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.

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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.

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Jan 20, 2022

Dennis Reeve of Cetera Investment Services LLC

DID DENNIS ALLEN REEVE CAUSE YOU INVESTMENT LOSSES? Dennis Reeve Formerly With Cetera Investment Services LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Dennis Reeve formerly with Cetera Investment Services LLC? Dennis Reeve (CRD #1603350) who was formerly registered with Cetera Investment Services LLC and located in Warsaw, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Dennis Reeve Customer Complaint Dennis Reeve 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 breach of fiduciary duty, violation of FINRA rules, breach of contract and negligence. Dennis Reeve’s customer complaint was settled in favor of investors. Dennis Reeve Red Flags & Your Rights As An Investor Of course, Dennis Reeve 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 Dennis Reeve at Cetera Investment Services LLC on alert to review carefully the activity and performance of their accounts and question whether Dennis Reeve has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 Cetera Investment Services LLC Due To Dennis Reeve If you have questions about Cetera Investment Services LLC, and/or Dennis Reeve 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

Daniel McPherson of Cetera Advisors, LLC

DID DANIEL GEORGE MCPHERSON CAUSE YOU INVESTMENT LOSSES? Daniel George McPherson Formerly with Cetera Advisors, LLC Has 3 Customer Complaints for Alleged Broker Misconduct Who is Daniel G. McPherson formerly with Cetera Advisors, LLC? Daniel McPherson (CRD #4964802) who was formerly registered with Cetera Advisors, LLC and located in Idaho Falls, Idaho is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Cetera Advisors LLC, Daniel McPherson was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cetera Advisors, LLC Broker Misconduct In his career, Daniel McPherson has been the subject of 3 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. One of Daniel McPherson’s 3 customer complaints was settled in favor of investors for $1 million. There is currently one pending customer complaint filed against Daniel McPherson’s former employer Cetera Advisors, LLC for investment losses caused by his alleged misconduct. Allegations Against Daniel McPherson   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleged that Daniel McPherson made unsuitable investment recommendations to invest in variable annuities, real estate securities, and other private placement investments. The client alleged that Daniel McPherson made an unsuitable equity-indexed annuities (EIA) investment recommendation. The claimant alleged that Daniel McPherson made misrepresentations in unsuitable investment recommendations to invest in equipment leasing and oil and gas private placements, and a Tenant in Common (TIC) investment. Daniel McPherson Red Flags & Your Rights as An Investor Of course, Daniel McPherson 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 Daniel McPherson at Cetera Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Daniel McPherson 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 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 Advisors, LLC If you have questions about Cetera Advisors, LLC and/or Daniel McPherson 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

Dan Vismor of David Lerner Associates, Inc

DID DAN CHARLES VISMOR CAUSE YOU INVESTMENT LOSSES? Dan Charles Vismor with David Lerner Associates, Inc. Has A Customer Complaint for Alleged Broker Misconduct in The Past 2 Years Who is Dan C. Vismor with David Lerner Associates, Inc.? Dan Vismor (CRD #5321492) who is currently registered with David Lerner Associates, Inc. and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Prior to David Lerner Associates, Inc., Dan Vismor was associated with Newbridge Securities Corporation, Cetera Financial Group, and Centaurus Financial, Inc., and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Lerner Associates, Inc. And Cetera Financial Group Broker Misconduct Dan Vismor was the subject of a recent customer complaint that we know about that was filed in the last 2 years to recover investment losses. The customer’s alleged that Dan Vismor made misrepresentations in unsuitable investment recommendations in breach of his fiduciary duty to invest in real estate securities. Dan Vismor’s customer complaint was settled in favor of the investors. Dan Vismor Red Flags & Your Rights as An Investor Of course, Dan Vismor 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 Dan Vismor at David Lerner Associates, Inc., Newbridge Securities Corporation and Centaurus Financial, Inc. n/k/a Cetera Financial Group on alert to review carefully the activity and performance of their accounts and question whether Dan Vismor has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at David Lerner Associates, Inc., Newbridge Securities Corporation and Centaurus Financial, 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 David Lerner Associates, Inc., Newbridge Securities Corporation, Centaurus Financial, Inc. n/k/a Cetera Financial Group If you have questions about David Lerner Associates, Inc., Newbridge Securities Corporation, Centaurus Financial, Inc. n/k/a Cetera Financial Group and/or Dan Vismor 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

Billy Martin of Cetera Advisors LLC

DID BILLY WAYNE MARTIN CAUSE YOU INVESTMENT LOSSES? Billy Wayne Martin formerly with Cetera Advisors LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Billy W. Martin formerly with Cetera Advisors LLC? Billy Martin (CRD #2021424) who was formerly registered with Cetera Advisors LLC and located in Cape Girardeau, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors LLC, Billy Martin was associated with 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cetera Advisors LLC Broker Misconduct In his career, Billy Martin has been the subject of 2 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. One of Billy Martin’s customer’s complaints was settled in favor of investors. There is currently one pending customer complaint filed against Billy Martin’s former employer Cetera Advisors LLC for investment losses caused by his alleged misconduct. Allegations Against Billy Martin A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged that Billy Martin made unsuitable investment recommendations to invest in direct investments. Customers alleged that Billy Martin made unsuitable investment recommendations to cause them to invest in a direct investment involving real estate. Billy Martin Red Flags & Your Rights As An Investor Of course, Billy Martin 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 Billy Martin at Cetera Advisors LLC on alert to review carefully the activity and performance of their accounts and question whether Billy Martin has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Cetera Advisors LLC which 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 Advisors LLC If you have questions about Cetera Advisors LLC and/or Billy Martin 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

Scott Kaup of Cetera Advisor Networks

DID SCOTT VINCENT KAUP CAUSE YOU INVESTMENT LOSSES? Scott Vincent Kaup Of Cetera Advisor Networks Has 3 Customer Complaints for Alleged Broker Misconduct Who is Scott V. Kaup of Cetera Advisor Networks? Scott Kaup (CRD #1002907) who is currently registered with Cetera Advisor Networks and located in Stuart, Nebraska is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisor Networks, Scott Kaup was associated with Summit Brokerage Services and 8 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cetera Advisor Networks Broker Misconduct In his career, Scott Kaup has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. All three customer complaints against Scott Kaupp arose at VSR Financial Services and all 3 were settled in favor of investors. Allegations Against Scott Kaup A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleges Scott Kaup made unsuitable investment recommendations, material misrepresentations, and omissions, and supervisory due diligence failures. Scott Kaup made unsuitable recommendations and committed common law fraud, breach of fiduciary duty, and negligence. Scott Kaup Red Flags & Your Rights as An Investor Of course, Scott Kaup 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 Scott Kaup at Cetera Advisor Networks on alert to review carefully the activity and performance of their accounts and question whether Scott Kaup has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Cetera Advisor Networks which 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 Advisor Networks If you have questions about Cetera Advisor Networks and/or Scott Kaup 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

Patricia Gleason of Cetera Advisors

DID PATRICIA ANN GLEASON CAUSE YOU INVESTMENT LOSSES? Patricia Ann Gleason of Cetera Advisors Has 3 Customer Complaints for Alleged Broker Misconduct Who is Patricia A. Gleason of Cetera Advisors? Patricia Gleason (CRD #2811669) who is currently registered with Cetera Advisors and located in Alachua, FL is the subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors, Patricia Gleason was associated with Morgan Stanley & Co. and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Patricia Gleason Customer Complaints In his/her career, Patricia Gleason has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. One of Patricia Gleason’s 3 customer complaints was settled in favor of investors. Two of the customer’s complaints were denied and the customers did not take any further action. Allegations Against Patricia Gleason A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Unsuitable investments, excessive commissions, mismanagement, and churning by Patricia Gleason. The client alleges that rolling over his 401 k into a 2005 IRA brokerage account and then utilizing some of the funds to repay other debts was not suitable advice. The client alleges agent Patricia Gleason filled out and signed their names to an annuity change of dealer form. Patricia Gleason Red Flags & Your Rights as An Investor Of course, Patricia Gleason 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 Patricia Gleason at Cetera Advisors on alert to review carefully the activity and performance of their accounts and question whether Patricia Gleason has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Cetera Advisors which 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 Advisors If you have questions about Cetera Advisors and/or Patricia Gleason 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

Clara Tang of Cetera Investment Services, LLC

DID CLARA C. TANG CAUSE YOU INVESTMENT LOSSES? Clara C. Tang Formerly with Cetera Investment Services, LLC Has 2 Customer Complaints for Alleged Broker Misconduct Who is Clara C. Tang formerly with Cetera Investment Services, LLC? Clara Tang (CRD #4852979) who was formerly registered with Cetera Investment Services, LLC and located in Cupertino, California is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Cetera Investment Services, LLC, Clara Tang was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cetera Investment Services, LLC Broker Misconduct In her career, Clara Tang has been the subject of 2 customer complaints that we know about, one of those complaints were filed in the last 2 years to recover investment losses. One of Clara Tang’s customer complaints was settled in favor of investors.   The other customer complaint was recently denied by Cetera Investment Services, LLC, and, so far, the customer has not taken any further action. Allegations Against Clara Tang A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleged that Clara Tang allowed another person to forge her signature transfer funds and purchase illiquid investment products in the account. Claimants alleged unsuitable investment recommendations and breach of Clara Tang’s fiduciary duty, and elder financial abuse in connection with REIT and other business development company investments. Clara Tang Red Flags & Your Rights as An Investor Of course, Clara Tang 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 Clara Tang at Cetera Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Clara Tang has engaged in any stockbroker misconduct that may have caused them investment losses. There had been a large number of customer complaints at Cetera Investment Services, LLC which 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 If you have questions about Cetera Investment Services LLC and/or Clara Tang 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 Rockwell of Cetera Advisor Networks LLC

DID DAVID AARON ROCKWELL CAUSE YOU INVESTMENT LOSSES? David Aaron Rockwell formerly with Cetera Advisor Networks LLC Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is David A. Rockwell formerly with Cetera Advisor Networks LLC? David Rockwell (CRD #4236377) who was formerly registered with Cetera Advisor Networks LLC and located in Fort Myers, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisor Networks LLC, David Rockwell was associated with Suntrust Investment Services, Inc. and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Rockwell has had his share of regulatory problems. In July 2015, it was alleged by the Florida Office of Financial Regulation that he made material false statement on his application for registration. Last year, David Rockwell failed to respond to a FINRA request for information in one of its investigations and he was initially suspended and then permanently barred in all capacities from any further employment by a FINRA member firm in the securities industry. Cetera Advisor Networks, LLC Broker Misconduct In his career, David Rockwell has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last 2 years to recover investment losses. One of David Rockwell’s 3 customer complaints was settled in favor of investors. There are currently 2 pending customer complaints filed against David Rockwell’s former employer Cetera Advisor Networks LLCfor investment losses caused by his alleged misconduct. Allegations Against David Rockwell   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleged that David Rockwell misappropriated money from his investment accounts to invest in a private security related to a company-owned by him. The complaint was settled for $215,000 by his former employer, Cetera Advisor Networks, LLC. Claimants alleges that David Rockwell obtain loans in their name was secured by their brokerage accounts without there are authorization. Client’s alleged that David Rockwell was involved in forgery and fraud regarding their accounts. David Rockwell Red Flags & Your Rights As An Investor Of course, David Rockwell 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 Rockwell at Cetera Advisor Networks LLC and Suntrust Investment Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Rockwell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks LLC in such a short period 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 Advisor Networks LLC If you have questions about Cetera Advisor Networks LLC, Suntrust Investment Services, Inc. and/or David Rockwell 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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