Nov 29, 2022

Derek McLean of First Allied Securities, Inc.

DID DEREK GUY MCLEAN CAUSE YOU INVESTMENT LOSSES? Derek McLean Of First Allied Securities, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Derek McLean of First Allied Securities, Inc.? Derek McLean (CRD #1939560) who is currently registered with First Allied Securities, Inc. and located in Orange, California is a subject of one of our many securities industry sales practice abuse investigations.     Derek McLean Customer Complaint Derek McLean 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 recommended a complex investments that were unsuitable involving variable annuities and real estate securities. Derek McLean’s customer complaint was settled in favor of the investor. Derek McLean Red Flags & Your Rights As An Investor Of course, Derek McLean 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 Derek McLean at First Allied Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Derek McLean 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 Derek McLean If you have questions about First Allied Securities, Inc. and/or Derek McLean 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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Jun 6, 2022

Chad Barancyk of Great Point Capital LLC

It’s critical that everyone understand as much as possible about the people with whom they entrust their money. There are several places to get information on a person’s background, including his or her past employment history, regulatory misconduct proceedings, and consumer complaints. This vital information may lead to concerns about Chad Barancyk and the financial losses you may have incurred. We’ll do everything we can to answer your questions. DID CHAD RYAN BARANCYK CAUSE YOU INVESTMENT LOSSES? Chad Barancyk Of Great Point Capital LLC And Formerly With First Allied Securities, Inc. Has 8 Customer Complaints For Alleged Broker Misconduct Who is Chad Barancyk of Great Point Capital LLC? Chad Barancyk (CRD #4921433) who is currently registered with Great Point Capital LLC and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Great Point Capital LLC, Chad Barancyk was associated with First Allied Securities, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Chad Barancyk Customer Complaints Chad Barancyk has been the subject of 8 customer complaints that we know about, 6 of those complaints were filed in the last year to recover investment losses. Two of Chad Barancyk’s customer complaints were denied and, to date, the customers have not taken any further action. There are currently 6 pending customer complaints filed against Chad Barancyk’s former employer First Allied Securities, Inc. for investment losses caused by the alleged misconduct. Allegations Against Chad Barancyk A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Failure to fulfill promises related to variable annuity investments in investment trusts and other structured product investments. Unsuitable recommendations related to variable annuity investments. Negligence, misrepresentation, and breach of contract related to direct investments. Unsuitable investment recommendations, misrepresentation related to REITs. Recommendation of unsuitable alternative private placement investments and REITs. Unsuitable investment recommendations and failure to diversify clients securities portfolio. Chad Barancyk Red Flags & Your Rights As An Investor Of course, Chad Barancyk 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 Barancyk at Great Point Capital LLC and First Allied Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Chad Barancyk has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Great Point Capital 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. File A Claim To Recover Your Investment Losses At Great Point Capital LLC Due To Chad Barancyk If you have questions about Great Point Capital LLC, First Allied Securities, Inc., and/or Chad Barancyk 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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Mar 8, 2022

Joseph Langlois of DFPG Investments

DID JOSEPH H LANGLOIS CAUSE YOU INVESTMENT LOSSES? Joseph Langlois Of DFPG Investments And Formerly With First Allied Securities And First Allied Advisory Services Has A Customer Complaint For Alleged Broker Misconduct Who is Joseph Langlois of DFPG Investments? Joseph Langlois (CRD #4216281) who is currently registered with DFPG Investments and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to DFPG Investments, Joseph Langlois 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. Joseph Langlois Customer Complaint Joseph Langlois has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that Joseph Langlois misrepresented and sold unsuitable REITs. Joseph Langlois’ customer complaint was settled in favor of the investors. Joseph Langlois Red Flags & Your Rights As An Investor Of course, Joseph Langlois 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 Joseph Langlois at DFPG Investments, First Allied Securities, and First Allied Advisory Services and on alert to review carefully the activity and performance of their accounts and question whether Joseph Langlois has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at DFPG Investments, First Allied Securities, and First Allied Advisory 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 DFPG Investments Due To Joseph Langlois If you have questions about DFPG Investments, First Allied Securities, First Allied Advisory Services, and/or Joseph Langlois 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

Gregory Levine Formerly With First Allied Securities

DID GREGORY ALAN LEVINE CAUSE YOU INVESTMENT LOSSES? Gregory Levine Formerly With First Allied Securities Has 10 Customer Complaints For Alleged Broker Misconduct Who is Gregory Levine formerly with First Allied Securities? Gregory Levine (CRD #2401300) who was formerly registered with First Allied Securities and located in Fort Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations. Gregory Levine has also been the subject of a FINRA investigation and when he failed to respond to the FINRA request for information, he was suspended and then later permanently barred from any association with any member firm in any capacity. Gregory Levine Customer Complaints Gregory Levine has been the subject of 10 customer complaints that we know about. Nine of Gregory Levine’s 10 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against First Allied Securities for investment losses caused by Gregory Levine’s alleged misconduct. Allegations Against Gregory Levine 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 she made a loan to Gregory Levine that was not repaid; firm did not approve any such loan. Client alleged that Gregory Levine overcharged him for commissions on his brokerage account and that his closed end mutual fund and REIT purchased were not suitable. Client alleged that Gregory Levine obtained a personal loan from client in the sum of $25,000. Client alleged that registered representative Gregory Levine obtained a personal loan from client in the sum of $25,000. Client alleged that Gregory Levine obtained a personal loan from client in the sum of $50,000. Client alleged that she loaned money to Gregory Levine for an outside investment; firm did not have knowledge of or pre-approve any loans to this customer. Client alleged that she made investments outside the Firm directly with Gregory Levine, and that the money has not been returned. Client alleged Gregory Levine obtained a loan from client in the amount of $210,000. Customer alleged that he loaned Gregory Levine money; firm did not have knowledge of or pre-approve any loans to this customer. Gregory Levine Red Flags & Your Rights As An Investor Of course, Gregory Levine 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 Levine at First Allied Securities on alert to review carefully the activity and performance of their accounts and question whether Gregory Levine has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Allied 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. File A Claim To Recover Your Investment Losses At First Allied Securities Due To Gregory Levine If you have questions about First Allied Securities and/or Gregory Levine 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

Ronald Kresel of Ameriprise Financial Services

DID RONALD JOHN KRESEL CAUSE YOU INVESTMENT LOSSES? Ronald Kresel Of Ameriprise Financial Services And Formerly With First Allied Securities, First Allied Advisory Services and Hermening Advisory Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Ronald Kresel of Ameriprise Financial Services? Ronald Kresel (CRD #2202293) who is currently registered with Ameriprise Financial Services and located in Eau Claire, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, Ronald Kresel was associated with First Allied Securities, First Allied Advisory Services, Hermening Advisory Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ronald Kresel Customer Complaints Ronald Kresel has been the subject of 3 customer complaints that we know about. All of Ronald Kresel’s customers’ complaints were settled in favor of investors. Allegations Against Ronald Kresel A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged that Ronald Kresel made an unsuitable recommendation causing unintended tax consequences. Clients alleged they were sold a variable life insurance policy that was unsuitable for their needs. Clients further alleged policy premiums and future costs were never completely explained by Ronald Kresel. Clients requested the firm to cancel the policy and refund their full investment. Ronald Kresel Red Flags & Your Rights As An Investor Of course, Ronald Kresel 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 Ronald Kresel at Ameriprise Financial Services, First Allied Securities, First Allied Advisory Services, and Hermening Advisory Services on alert to review carefully the activity and performance of their accounts and question whether Ronald Kresel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, First Allied Securities, First Allied Advisory Services, and Hermening 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 Ameriprise Financial Services Due To Ronald Kresel If you have questions about Ameriprise Financial Services, First Allied Securities, First Allied Advisory Services, Hermening Advisory Services, and/or Ronald Kresel 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 Hickey of First Allied Securities

DID MATTHEW DAVID HICKEY CAUSE YOU INVESTMENT LOSSES? Matthew Hickey Of First Allied Securities, Capital Asset Management And Formerly With First Allied Advisory Services Has A Customer Complaint For Alleged Broker Misconduct Who is Matthew Hickey of First Allied Securities? Matthew Hickey (CRD #1538384) who is currently registered with First Allied Securities, Capital Asset Management and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Allied Securities and Capital Asset Management, Matthew Hickey was associated with First Allied Advisory Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Matthew Hickey Customer Complaint Matthew Hickey 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 her financial adviser and former domestic partner recommended investments that were not suitable for her. Claimant generally alleged breach of fiduciary duty, unsuitability, negligence, and failure to supervise. The customer complaint filed against Matthew Hickey’s current employer First Allied Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Matthew Hickey Red Flags & Your Rights As An Investor Of course, Matthew Hickey 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 Hickey at First Allied Securities, Capital Asset Management, and First Allied Advisory Services on alert to review carefully the activity and performance of their accounts and question whether Matthew Hickey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Allied Securities, Capital Asset Management, and First Allied Advisory 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 First Allied Securities Due To Matthew Hickey If you have questions about First Allied Securities, Capital Asset Management, First Allied Advisory Services, and/or Matthew Hickey 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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