Oct 7, 2023

Tek Wiegert of Northwestern Mutual Investment Services, LLC

DID TEK R WIEGERT CAUSE YOU INVESTMENT LOSSES? Tek Wiegert Of Northwestern Mutual Investment Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Tek Wiegert Customer Complaint Tek Wiegert has been the subject of at least one customer complaint that we know about recovering investment losses. The allegations made in the FINRA reported customer complaint for investment losses were sales of life insurance policies did not address their financial needs and goals. Northwestern Mutual Investment Services settled the customer complaint in favor the investor. Tek Wiegert Red Flags & Your Rights As An Investor Of course, Tek Wiegert 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 Tek Wiegert at Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Tek Wiegert has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual 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. 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 Northwestern Mutual Investment Services, LLC Due To Tek Wiegert If you have questions about Northwestern Mutual Investment Services, LLC and/or Tek Wiegert 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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Oct 5, 2023

Efrain Trujillo formerly with Western International Securities, Inc.

DID EFRAIN BALDERRAMA TRUJILLO CAUSE YOU INVESTMENT LOSSES? Efrain Trujillo Formerly With Western International Securities, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Efrain Trujillo Customer Complaints Efrain Trujillo has been the subject of 2 customer complaints that we know about recovering investment losses. Financial West Group settled one of the customer complaints against the financial advisor in favor of the investor. There is currently one complaint filed against Western International Securities for Efrain Trujillo’s nonpayment of a promissory note and excessive trading. Allegations Against Efrain Trujillo A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Efrain Trujillo Red Flags & Your Rights As An Investor Of course, Efrain Trujillo 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 Efrain Trujillo at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Efrain Trujillo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, 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 Western International Securities, Inc. Due To Efrain Trujillo If you have questions about Western International Securities, Inc. and/or Efrain Trujillo 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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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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Aug 4, 2023

William Penland, Jr. of Ameriprise Financial Services, LLC

DID WILLIAM EARL PENLAND JR CAUSE YOU INVESTMENT LOSSES? William Penland, Jr. Of Ameriprise Financial Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct William Penland, Jr. Customer Complaints William Penland, Jr. has been the subject of 2 customer complaints that we know about to recover investment losses. Both customer complaints were denied and to date, no further action has been taken. Allegations Against William Penland, Jr. A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: William Penland, Jr. Red Flags & Your Rights As An Investor Of course, William Penland, Jr. 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 William Penland, Jr. at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether William Penland, Jr. has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial 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. 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 William Penland, Jr. If you have questions about Ameriprise Financial Services, LLC and/or William Penland, Jr. 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 18, 2023

Thomas Swan of Western International Securities, Inc.

DID THOMAS BRIAN SWAN CAUSE YOU INVESTMENT LOSSES? Thomas Swan Of Western International Securities, Inc. 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. One customer complaint was settled in favor of the investor. Another customer complaint was denied by Thomas Swan’s former employer and the customer took no further action. There are currently 2 arbitration proceedings pending against Western International Securities for Thomas Swan’s alleged misconduct. Allegations Against Thomas Kieffer 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, Inc. 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, 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 Western International Securities, Inc. Due To Thomas Swan If you have questions about Western International Securities, Inc. 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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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

Narith Long formerly with NYLIFE Securities LLC

DID NARITH LONG CAUSE YOU INVESTMENT LOSSES? Narith Long Formerly With NYLIFE Securities LLC and Northwestern Mutual Investment Services, LLC Has 8 Customer Complaints For Alleged Broker Misconduct Narith Long Customer Complaints Narith Long has been the subject of 8 customer complaints that we know about to recover investment losses. All 8 of the customer complaints were settled by NYLIFE Securities in favor of the investors. Allegations Against Narith Long A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Narith Long Red Flags & Your Rights As An Investor Of course, Narith Long 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 Narith Long at NYLIFE Securities LLC and Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Narith Long has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLIFE Securities 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 NYLIFE Securities LLC Due To Narith Long If you have questions about NYLIFE Securities LLC, Northwestern Mutual Investment Services, LLC and/or Narith Long 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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