Aug 19, 2023

Michael DiPietro of Centaurus Financial, Inc.

DID MICHAEL ALBERT DIPIETRO CAUSE YOU INVESTMENT LOSSES? Michael DiPietro Of Centaurus Financial, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Michael DiPietro Customer Complaints Michael DiPietro has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by First Allied Securities in favor of the investor. The other customer complaint remains pending against Centaurus Financial in a FINRA arbitration proceeding. Allegations Against Michael DiPietro A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Michael DiPietro Red Flags & Your Rights As An Investor Of course, Michael DiPietro 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 Michael DiPietro at Centaurus Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Michael DiPietro has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Centaurus Financial, 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 Centaurus Financial, Inc. Due To Michael DiPietro If you have questions about Centaurus Financial, Inc. and/or Michael DiPietro 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 8, 2023

Stephen Lawler of Cetera Advisors LLC

DID STEPHEN CURTIS LAWLER CAUSE YOU INVESTMENT LOSSES? Stephen Lawler Of Cetera Advisors LLC And Formerly With First Allied Securities, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Stephen Lawler Customer Complaints Stephen Lawler has been the subject of 3 customer complaints that we know about to recover investment losses. One customer complaint was settled by Investor Corp. in favor of the investor. The other 2 customer complaints are still pending. Allegations Against Stephen Lawler A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Stephen Lawler Red Flags & Your Rights As An Investor Of course, Stephen Lawler 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 Stephen Lawler at Cetera Advisors LLC and First Allied Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Stephen Lawler has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors LLC and First Allied 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 Cetera Advisors LLC Due To Stephen Lawler If you have questions about Cetera Advisors LLC, First Allied Securities, Inc. and/or Stephen Lawler 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 24, 2023

Peter Rhee of Cetera Investment Advisers LLC

DID PETER KYUNG HOON RHEE CAUSE YOU INVESTMENT LOSSES? Peter Rhee Of Cetera Investment Advisers LLC And Formerly With First Allied Securities, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Peter Rhee Customer Complaints Peter Rhee has been the subject of 3 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled by Peter Rhee’s former employers in favor of the investors. There is currently one FINRA arbitration proceeding pending against Investment Planners for the adviser’s alleged misconduct. Allegations Against Peter Rhee A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Peter Rhee Red Flags & Your Rights As An Investor Of course, Peter Rhee 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 Peter Rhee at Cetera Investment Advisers LLC and First Allied Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Peter Rhee has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Investment Advisers LLC and First Allied 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 Cetera Investment Advisers LLC Due To Peter Rhee If you have questions about Cetera Investment Advisers LLC, First Allied Securities, Inc. and/or Peter Rhee 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 14, 2023

Neil Fineman formerly with First Allied Securities, Inc.

DID NEIL S FINEMAN CAUSE YOU INVESTMENT LOSSES? Neil Fineman Formerly With First Allied Securities, Inc. Has 8 Customer Complaints For Alleged Broker Misconduct Neil Fineman Customer Complaints Neil Fineman has been the subject of 8 customer complaints that we know about to recover investment losses. Seven of the customer complaints were settled by his former employers in favor of the investors. Only one of the customer complaints was denied by the brokerage firm and no further action was taken. Allegations Against Neil Fineman A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Neil Fineman Red Flags & Your Rights As An Investor Of course, Neil Fineman 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 Neil Fineman at First Allied Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Neil Fineman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Allied 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 First Allied Securities, Inc. Due To Neil Fineman If you have questions about First Allied Securities, Inc. and/or Neil Fineman 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 23, 2023

Maurice McKinney formerly with Concorde Investment Services, LLC

DID MAURICE WAYNE MCKINNEY CAUSE YOU INVESTMENT LOSSES? Maurice McKinney Formerly With Concorde Investment Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Maurice McKinney Customer Complaint Maurice McKinney 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 the registered representatives recommended unsuitable alternative investments. Further, that the investments were misrepresented and sold in breach of his fiduciary duty. First Allied Securities settled the customer complaint in favor of the investor. Maurice McKinney Red Flags & Your Rights As An Investor Of course, Maurice McKinney 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 Maurice McKinney at Concorde Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Maurice McKinney has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Concorde 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 Concorde Investment Services, LLC Due To Maurice McKinney If you have questions about Concorde Investment Services, LLC and/or Maurice McKinney 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 10, 2023

Mark Haenny LPL Financial LLC

DID MARK ALAN HAENNY CAUSE YOU INVESTMENT LOSSES? Mark Haenny Of LPL Financial LLC And Formerly With Cetera Advisors LLC Has 2 Customer Complaints For Alleged Broker Misconduct Mark Haenny Customer Complaints Mark Haennyhas been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint proceeded to arbitration and resulted in an arbitration award in favor of the investor. The other customer complaint was settled by First Allied Securities in favor of the investor. Allegations Against Mark Haenny A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Mark Haenny Red Flags & Your Rights As An Investor Of course, Mark Haenny 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 Haenny at LPL Financial LLC and Cetera Advisors LLC on alert to review carefully the activity and performance of their accounts and question whether Mark Haenny has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Cetera Advisors 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 LPL Financial LLC Due To Mark Haenny If you have questions about LPL Financial LLC, Cetera Advisors LLC and/or Mark Haenny 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 25, 2022

Christopher Rubano of First Allied Securities, Inc.

It is critical for everyone to understand as much about the individuals with whom they entrust their money as possible. You may learn a lot of information about a person’s background, including previous employment history, regulatory disciplinary actions, and consumer complaints, using various tools. This critical information can result in concerns about Christopher Rubano and your investment losses. We’ll try to answer any questions you may have. DID CHRISTOPHER ROBERT RUBANO CAUSE YOU INVESTMENT LOSSES? Christopher Rubano Of First Allied Securities, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Christopher Rubano of First Allied Securities, Inc.? Christopher Rubano (CRD #1571187) who is currently registered with First Allied Securities, Inc. and located in Staten Island, New York is a subject of one of our many securities industry sales practice abuse investigations.   Christopher Rubano Customer Complaint Christopher Rubano 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 Christopher Rubano failed to dissolve a defined benefits plan as instructed. The customer complaint filed against Christopher Rubano’s current employer First Allied Securities, Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Christopher Rubano Red Flags & Your Rights As An Investor Of course, Christopher Rubano 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 Christopher Rubano at First Allied Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Rubano has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Allied 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. File A Claim To Recover Your Investment Losses At First Allied Securities, Inc. Due To Christopher Rubano If you have questions about First Allied Securities, Inc. and/or Christopher Rubano 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 7, 2022

Christopher Braccia of First Allied Securities, Inc.

It’s critical that everyone understand as much as they can about the people with whom they entrust their money. You may find out a lot of information about a person’s background by consulting various resources, including past employment history, regulatory enforcement actions, and consumer complaints. If you have questions regarding Christopher Braccia or your investment losses, please contact us. We’ll do everything possible to answer your queries. DID CHRISTOPHER J. BRACCIA CAUSE YOU INVESTMENT LOSSES? Christopher Braccia Of First Allied Securities, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Christopher Braccia of First Allied Securities, Inc.? Christopher Braccia (CRD #3273855) who is currently registered with First Allied Securities, Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Christopher Braccia Customer Complaints Christopher Braccia 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. One of Christopher Braccia’s 2 customer complaints was settled in favor of investors. There is currently 1 pending customer complaint filed against Christopher Braccia’s current employer First Allied Securities, Inc. for investment losses caused by the alleged misconduct. Allegations Against Christopher Braccia A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Overconcentration of assets and unsuitable risky securities investments that were misrepresented and breach of fiduciary duty. Breach of fiduciary duty, negligence, and unsuitable investment recommendations related to real estate securities. Christopher Braccia Red Flags & Your Rights As An Investor Of course, Christopher Braccia 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 Christopher Braccia at First Allied Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Braccia has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Allied 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. File A Claim To Recover Your Investment Losses At First Allied Securities, Inc. Due To Christopher Braccia If you have questions about First Allied Securities, Inc.and/or Christopher Braccia 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

Matthew Williams Formerly With Vanguard Marketing

DID MATTHEW JOHN WILLIAMS CAUSE YOU INVESTMENT LOSSES? Matthew Williams Formerly With Vanguard Marketing, First Allied Securities And TD Ameritrade Has A Customer Complaint For Alleged Broker Misconduct Who is Matthew Williams formerly with Vanguard Marketing? Matthew Williams (CRD #2887300) who was formerly registered with Vanguard Marketing and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to Vanguard Marketing, Matthew Williams was associated with First Allied Securities, TD Ameritrade and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Matthew Williams Customer Complaint Matthew Williams has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that the investment ratio of two-thirds stocks and one-third bonds offered in the original plan was not lowered as requested causing him to lose close to $675,000 in less than 60 days. Matthew Williams’ customer complaint was denied and, to date, the customer has not taken any further action. Matthew Williams Red Flags & Your Rights As An Investor Of course, Matthew Williams did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Matthew Williams at Vanguard Marketing, First Allied Securities, and TD Ameritrade on alert to review carefully the activity and performance of their accounts and question whether Matthew Williams has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vanguard Marketing, First Allied Securities, and TD Ameritrade 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 Vanguard Marketing Due To Matthew Williams If you have questions about Vanguard Marketing, First Allied Securities, and TD Ameritrade, and/or Matthew Williams and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

William Saplicki of LPL Financial

DID WILLIAM DANIEL SAPLICKI CAUSE YOU INVESTMENT LOSSES? William Saplicki Of LPL Financial And Formerly With First Allied Securities And First Allied Advisory Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is William Saplicki of LPL Financial? William Saplicki (CRD #4034795) who is currently registered with LPL Financial and located in Dallas, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, William Saplicki was associated with First Allied Securities, First Allied Advisory Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Saplicki Customer Complaints William Saplicki 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. Both of William Saplicki’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against William Saplicki A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: William Saplicki made unsuitable recommendations and failed to disclose the risks of certain investments. The former client generally alleged breach of duties of care and fiduciary duty including the duties of care and loyalty; unsuitability; and misrepresentation. Client alleged that William Saplicki’s investment recommendation to invest into an alternative product was unsuitable. William Saplicki Red Flags & Your Rights As An Investor Of course, William Saplicki 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 Saplicki at LPL Financial, First Allied Securities, and First Allied Advisory Services on alert to review carefully the activity and performance of their accounts and question whether William Saplicki has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, First Allied Securities, and First Allied Advisory 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 LPL Financial Due To William Saplicki If you have questions about LPL Financial, First Allied Securities, First Allied Advisory Services, and/or William Saplicki 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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