, and/or James Stottlemyre 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.

Continue Reading

Mar 3, 2022

Brian Megley of Cetera Advisors LLC

DID BRIAN JAMES MEGLEY CAUSE YOU INVESTMENT LOSSES? Brian Megley Of Cetera Advisors LLC And Formerly With Investors Capital Corp. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Brian Megley of Cetera Advisors LLC? Brian Megley (CRD #2302308) who is currently registered with Cetera Advisors LLC and located in Newport, Rhode Island is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Cetera Advisors LLC, Brian Megley was associated with Investors Capital Corp. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brian Megley Customer Complaints Brian Megley has been the subject of 4 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Brian Megley’s 4 customer complaints was settled in favor of investors. Two of Brian Megley’s customer complaints were denied and, to date, the customers have not taken any further action. There is currently 1 pending customer complaint filed against Brian Megley’s current employer Cetera Advisors LLC for investment losses caused by the alleged misconduct. Allegations Against Brian Megley   A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unlawful liquidation of investment, without required discretionary authority. Failure to follow instructions. Brian Megley Red Flags & Your Rights As An Investor Of course, Brian Megley 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 Brian Megley at Cetera Advisors LLC and Investors Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Brian Megley 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. 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 LLC Due To Brian Megley If you have questions about Cetera Advisors LLC, Investors Capital Corp., and/or Brian Megley 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.

Continue Reading

Feb 25, 2022

Brandon Williams of LPL Financial LLC

DID BRANDON CHRISTOPHER WILLIAMS CAUSE YOU INVESTMENT LOSSES? Brandon Williams Of LPL Financial LLC And Formerly With Cetera Investment Services LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Brandon Williams of LPL Financial LLC? Brandon Williams (CRD #5239801) who is currently registered with LPL Financial LLC and located in Fort Worth, Texas is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, Brandon Williams was associated with Cetera Investment Services LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brandon Williams Customer Complaint Brandon Williams 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 Brandon Williams failed to inform the customer as a distribution from an annuity contract would have negative consequences for her.  Brandon Williams’ customer complaint was settled in favor of the investors. Brandon Williams Red Flags & Your Rights As An Investor Of course, Brandon Williams 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 Brandon Williams at LPL Financial LLC and Cetera Investment Services LLC on alert to review carefully the activity and performance of their accounts and question whether Brandon Williams 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 Investment Services 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. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Brandon Williams If you have questions about LPL Financial LLC, Cetera Investment Services LLC and/or Brandon Williams 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.

Continue Reading

Feb 23, 2022

Barry Debany of Cetera Advisor Networks LLC

DID BARRY PAUL DEBANY CAUSE YOU INVESTMENT LOSSES? Barry Debany Of Cetera Advisor Networks LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Barry Debany of Cetera Advisor Networks LLC? Barry Debany (CRD #2208573) who is currently registered with Cetera Advisor Networks LLC and located in Tarrytown, New York is a subject of one of our many securities industry sales practice abuse investigations.   Barry Debany Customer Complaints Barry Debany 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 Barry Debany’s 2 customer complaints was settled in favor of investors. One of Barry Debany’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Barry Debany A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Financial advisor placed trades without her authorization and did not take tax implications into consideration when making those investments. Misrepresentation related to purchase of an AXA Equitable variable annuity. Barry Debany Red Flags & Your Rights As An Investor Of course, Barry Debany 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 Barry Debany at Cetera Advisor Networks LLC on alert to review carefully the activity and performance of their accounts and question whether Barry Debany has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks LLC 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 AtCetera Advisor Networks LLC Due To Barry Debany If you have questions about Cetera Advisor Networks LLC and/or Barry Debany 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.

Continue Reading

Jan 20, 2022

Anthony Fazio of Cetera Advisors LLC

DID ANTHONY LEE FAZIO CAUSE YOU INVESTMENT LOSSES? Anthony Fazio Formerly With Cetera Advisors LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Anthony Fazio formerly with Cetera Advisors LLC? Anthony Fazio (CRD #1043927) who was formerly registered with Cetera Advisors LLC and located in Excelsior, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Anthony Fazio Customer Complaint Anthony Fazio 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 two VA policies were misrepresented when sold to her and her mother. Anthony Fazio’s customer complaint was settled in favor of investors. Anthony Fazio Red Flags & Your Rights As An Investor Of course, Anthony Fazio 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 Fazio at Cetera Advisors LLC on alert to review carefully the activity and performance of their accounts and question whether Anthony Fazio has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors 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. File A Claim To Recover Your Investment Losses At Cetera Advisors LLC Due To Anthony Fazio If you have questions about Cetera Advisors LLC and/or Anthony Fazio 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.

Continue Reading

Jan 20, 2022

Robert Berg of Cetera Advisor Networks LLC

DID ROBERT EUGENE BERG CAUSE YOU INVESTMENT LOSSES? Robert Berg of Cetera Advisor Networks LLC, Summit Financial Group And Formerly With Summit Brokerage Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Robert Berg of Cetera Advisor Networks LLC? Robert Berg (CRD #1218879) who is currently registered with Cetera Advisor Networks LLC, Summit Financial Group and located in Danbury, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisor Networks LLC, Summit Financial Group, Robert Berg was associated with Summit Brokerage Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Berg Customer Complaints Robert Berg has been the subject of 3 customer complaints that we know about. Two of Robert Berg’s 3 customer complaints resulted in arbitration awards in favor of investors. One of Robert Berg’s 3 customer complaints was settled in favor of investors. Allegations Against Robert Berg A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Robert Berg’s alleged aggressive and speculative investment recommendations. Client alleges unauthorized withdrawal of funds by Robert Berg. Robert Berg’s alleged unsuitable and excessive investing in stocks. Robert Berg Red Flags & Your Rights As An Investor Of course, Robert Berg 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 Berg at Cetera Advisor Networks LLC, Summit Financial Group and Summit Brokerage Services on alert to review carefully the activity and performance of their accounts and question whether Robert Berg has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks LLC, Summit Financial Group and Summit Brokerage Services 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 Advisor Networks LLC and Summit Brokerage Services Due To Robert Berg If you have questions about Cetera Advisor Networks LLC, Summit Financial Group, Summit Brokerage Services, and/or Robert Berg 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.

Continue Reading

Jan 20, 2022

Kathleen Almulla of Cetera Advisor Networks

DID KATHLEEN JEAN ALMULLA CAUSE YOU INVESTMENT LOSSES? Kathleen Almulla of Cetera Advisor Networks, Summit Financial Group, And Formerly with Summit Brokerage Services Has A Customer Complaint for Alleged Broker Misconduct Who is Kathleen Almulla of Cetera Advisor Networks? Kathleen Almulla (CRD #1046406) who is currently registered with Cetera Advisor Networks, Summit Financial Group and located in Orlando, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisor Networks, Summit Financial Group, Kathleen Almulla was associated with Summit Brokerage Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kathleen Almulla Customer Complaint Kathleen Almulla has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint about investment losses were a breach of fiduciary duty, interference with an inheritance expectancy. The customer complaint filed against Kathleen Almulla’s current employer Summit Brokerage Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Kathleen Almulla Red Flags & Your Rights as an Investor Of course, Kathleen Almulla 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 Kathleen Almulla at Cetera Advisor Networks, Summit Financial Group, and Summit Brokerage Services on alert to review carefully the activity and performance of their accounts and question whether Kathleen Almulla has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Cetera Advisor Networks, Summit Financial Group, and Summit Brokerage 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 Kathleen Almulla If you have questions about Cetera Advisor Networks, Summit Financial Group, Summit Brokerage Services, and/or Kathleen Almulla 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.

Continue Reading

Jan 20, 2022

Isaac Chan of Cetera Investment Services LLC

DID ISAAC WING HON CHAN CAUSE YOU INVESTMENT LOSSES? Isaac Chan of Cetera Investment Services LLC, Cetera Investment Advisers And Formerly With Merrill Lynch, Pierce, Fenner & Smith Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Isaac Chan of Cetera Investment Services LLC? Isaac Chan (CRD #3040785) who is currently registered with Cetera Investment Services LLC, Cetera Investment Advisers and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Investment Services LLC and Cetera Investment Advisers, Isaac Chan was associated with Merrill Lynch, Pierce, Fenner & Smith Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Isaac Chan Customer Complaints Isaac Chan 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 Isaac Chan’s customers’ complaints was denied and the customers did not take any further action. The other customer complaint was settled in favor of investors. Allegations Against Isaac Chan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleges unsuitable investment recommendations made by Isaac Chan. The client is requesting the cancellation of an investment purchase allegedly made by Isaac Chan. The client alleges she does not understand the investment based upon an alleged language barrier. Isaac Chan Red Flags & Your Rights As An Investor Of course, Isaac Chan 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 Isaac Chan at Cetera Investment Services LLC, Cetera Investment Advisers and Merrill Lynch, Pierce, Fenner & Smith Inc. on alert to review carefully the activity and performance of their accounts and question whether Isaac Chan 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 Merrill Lynch, Pierce, Fenner & Smith 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. File A Claim To Recover Your Investment Losses At Cetera Investment Services LLC Due To Isaac Chan If you have questions about Cetera Investment Services LLC, Cetera Investment Advisers, Merrill Lynch, Pierce, Fenner & Smith Inc., and/or Isaac Chan 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.

Continue Reading

Jan 20, 2022

George Ly of LPL Financial LLC

DID GEORGE LY CAUSE YOU INVESTMENT LOSSES? George Ly of LPL Financial LLC And Formerly With Cetera Investment Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is George Ly of LPL Financial LLC? George Ly (CRD #4630985) who is currently registered with LPL Financial LLC and located in La Mirada, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, George Ly was associated with Cetera Investment Advisers, Cetera Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. George Ly Customer Complaints George Ly has been the subject of at least 3 customer complaints that we know about. The allegations made in the FINRA reported customer complaints for investment losses were for George Ly’s alleged misrepresentations and unsuitable investment recommendations. The customer complaint filed against George Ly’s former employer Cetera Investment Services for investment losses caused by the alleged misconduct is still pending as of the date of this report. George Ly Red Flags & Your Rights As An Investor Of course, George Ly 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 Ly at LPL Financial LLC, Cetera Investment Advisers and Cetera Investment Services on alert to review carefully the activity and performance of their accounts and question whether George Ly has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC, Cetera Investment Advisers and 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 LPL Financial LLC Due To George Ly If you have questions about LPL Financial LLC, Cetera Investment Advisers, Cetera Investment Services, and/or George Ly 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.

Continue Reading

Jan 20, 2022

Diana Plucienkowski of Cetera Advisor Networks

DID DIANA LYNN PLUCIENKOWSKI CAUSE YOU INVESTMENT LOSSES? Diana Plucienkowski of Cetera Advisor Networks, Summit Financial Group and Formerly with Summit Brokerage Services Has A Customer Complaint for Alleged Broker Misconduct Who is Diana Plucienkowski of Cetera Advisor Networks? Diana Plucienkowski (CRD #2669520) who is currently registered with Cetera Advisor Networks and Summit Financial Group and located in Ft Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisor Networks and Summit Financial Group, Diana Plucienkowski was associated with Summit Brokerage Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Diana Plucienkowski Customer Complaint Diana Plucienkowski 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 breach of fiduciary duty. Diana Plucienkowski’s customer complaint was denied and the customer did not take any further action. Diana Plucienkowski Red Flags & Your Rights as An Investor Of course, Diana Plucienkowski 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 Diana Plucienkowski at Cetera Advisor Networks, Summit Financial Group, and Summit Brokerage Services on alert to review carefully the activity and performance of their accounts and question whether Diana Plucienkowski has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Cetera Advisor Networks, Summit Financial Group and Summit Brokerage Services also raises questions about the brokerage firm 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 Diana Plucienkowski If you have questions about Cetera Advisor Networks, Summit Financial Group, Summit Brokerage Services, and/or Diana Plucienkowski 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.

Continue Reading