Sep 23, 2022

Dain Stokes formerly with LPL Financial LLC

You entrust your money to a broker when you become a client. As a result, it’s critical to know all there is to know about the individual who will be investing your money. This knowledge might assist in determining whether that specific broker is trustworthy or not. If you believe that Dain Stokes has caused you any financial damage, we might be able to help you resolve your concerns or problems. DID DAIN FARRELL STOKES CAUSE YOU INVESTMENT LOSSES? Dain Stokes Formerly With LPL Financial LLC Has 6 Customer Complaints For Alleged Broker Misconduct Who is Dain Stokes formerly with LPL Financial LLC? Dain Stokes (CRD #2960801) who was formerly registered with LPL Financial LLC and located in Bedford, New Hampshire is a subject of one of our many securities industry sales practice abuse investigations.  Dain Stokes was also the subject of an SEC investigation, a FINRA investigation, and a New Hampshire Department of state Bureau of Securities Regulation.   Dain Stokes Customer Complaints Dain Stokes has been the subject of 6 customer complaints that we know about, two of those complaints were filed in the last year to recover investment losses. Two of Dain Stokes’ 6 customer complaints were settled in favor of investors. Four of Dain Stokes’ customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Dain Stokes A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable recommendations to purchase variable annuities and fraud related to a promissory note investment. Misappropriation of funds. Unsuitable investment recommendations related to variable annuity. Dain Stokes Red Flags & Your Rights As An Investor Of course, Dain Stokes 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 Dain Stokes at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Dain Stokes 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 Dain Stokes If you have questions about LPL Financial LLC and/or Dain Stokes 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 27, 2022

Cole Mills of LPL Financial LLC

It is critical for everyone to understand as much as possible about the individuals with whom they entrust their money. Background checks, for example, include a variety of data about your past job history, regulatory disciplinary actions, and consumer complaints. We’ll do everything we can to answer any questions you have regarding Cole Mills and your investment losses. We’ll try to address any concerns you have. DID COLE LAWRENCE MILLS CAUSE YOU INVESTMENT LOSSES? Cole Mills Of LPL Financial LLC And Formerly With Waddell & Reed Has A Customer Complaint For Alleged Broker Misconduct Who is Cole Mills of LPL Financial LLC? Cole Mills (CRD #4278314) who is currently registered with LPL Financial LLC and located in Portland, Oregon is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, Cole Mills was associated with Waddell & Reed and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cole Mills Customer Complaint Cole Mills 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 Cole Mills now did advise the customers as to tax consequences related to distributions taken from a rollover IRA accounts resulting in substantial tax liabilities. Cole Mills’ customer complaint was denied and, to date, the customer has not taken any further action. Cole Mills Red Flags & Your Rights As An Investor Of course, Cole Mills 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 Cole Mills at LPL Financial LLC and Waddell & Reed on alert to review carefully the activity and performance of their accounts and question whether Cole Mills has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Waddell & Reed 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 Cole Mills If you have questions about LPL Financial LLC, Waddell & Reed, and/or Cole Mills 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 26, 2022

Chun Zhu of LPL Financial LLC

As a client, you put your money in the hands of a broker that you can trust. This is why it’s critical to learn all there is to know about the individual managing your funds. This data might assist you in determining whether or not to deal with a specific individual. We may be able to help you address any concerns or issues you have if you believe Chun Zhu has caused you financial damage. DID CHUN MEI ZHU CAUSE YOU INVESTMENT LOSSES? Chun Zhu Of LPL Financial LLC And Formerly With Waddell & Reed Has 3 Customer Complaints For Alleged Broker Misconduct Who is Chun Zhu of LPL Financial LLC? Chun Zhu (CRD #4863613) who is currently registered with LPL Financial LLC and located in Bellevue, Washington is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, Chun Zhu was associated with Waddell & Reed and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Chun Zhu Customer Complaints Chun Zhu 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. One of Chun Zhu’s 3 customer complaints resulted in an Award in favor of investor. Two of Chun Zhu’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Chun Zhu A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Violation of Washington Securities Act, breach of fiduciary duty, negligence, and violation of FINRA rules related to variable annuity transaction. Unnecessary switches of variable annuities resulting in surrender fees. Misrepresentation regarding performance of retirement accounts that lead to liquidation and purchases of annuities. Chun Zhu Red Flags & Your Rights As An Investor Of course, Chun Zhu 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 Chun Zhu at LPL Financial LLC and Waddell & Reed on alert to review carefully the activity and performance of their accounts and question whether Chun Zhu has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Waddell & Reed 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 Chun Zhu If you have questions about LPL Financial LLC, Waddell & Reed, and/or Chun Zhu 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 26, 2022

Christopher Hargis of LPL Financial LLC

It’s critical for everyone to understand as much as they can about the people with whom they entrust their money. There are several sources where you may learn more about a person’s background, including past employment history, regulatory penalties, and consumer complaints. We’ll make every effort to answer any questions you may have about Christopher Hargis and your investment losses. We will do our utmost to respond to any inquiries you may have. DID CHRISTOPHER TODD HARGIS CAUSE YOU INVESTMENT LOSSES? Christopher Hargis Of LPL Financial LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Christopher Hargis of LPL Financial LLC? Christopher Hargis (CRD #4621537) who is currently registered with LPL Financial LLC and located in Lexington, Kentucky is a subject of one of our many securities industry sales practice abuse investigations.   Christopher Hargis Customer Complaint Christopher Hargis 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 Christopher Hargis failed to follow the customer’s instructions with respect to sale of mutual funds. Christopher Hargis’ customer complaint was settled in favor of the investor. Christopher Hargis Red Flags & Your Rights As An Investor Of course, Christopher Hargis 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 Hargis at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Christopher Hargis 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 Christopher Hargis If you have questions about LPL Financial LLC and/or Christopher Hargis 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 29, 2022

Christopher Black formerly with LPL Financial LLC

DID CHRISTOPHER BRYAN BLACK CAUSE YOU INVESTMENT LOSSES? Christopher Black Formerly With LPL Financial LLC And Wells Fargo Clearing Services, LLC Has 4 Customer Complaints For Alleged Broker Misconduct As a client, you put your money in the hands of a trustworthy broker. This is why it’s critical to learn everything there is to know about the individual who will be investing your money. This knowledge could assist you in determining whether or not to work with a certain broker. If you believe Christopher Black has caused you financial harm, we may be able to help you in resolving any issues or concerns you have. Christopher Black Customer Complaints Christopher Black has been the subject of 4 customer complaints that we know about, 4of those complaints were filed in the last year to recover investment losses. Two of Christopher Black’s 4 customer complaints were settled in favor of investors.  Two of Christopher Black’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Christopher Black A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Christopher Black Red Flags & Your Rights As An Investor Of course, Christopher Black 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 Black at LPL Financial LLC and Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Christopher Black has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Wells Fargo Clearing 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. Related Read: How to Sue Your Financial Advisor or Broker Over Investment Losses File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Christopher Black If you have questions about LPL Financial LLC, Wells Fargo Clearing Services, LLC, and/or Christopher Black 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

Andrew Dittberner of LPL Financial LLC

DID ANDREW JOHN DITTBERNER CAUSE YOU INVESTMENT LOSSES? Andrew Dittberner Of LPL Financial LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Andrew Dittberner of LPL Financial LLC? Andrew Dittberner (CRD #2120518) who is currently registered with LPL Financial LLC and located in New Haven, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Andrew Dittberner Customer Complaint Andrew Dittberner 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 Andrew Dittberner made unauthorized sales and failed to provide services. Andrew Dittberner’s customer complaint was settled in favor of the investors. Andrew Dittberner Red Flags & Your Rights As An Investor Of course, Andrew Dittberner did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Andrew Dittberner at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Andrew Dittberner 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 Due To Andrew Dittberner If you have questions about LPL Financial and/or Andrew Dittberner 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

Charles Salfity of LPL Financial LLC

As a client, you put your money in the hands of a broker whom you can trust. This is why it’s critical to learn everything there is to know about the person investing your money. Such information may assist you in determining whether or not to work with a particular broker. If you believe Charles Salfity has caused you financial harm, we may be able to assist you in resolving any problems or concerns that you have. DID CHARLES GEORGE SALFITY CAUSE YOU INVESTMENT LOSSES? Charles Salfity Of LPL Financial LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Charles Salfity of LPL Financial LLC? Charles Salfity (CRD #864756) who is currently registered with LPL Financial LLC and located in Manhattan Beach, California is a subject of one of our many securities industry sales practice abuse investigations.    Charles Salfity Customer Complaint Charles Salfity 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 a variable annuity. Charles Salfity’s customer complaint was denied and, to date, the customer has not taken any further action. Charles Salfity Red Flags & Your Rights As An Investor Of course, Charles Salfity 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 Charles Salfity at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Charles Salfity 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 Charles Salfity If you have questions about LPL Financial LLC and/or Charles Salfity 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

Cesar Macedo of LPL Financial LLC

As a client, you put your money in the hands of a broker that you can trust. This is why it’s critical to learn It’s critical for everyone to learn all they can about the people with whom they entrust their money. Prior employment history, regulatory enforcement activities, and consumer complaints are just a few of the places where you may discover information about a person’s background. If you incurred investment losses as a result of Cesar Macedo, we will do everything possible to respond to any concerns you may have. DID CESAR MACEDO CAUSE YOU INVESTMENT LOSSES? Cesar Macedo Of LPL Financial LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Cesar Macedo of LPL Financial LLC? Cesar Macedo (CRD #4436182) who is currently registered with LPL Financial LLC and located in Downey, California is a subject of one of our many securities industry sales practice abuse investigations. Cesar Macedo Customer Complaint Cesar Macedo 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 Cesar Macedo and his employer breached their fiduciary duty and were negligent in the administration of a trust. The customer complaint filed against Cesar Macedo’s current employer LPL Financial LLC for investment losses caused by the alleged misconduct is pending as of the date of this report. Cesar Macedo Red Flags & Your Rights As An Investor Of course, Cesar Macedo 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 Cesar Macedo at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Cesar Macedo 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 Cesar Macedo If you have questions about LPL Financial LLC and/or Cesar Macedo 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

Alan Fryman of Peak Brokerage Services, LLC

DID ALAN HOWARD FRYMAN CAUSE YOU INVESTMENT LOSSES? Alan Fryman Of Peak Brokerage Services, LLC And Formerly With LPL Financial LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Alan Fryman of Peak Brokerage Services, LLC? Alan Fryman (CRD #2173922) who is currently registered with Peak Brokerage Services, LLC and located in Jupiter, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Peak Brokerage Services, LLC, Alan Fryman was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Alan Fryman Customer Complaint Alan Fryman 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 Alan Fryman made misrepresentations and misleading statements in connection with variable annuity transaction. Alan Fryman’s customer complaint was denied and, to date, the customer has not taken any further action. Alan Fryman Red Flags & Your Rights As An Investor Of course, Alan Fryman 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 Alan Fryman at Peak Brokerage Services, LLC and LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Alan Fryman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Peak Brokerage Services, LLC and 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 Peak Brokerage Services, LLC Due To Alan Fryman If you have questions about Peak Brokerage Services, LLC, LPL Financial LLC, and/or Alan Fryman 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

Alfred Amato of LPL Financial LLC

DID ALEXANDER CHARLES LADAGE CAUSE YOU INVESTMENT LOSSES? Alfred Amato Of LPL Financial LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Alfred Amato of LPL Financial LLC? Alfred Amato (CRD #4335456) who is currently registered with LPL Financial LLC and located in Albany, New York is a subject of one of our many securities industry sales practice abuse investigations. Alfred Amato Customer Complaint Alfred Amato 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 Alfred Amato misrepresented and made an unsuitable investment recommendation to invest in a business development company. Alfred Amato’s customer complaint was denied and, to date, the customer has not taken any further action. Alfred Amato Red Flags & Your Rights As An Investor Of course, Alfred Amato 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 Alfred Amato at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Alfred Amato has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL 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 LPL Financial LLC Due To Alfred Amato If you have questions about LPL Financial LLC and/or Alfred Amato 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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