Oct 2, 2023

Thomas Swan of Western International Securities

DID THOMAS BRIAN SWAN CAUSE YOU INVESTMENT LOSSES? Thomas Swan Of Western International Securities Has 4 Customer Complaints For Alleged Broker Misconduct Thomas Swan Customer Complaints Thomas Swan has been the subject of 4 customer complaints that we know about to recover investment losses. Three customer complaints were settled by Western International Securities in favor of the investors. Another customer complaint was denied by Thomas Swan’s former employer and the customer took no further action. There is currently one arbitration proceeding pending against Western International Securities for Thomas Swan’s alleged misconduct. Allegations Against Thomas Swan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Thomas Swan Red Flags & Your Rights As An Investor Of course, Thomas Swan 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 Thomas Swan at Western International Securities on alert to review carefully the activity and performance of their accounts and question whether Thomas Swan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Western International Securities Due To Thomas Swan If you have questions about Western International Securities and/or Thomas Swan 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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Sep 4, 2023

Andrew Brookman of Aegis Capital Corp

DID ANDREW MICHAEL BROOKMAN CAUSE YOU INVESTMENT LOSSES? Andrew Brookman Of Aegis Capital Corp And Formerly With LPL Financial LLC and Oppenheimer & Co. Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Andrew Brookman Customer Complaints Andrew Brookman has been the subject of 4 customer complaints that we know about recovering investment losses. Two of the customer complaints were settled by LPL Financial and Brill Securities in favor of the investors. One customer complaint was denied by Ages Capital Corp. and later withdrawn. The other customer complaint against LPL Financial for Andrew Brookman’s alleged misconduct was recently filed and is still pending. Allegations Against Alex Mathis A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Andrew Brookman Red Flags & Your Rights As An Investor Of course, Andrew Brookman 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 Andrew Brookman at Aegis Capital Corp, LPL Financial LLC and Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Andrew Brookman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp, LPL Financial LLC and Oppenheimer & Co. 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Aegis Capital Corp Due To Andrew Brookman If you have questions about Aegis Capital Corp, LPL Financial LLC, Oppenheimer & Co. Inc. and/or Andrew Brookman 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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Jul 14, 2023

Steven Westerman of UBS Financial Services Inc.

DID STEVEN WESTERMAN CAUSE YOU INVESTMENT LOSSES? Steven Westerman Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Steven Westerman Customer Complaint Steven Westerman has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for failure to follow customer’s instructions to liquidate customer’s account in a timely manner. UBS Financial Services settled the customer complaint in favor the investor. Steven Westerman Red Flags & Your Rights As An Investor Of course, Steven Westerman 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 Steven Westerman at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Steven Westerman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Steven Westerman If you have questions about UBS Financial Services Inc. and/or Steven Westerman 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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May 11, 2023

Myles Easter of Bankers Life Securities, Inc.

DID MYLES WILLIAM EASTER CAUSE YOU INVESTMENT LOSSES? Myles Easter Of Bankers Life Securities, Inc. And Formerly With New England Securities Has 4 Customer Complaints For Alleged Broker Misconduct Myles Easter Customer Complaints Myles Easter has been the subject of 4 customer complaints that we know about to recover investment losses. One of the customer complaints evolved into a FINRA arbitration proceeding and resulted in an arbitration award against Myles Easter. Another customer complaint was settled by the financial advisor’s current employer in favor the investor. The remaining 2 complaints were denied by Bankers Life Securities and, to date, the customers have not taken any further action. Allegations Against Myles Easter A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Myles Easter Red Flags & Your Rights As An Investor Of course, Myles Easter 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 Myles Easter at Bankers Life Securities, Inc. and New England Securities on alert to review carefully the activity and performance of their accounts and question whether Myles Easter has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Bankers Life Securities, Inc. and New England 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Bankers Life Securities, Inc. Due To Myles Easter If you have questions about Bankers Life Securities, Inc., New England Securities and/or Myles Easter 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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Apr 14, 2023

Mark Katz of Western International Securities, Inc.

DID MARK KATZ CAUSE YOU INVESTMENT LOSSES? Mark Katz Of Western International Securities, Inc. And Formerly With Hilltop Securities Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Mark Katz Customer Complaints Mark Katz has been the subject of 3 customer complaints that we know about to recover investment losses. One customer complaint was settled by Hilltop Securities in favor of the investor. The other 2 customer complaints were denied by the same brokerage firm and the customers took no further action. Allegations Against Mark Katz A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Mark Katz Red Flags & Your Rights As An Investor Of course, Mark Katz 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 Katz at Western International Securities, Inc. and Hilltop Securities Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Katz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, Inc. and Hilltop Securities 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Western International Securities, Inc. Due To Mark Katz If you have questions about Western International Securities, Inc., Hilltop Securities Inc. and/or Mark Katz and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Feb 21, 2023

Jessica Mansavage formerly with Ameriprise Financial Services, LLC

DID JESSICA L. MANSAVAGE CAUSE YOU INVESTMENT LOSSES? Jessica Mansavage Formerly With Ameriprise Financial Services, LLC and Northwestern Mutual Investment Services LLC Has A Customer Complaint For Alleged Broker Misconduct Jessica Mansavage Customer Complaint Jessica Mansavage has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were or failure to follow client’s instruction about reallocation within his Jackson National variable annuity. Jessica Mansavage’s former employer Northwest and Mutual Investment Services denied the customer complaint and, to date, the customer is not taking any further action. Jessica Mansavage Red Flags & Your Rights As An Investor Of course, Jessica Mansavage 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 Jessica Mansavage at Ameriprise Financial Services, LLC and Northwestern Mutual Investment Services LLC on alert to review carefully the activity and performance of their accounts and question whether Jessica Mansavage has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC and Northwestern Mutual Investment Services 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Ameriprise Financial Services, LLC Due To Jessica Mansavage If you have questions about Ameriprise Financial Services, LLC, Northwestern Mutual Investment Services LLC and/or Jessica Mansavage 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 15, 2023

Gregory Kearney of LPL Financial LLC

DID GREGORY WILLIAM KEARNEY CAUSE YOU INVESTMENT LOSSES? Gregory Kearney Of LPL Financial LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Gregory Kearney of LPL Financial LLC? Gregory Kearney (CRD #3245312) who is currently registered with LPL Financial LLC and located in Westport, Connecticut is a subject of one of our many securities industry sales practice abuse investigations.   Gregory Kearney Customer Complaint Gregory Kearney has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that the financial advisor misrepresented to structured notes investments. The brokerage firm settled the matter in favor of investors. Gregory Kearney Red Flags & Your Rights As An Investor Of course, Gregory Kearney 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 Gregory Kearney at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Gregory Kearney has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial 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 Gregory Kearney If you have questions about LPL Financial LLC and/or Gregory Kearney 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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Dec 15, 2022

Eric Gibbs of Fidelity Brokerage Services LLC

DID ERIC GIBBS CAUSE YOU INVESTMENT LOSSES? Eric Gibbs Of Fidelity Brokerage Services LLC And Formerly With Voya Financial Advisors, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Eric Gibbs of Fidelity Brokerage Services LLC? Eric Gibbs (CRD # 2767474) who is currently registered with Fidelity Brokerage Services LLC and located in West Hartford, Connecticut is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Fidelity Brokerage Services LLC, Eric Gibbs was associated with Voya Financial Advisors, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Eric Gibbs Customer Complaint Eric Gibbs has been the subject of at least one customer complaint that we know about, which was filed to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were failure to disclose tax liabilities related to distribution of an inherited IRA account. Eric Gibbs’ customer complaint was settled in favor of the investors.   Eric Gibbs Red Flags & Your Rights As An Investor Of course, Eric Gibbs 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 Eric Gibbs at Fidelity Brokerage Services LLC and Voya Financial Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Eric Gibbs has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage Services LLC and Voya Financial Advisors, 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 Fidelity Brokerage Services LLC Due To Eric Gibbs If you have questions about Fidelity Brokerage Services LLC, Voya Financial Advisors, Inc. and/or Eric Gibbs 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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Dec 12, 2022

Edward Bacher of LPL Financial LLC

DID EDWARD FRANCIS BACHER III CAUSE YOU INVESTMENT LOSSES? Edward Bacher Of LPL Financial LLC And Formerly With Voya Financial Advisors, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Edward Bacher of LPL Financial LLC? Edward Bacher (CRD #5565922) who is currently registered with LPL Financial LLC and located in Westerville, Ohio is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, Edward Bacher was associated with Voya Financial Advisors, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Edward Bacher Customer Complaint Edward Bacher 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 the financial advisor refused to take their positions out of the market in March 2020. Edward Bacher’s customer complaint was denied and, to date, the customer has not taken any further action. Edward Bacher Red Flags & Your Rights As An Investor Of course, Edward Bacher 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 Edward Bacher at LPL Financial LLC and Voya Financial Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Edward Bacher has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Voya Financial Advisors, 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 LPL Financial LLC Due To Edward Bacher If you have questions about LPL Financial LLC, Voya Financial Advisors, Inc. and/or Edward Bacher 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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Nov 21, 2022

Dawn West of LPL Financial LLC

DID DAWN SHERI WEST CAUSE YOU INVESTMENT LOSSES? Dawn West Of LPL Financial LLC And Formerly With Capital One Investing, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Dawn West of LPL Financial LLC? Dawn West (CRD #4797506) who is currently registered with LPL Financial LLC and located in Jackson Heights, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, Dawn West was associated with Capital One Investing, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Dawn West Customer Complaint Dawn West 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 related to an unsuitable investment recommendation to invest in a structured note. Dawn West’s customer complaint was settled in favor of the investor. Dawn West Red Flags & Your Rights As An Investor Of course, Dawn West 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 Dawn West at LPL Financial LLC and Capital One Investing, LLC on alert to review carefully the activity and performance of their accounts and question whether Dawn West has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Capital One Investing, 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 Dawn West If you have questions about LPL Financial LLC, Capital One Investing, LLC and/or Dawn West 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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