Nov 30, 2022

Diane Hutchings formerly with LPL Financial LLC

DID DIANE ELAINE HUTCHINGS CAUSE YOU INVESTMENT LOSSES? Diane Hutchings Formerly With LPL Financial LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Diane Hutchings formerly with LPL Financial LLC? Diane Hutchings (CRD # 4412532) who was formerly registered with LPL Financial LLC and located in Jacksonville, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Diane Hutchings Customer Complaint Diane Hutchings has been the subject of at least one customer complaint that we know about, which was filed to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were financial advisor recommended unsuitable investments in non-traded REITs and other high risk investments involving business development companies. Diane Hutchings’ customer complaint was settled in favor of the investor.   Diane Hutchings Red Flags & Your Rights As An Investor Of course, Diane Hutchings 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 Diane Hutchings at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Diane Hutchings has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Diane Hutchings If you have questions about LPL Financial LLC and/or Diane Hutchings 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.

Continue Reading

Nov 21, 2022

Dawn West of LPL Financial LLC

DID DAWN SHERI WEST CAUSE YOU INVESTMENT LOSSES? Dawn West Of LPL Financial LLC And Formerly With Capital One Investing, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Dawn West of LPL Financial LLC? Dawn West (CRD #4797506) who is currently registered with LPL Financial LLC and located in Jackson Heights, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, Dawn West was associated with Capital One Investing, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Dawn West Customer Complaint Dawn West has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were related to an unsuitable investment recommendation to invest in a structured note. Dawn West’s customer complaint was settled in favor of the investor. Dawn West Red Flags & Your Rights As An Investor Of course, Dawn West did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Dawn West at LPL Financial LLC and Capital One Investing, LLC on alert to review carefully the activity and performance of their accounts and question whether Dawn West has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Capital One Investing, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Dawn West If you have questions about LPL Financial LLC, Capital One Investing, LLC and/or Dawn West and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Nov 16, 2022

David Lademan formerly with LPL Financial LLC

DID DAVID MICHAEL LADEMAN CAUSE YOU INVESTMENT LOSSES? David Lademan Formerly With LPL Financial LLC And Kalos Capital, Inc. Has 6 Customer Complaints For Alleged Broker Misconduct Who is David Lademan formerly with LPL Financial LLC? David Lademan (CRD #2479077) who was formerly registered with LPL Financial LLC and located in Okemos, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, David Lademan was associated with Kalos Capital, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Lademan Customer Complaints David Lademan has been the subject of 6 customer complaints that we know about, 5 of those complaints were filed in the last year to recover investment losses. Three of David Lademan’s 6 customer complaints were settled in favor of investors.  One of David Lademan’s customer complaints was denied and, to date, the customer has not taken any further action. There are currently 2 pending customer complaints filed against David Lademan’s former employer Kalos Capital, Inc.  for investment losses caused by the alleged misconduct. Allegations Against David Lademan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendations and failure to perform due diligence on GPB Capital Holdings Overconcentration in direct investments involving real estate securities and private equity Misrepresentation to induce investment in annuity contracts Breach of Fiduciary Duty, unsuitable investment recommendations, and breach of contract related to private placements in real estate securities False and misleading statements and omissions of material fact, breach of fiduciary duty, breach of contract, negligence involving direct investments in equipment leasing in real estate securities David Lademan Red Flags & Your Rights As An Investor Of course, David Lademan 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 David Lademan at LPL Financial LLC and Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Lademan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Kalos Capital, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To David Lademan If you have questions about LPL Financial LLC, Kalos Capital, Inc., and/or David Lademan 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.

Continue Reading

Nov 11, 2022

David Givnish of LPL Financial LLC?

DID DAVID LAWRENCE GIVNISH CAUSE YOU INVESTMENT LOSSES? David Givnish Of LPL Financial LLC And Formerly With National Planning Corporation Has A Customer Complaint For Alleged Broker Misconduct Who is David Givnish of LPL Financial LLC? David Givnish (CRD #2435299) who is currently registered with LPL Financial LLC and located in Carefree, Arizona is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, David Givnish was associated with National Planning Corporation and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Givnish Customer Complaint David Givnish 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 misrepresentation related to universal life insurance policy. David Givnish’s customer complaint was denied and, to date, the customer has not taken any further action. David Givnish Red Flags & Your Rights As An Investor Of course, David Givnish 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 David Givnish at LPL Financial LLC and National Planning Corporation on alert to review carefully the activity and performance of their accounts and question whether David Givnish has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and National Planning Corporation 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 David Givnish If you have questions about LPL Financial LLC, National Planning Corporation and/or David Givnish 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.

Continue Reading

Nov 10, 2022

David Nastri of LPL Financial LLC

DID DAVID JON NASTRI CAUSE YOU INVESTMENT LOSSES? David Nastri Of LPL Financial LLC Has A Customer Complaint For Alleged Broker Misconduct Who is David Nastri of LPL Financial LLC? David Nastri (CRD #5178144) who is currently registered with LPL Financial LLC and located in Cheshire, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. David Nastri Customer Complaint David Nastri 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 recommendation and failure to disclose risk of structured product investment. David Nastri’s customer complaint was denied and, to date, the customer has not taken any further action. David Nastri Red Flags & Your Rights As An Investor Of course, David Nastri 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 David Nastri at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether David Nastri has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To David Nastri If you have questions about LPL Financial LLC and/or David Nastri 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.

Continue Reading

Nov 10, 2022

David Venegas of LPL Financial LLC

DID DAVID JOHN VENEGAS CAUSE YOU INVESTMENT LOSSES? David Venegas Of LPL Financial LLC And Formerly With CUNA Brokerage Services, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is David Venegas of LPL Financial LLC? David Venegas (CRD #2027844) who is currently registered with LPL Financial LLC and located in Marysville, California is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, David Venegas was associated with CUNA Brokerage Services, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Venegas Customer Complaint David Venegas 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 failure to disclose surrender charges related to variable annuity investment. David Venegas’ customer complaint was denied and, to date, the customer has not taken any further action. David Venegas Red Flags & Your Rights As An Investor Of course, David Venegas 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 David Venegas at LPL Financial LLC and CUNA Brokerage Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Venegas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and CUNA Brokerage 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. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To David Venegas If you have questions about LPL Financial LLC, CUNA Brokerage Services, Inc. and/or David Venegas 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.

Continue Reading

Nov 8, 2022

David Roberson of LPL Financial LLP

DID DAVID ELROY ROBERSON CAUSE YOU INVESTMENT LOSSES? David Roberson Of LPL Financial LLP And Formerly With Raymond James & Associates Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is David Roberson of LPL Financial LLP? David Roberson (CRD #3167646) who is currently registered with LPL Financial LLP and located in Paducah, Kentucky is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLP, David Roberson was associated with Raymond James & Associates Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Roberson Customer Complaints David Roberson has been the subject of 3 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. All 3 of David Roberson’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against David Roberson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Misrepresentation of variable annuity Unsuitable recommendations related to mutual fund investments Unsuitable recommendations related to variable annuity investments David Roberson Red Flags & Your Rights As An Investor Of course, David Roberson 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 David Roberson at LPL Financial LLP and Raymond James & Associates Inc. on alert to review carefully the activity and performance of their accounts and question whether David Roberson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLP and Raymond James & Associates Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial LLP Due To David Roberson If you have questions about LPL Financial LLP, Raymond James & Associates Inc. and/or David Roberson 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.

Continue Reading

Oct 31, 2022

Daniel Abraham of LPL Financial LLC

DID DANIEL M. ABRAHAM JR CAUSE YOU INVESTMENT LOSSES? Daniel Abraham Of LPL Financial LLC And Formerly With Valic Financial Advisors, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Daniel Abraham of LPL Financial LLC? Daniel Abraham (CRD #4945227) who is currently registered with LPL Financial LLC and located in Metairie, Louisiana is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, Daniel Abraham was associated with Valic Financial Advisors, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Daniel Abraham Customer Complaints Daniel Abraham has been the subject of 2 customer complaints that we know about, 1of those complaints was filed in the last year to recover investment losses. Both of Daniel Abraham’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Daniel Abraham A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Failure to follow client’s instructions. Misrepresentation of and indexed annuity product. Daniel Abraham Red Flags & Your Rights As An Investor Of course, Daniel Abraham 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 Daniel Abraham at LPL Financial LLC and Valic Financial Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Daniel Abraham has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Valic Financial Advisors, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Daniel Abraham If you have questions about LPL Financial LLC, Valic Financial Advisors, Inc., and/or Daniel Abraham 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.

Continue Reading

Oct 31, 2022

Daniel Zimmerman of LPL Financial LLC

DID DANIEL MICHAEL ZIMMERMAN CAUSE YOU INVESTMENT LOSSES? Daniel Zimmerman Of LPL Financial LLC And Formerly With Invest Financial Corporation Has 3 Customer Complaints For Alleged Broker Misconduct Who is Daniel Zimmerman of LPL Financial LLC? Daniel Zimmerman (CRD #4668115) who is currently registered with LPL Financial LLC and located in Moorestown, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, Daniel Zimmerman was associated with Invest Financial Corporation and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Daniel Zimmerman Customer Complaints Daniel Zimmermann has been the subject of3 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Two of Daniel Zimmerman’s 3 customer complaints were settled in favor of investors. There is currently 1 pending customer complaint filed against Daniel Zimmerman’s former employer Invest Financial Corporation for investment losses caused by the alleged misconduct. Allegations Against Daniel Zimmerman A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unlawful guarantee of investment return. Failure to disclose surrender penalty. Daniel Zimmerman Red Flags & Your Rights As An Investor Of course, Daniel Zimmerman 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 Daniel Zimmerman at LPL Financial LLC and  Invest Financial Corporation on alert to review carefully the activity and performance of their accounts and question whether Daniel Zimmerman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Invest Financial Corporation also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Daniel Zimmerman If you have questions about LPL Financial LLC, Invest Financial Corporation, and/or Daniel Zimmerman 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.

Continue Reading

Oct 28, 2022

Daniel Kew of Cetera Investment Services LLC

DID DANIEL GODFREY KEW CAUSE YOU INVESTMENT LOSSES? Daniel Kew Of Cetera Investment Services LLC And Formerly With LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Daniel Kew of Cetera Investment Services LLC? Daniel Kew (CRD #2490987) who is currently registered with Cetera Investment Services LLC and located in San Francisco, California is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Cetera Investment Services LLC, Daniel Kew was associated with LPL Financial LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Daniel Kew Customer Complaints Daniel Kew 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 Daniel Kew’s 2 customer complaints was settled in favor of investor. One of Daniel Kew’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Daniel Kew A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendations and misrepresentations related to a corporate note. Misrepresentation of a variable annuity investment. Daniel Kew Red Flags & Your Rights As An Investor Of course, Daniel Kew 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 Daniel Kew at Cetera Investment Services LLC and LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Daniel Kew has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Investment Services 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 Investment Services LLC Due To Daniel Kew if you have questions about Cetera Investment Services LLC, LPL Financial LLC, and/or Daniel Kew 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.

Continue Reading