Jun 27, 2022

Chad Mackland formerly with Lion Street Financial

DID CHAD T. MACKLAND CAUSE YOU INVESTMENT LOSSES? Chad Mackland Formerly With Lion Street Financial, MML Investors Services And Northwestern Mutual Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is Chad Mackland formerly with Lion Street Financial? Chad Mackland (CRD #4933804) who was formerly registered with Lion Street Financial and located in Council Bluff, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Prior to Lion Street Financial, Chad Mackland was associated with MML Investors Services, Northwestern Mutual Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Chad Mackland Customer Complaint Chad Mackland 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 Chad Mackland churned the customer’s accounts, recommended unsuitable transactions, made fraudulent, false, and misleading representations, communications, and transactions and breached his fiduciary duties. The customer complaint filed against Chad Mackland’s former employer Northwestern Mutual Investment Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Chad Mackland Red Flags & Your Rights As An Investor Of course, Chad Mackland 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 Chad Mackland at Lion Street Financial, MML Investors Services, and Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Chad Mackland has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lion Street Financial, MML Investors Services, and Northwestern Mutual 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 Lion Street Financial Due To Chad Mackland If you have questions about Lion Street Financial, MML Investors Services, Northwestern Mutual Investment Services, and/or Chad Mackland 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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Jun 27, 2022

Cedric Powell of Ameriprise Financial Services LLC

It’s critical for everyone to learn all they can about the individuals with whom they entrust their money. There are several places where you may discover information on a person’s background, including prior employment history, regulatory enforcement actions, and consumer complaints. If you suffered investment losses due to Cedric Powell, we will do our best to answer any questions you may have. DID CEDRIC PERCELL POWELL CAUSE YOU INVESTMENT LOSSES? Cedric Powell Of Ameriprise Financial Services LLC And Formerly With Northwestern Mutual Investment Services, LLC Has 4 Customer Complaints For Alleged Broker Misconduct Who is Cedric Powell of Ameriprise Financial Services LLC? Cedric Powell (CRD #3249130) who is currently registered with Ameriprise Financial Services LLC and located in Tampa, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Ameriprise Financial Services LLC, Cedric Powell was associated with Northwestern Mutual Investment Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cedric Powell Customer Complaints Cedric Powell has been the subject of 4 customer complaints that we know about, 4 of those complaints were filed in the last year to recover investment losses. Two of Cedric Powell’s 4 customer complaints were settled in favor of investors. Two of Cedric Powell’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Cedric Powell A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Unauthorized withdrawals of funds from mutual fund account to pay premiums on insurance policies the customers were not aware existed. Financial Advisor purchase new life insurance policies as part of an investment portfolio and completed applications without their permission. Failure to explain risks of withdrawals from a 403B retirement account leading to unintended tax consequences. Cedric Powell Red Flags & Your Rights As An Investor Of course, Cedric Powell 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 Cedric Powell 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 Cedric Powell 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. File A Claim To Recover Your Investment Losses At Ameriprise Financial Services LLC Due To Cedric Powell If you have questions about Ameriprise Financial Services LLC, Northwestern Mutual Investment Services, LLC, and/or Cedric Powell 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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Jun 27, 2022

Callen Bryan of Cetera Advisor Networks LLC

DID CALLEN WAYNE BRYAN CAUSE YOU INVESTMENT LOSSES? Callen Bryan Of Cetera Advisor Networks LLC And Formerly With LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Callen Bryan of Cetera Advisor Networks LLC? Callen Bryan (CRD #1564405) who is currently registered with Cetera Advisor Networks LLC and located in Wheeling, West Virginia is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Cetera Advisor Networks LLC, Callen Bryan was associated with LPL Financial LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.  Callen Bryan Customer Complaints Callen Bryan has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses.  The complaints related to variable annuities. Both of Callen Bryan’s customer complaints were denied and, to date, the customers have not taken any further action. Callen Bryan Red Flags & Your Rights As An Investor Of course, Callen Bryan 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 Callen Bryan at Cetera Advisor Networks LLC and LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Callen Bryan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks LLC and LPL Financial 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 At Cetera Advisor Networks LLC Due To Callen Bryan If you have questions about Cetera Advisor Networks LLC, LPL Financial LLC,  and/or Callen Bryan 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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Jun 27, 2022

Andy Schwartz of LPL Financial LLC

DID ANDY MARK SCHWARTZ CAUSE YOU INVESTMENT LOSSES? Andy Schwartz Of LPL Financial LLC And Formerly With Northwestern Mutual Investment Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Andy Schwartz of LPL Financial LLC? Andy Schwartz (CRD #1317986) who is currently registered with LPL Financial LLC and located in Fairfield, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial, Andy Schwartz was associated with Northwestern Mutual Investment Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Andy Schwartz Customer Complaint Andy Schwartz 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 for failure to recommend sell order. Andy Schwartz’s customer complaint was denied and, to date, the customer has not taken any further action. Andy Schwartz Red Flags & Your Rights As An Investor Of course, Andy Schwartz 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 Andy Schwartz at LPL Financial and Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Andy Schwartz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and Northwestern Mutual 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 Andy Schwartz If you have questions about LPL Financial, Northwestern Mutual Investment Services, and/or Andy Schwartz and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Wesley Wong of Wells Fargo Advisors Financial Network

DID WESLEY WONG CAUSE YOU INVESTMENT LOSSES? Wesley Wong Of Wells Fargo Advisors Financial Network And Formerly With UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Wesley Wong of Wells Fargo Advisors Financial Network? Wesley Wong (CRD #2202301) who is currently registered with Wells Fargo Advisors Financial Network and located in Westlake Village, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Advisors Financial Network, Wesley Wong was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wesley Wong Customer Complaints Wesley Wong has been the subject of 2 customer complaints that we know about. One arbitration award was entered against UBS Financial Services for Wesley Wong’s alleged misconduct causing investors losses. One of Wesley Wong’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Wesley Wong A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged Wesley Wong did not liquidate his account as instructed. The client alleged that Wesley Wong failed to follow instructions to liquidate her account, negligence and breach of fiduciary duty. Wesley Wong Red Flags & Your Rights As An Investor Of course, Wesley Wong 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 Wesley Wong at Wells Fargo Advisors Financial Network and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Wesley Wong has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Advisors Financial Network and UBS Financial 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 Wells Fargo Advisors Financial Network Due To Wesley Wong If you have questions about Wells Fargo Advisors Financial Network, UBS Financial Services, and/or Wesley Wong and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Bradley Renberg of Ameriprise Financial Services

DID BRADLEY RENBERG CAUSE YOU INVESTMENT LOSSES? Bradley Renberg Of Ameriprise Financial Services, LLC Has 4 Customer Complaints For Alleged Broker Misconduct Who is Bradley Renberg of Ameriprise Financial Services, LLC? Bradley Renberg (CRD #2155253) who is currently registered with Ameriprise Financial Services, LLC and located in West Des Moines, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Bradley Renberg Customer Complaints Bradley Renberg has been the subject of 4 customer complaints that we know about. One of Bradley Renberg’s 4 customer complaints resulted in an arbitration award in favor of the investor. Two of Bradley Renberg’s 4 customer complaints were settled in favor of investors. One of Bradley Renberg’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Bradley Renberg A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged that they were recommended unsuitable investments and transactions including high-risk investments in the energy and retail sectors by Bradley Renberg. Claimants alleged Bradley Renberg’s unsuitable investment recommendations, misrepresentation, breach of fiduciary duty and excessive trading in connection with various transactions. Customer placed an order for 10,000 Circuit City @ 39 1/4. Afterwards, he wanted to cancel order and placed order for 10,000 @ 39 3/4. Cancellation did not occur resulting in 19,000 shares purchased. Customer alleged Bradley Renberg’s unauthorized purchase of 9000 shares. Subsequently sold 9000 shares for loss. Filed for arbitration alleging breach of contract, breach of fiduciary duty, violation of securities laws, omission of fact, unauthorized purchase and negligence. The clients alleged Bradley Renberg recommended unsuitable investments and executed unauthorized trades. Bradley Renberg Red Flags & Your Rights As An Investor Of course, Bradley Renberg 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 Bradley Renberg at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Bradley Renberg 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 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 Ameriprise Financial Services, LLC Due To Bradley Renberg If you have questions about Ameriprise Financial Services, LLC and/or Bradley Renberg and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Kevin McNeil formerly with SW Financial

DID KEVIN M. MCNEIL CAUSE YOU INVESTMENT LOSSES? Kevin McNeil Formerly With SW Financial, Dawson James Securities And Joseph Gunnar & Co. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Kevin McNeil formerly with SW Financial? Kevin McNeil (CRD #4166684) who was formerly registered with SW Financial and located in Fort Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to SW Financial, Kevin McNeil was associated with Dawson James Securities, Joseph Gunnar & Co., and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kevin McNeil Customer Complaints Kevin McNeil 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 Kevin McNeil’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Dawson James Securities and WestPark Capital for investment losses caused by Kevin McNeil’s alleged misconduct. Allegations Against Kevin McNeil A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Kevin McNeil’s alleged churning and unauthorized trades. Unauthorized trading allegedly by Kevin McNeil. Kevin McNeil Red Flags & Your Rights As An Investor Of course, Kevin McNeil 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 Kevin McNeil at SW Financial, Dawson James Securities, and Joseph Gunnar & Co. on alert to review carefully the activity and performance of their accounts and question whether Kevin McNeil has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SW Financial, Dawson James Securities, and Joseph Gunnar & Co. 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 SW Financial Due To Kevin McNeil If you have questions about SW Financial, Dawson James Securities, Joseph Gunnar & Co., and/or Kevin McNeil and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Kenneth McCabe of Centaurus Financial

DID KENNETH ALFRED MCCABE CAUSE YOU INVESTMENT LOSSES? Kenneth McCabe Of Centaurus Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Kenneth McCabe of Centaurus Financial? Kenneth McCabe (CRD #2980438) who is currently registered with Centaurus Financial and located in West Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Kenneth McCabe Customer Complaint Kenneth McCabe 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 that the investments made through the Registered Representative performed poorly.  The customer complaint was denied, and to date, no further action has been taken. Kenneth McCabe Red Flags & Your Rights As An Investor Of course, Kenneth McCabe 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 Kenneth McCabe at Centaurus Financial on alert to review carefully the activity and performance of their accounts and question whether Kenneth McCabe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Centaurus Financial 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 Centaurus Financial Due To Kenneth McCabe If you have questions about Centaurus Financial and/or Kenneth McCabe and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Jason Hawke of D.H. Hill Securities

DID JASON STEVEN HAWKE CAUSE YOU INVESTMENT LOSSES? Jason Hawke Of  D.H. Hill Securities, Hawke Financial Group And Formerly With National Securities and National Asset Management Has 9 Customer Complaints For Alleged Broker Misconduct Who is Jason Hawke of D.H. Hill Securities? Jason Hawke (CRD #4177415) who is currently registered with D.H. Hill Securities, Hawke Financial Groupand located in Meridian, Idaho is a subject of one of our many securities industry sales practice abuse investigations. Prior to D.H. Hill Securities and Hawke Financial Group, Jason Hawke was associated with National Securities, National Asset Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jason Hawke has also had his own regulatory problems.  In 2019, the State of Idaho alleged he violated FINRA rules in Idaho law when he personally participated in a private securities transactions without giving his broker-dealer prior notice.  As a result, he was suspended for 30 days and fined $10,000. Jason Hawke Customer Complaints Jason Hawke has been the subject of 9 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of Jason Hawke’s 9 customer complaints were settled in favor of investors. Four of Jason Hawke’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against National Securities for investment losses caused by Jason Hawke’s alleged misconduct. Allegations Against Jason Hawke A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jason Hawke’s alleged unsuitability in connection with the purchase of inland western REIT. Client alleged misrepresentation by Jason Hawke. Misrepresentation, unsuitability, negligence, common law fraud and breach of fiduciary duty allegedly by Jason Hawke. Jason Hawke’s alleged misrepresentation. Misrepresentation and unsuitable investment allegedly by Jason Hawke. Negligence, unsuitability, breach of fiduciary duty, misrepresentation and failure to perform due diligence allegedly by Jason Hawke. Jason Hawke’s alleged suitability. by Jason Hawke’s alleged unsuitable investments, breach of fiduciary duty, common law fraud, violation of Securities Exchange Act and violation of Idaho Securities Laws. Jason Hawke’s alleged unsuitable recommendations. Jason Hawke Red Flags & Your Rights As An Investor Of course, Jason Hawke 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 Jason Hawke at D.H. Hill Securities, Hawke Financial Group, National Securities, and National Asset Management on alert to review carefully the activity and performance of their accounts and question whether Jason Hawke has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at D.H. Hill Securities, Hawke Financial Group, National Securities, and National Asset Management 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 D.H. Hill Securities Due To Jason Hawke If you have questions about D.H. Hill Securities, Hawke Financial Group, National Securities, National Asset Management, and/or Jason Hawke and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Richard Kelton of Raymond James Financial Services

DID RICHARD WILLIAM KELTON CAUSE YOU INVESTMENT LOSSES? Richard Kelton Of Raymond James Financial Services, Raymond James Financial Services Advisors And Formerly With Northwestern Mutual Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is Richard Kelton of Raymond James Financial Services? Richard Kelton (CRD #2473749) who is currently registered with Raymond James Financial Services, Raymond James Financial Services Advisors and located in Latham, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Financial Services and Raymond James Financial Services Advisors, Richard Kelton was associated with Northwestern Mutual Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Kelton Customer Complaint Richard Kelton 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 unsuitable investment recommendations. Richard Kelton’s customer complaint was denied and, to date, the customer has not taken any further action. Richard Kelton Red Flags & Your Rights As An Investor Of course, Richard Kelton 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 Richard Kelton at Raymond James Financial Services, Raymond James Financial Services Advisors and Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Richard Kelton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, Raymond James Financial Services Advisors and Northwestern Mutual 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 Raymond James Financial Services Due To Richard Kelton If you have questions about Raymond James Financial Services, Raymond James Financial Services Advisors, Northwestern Mutual Investment Services, and/or Richard Kelton 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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