Mar 8, 2022

Samuel Phillips of LPL Financial

DID SAMUEL PHILLIPS CAUSE YOU INVESTMENT LOSSES? Samuel Phillips Of LPL Financial LLC And Formerly With Invest Financial Has One Customer Complaint For Alleged Broker Misconduct Who is Samuel Phillips of LPL Financial LLC? Samuel Phillips (CRD #2486976) who is currently registered with LPL Financial LLC and located in Lemoyne, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Samuel Phillips was associated with Invest Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Samuel Phillips Customer Complaint Samuel Phillips 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 the customer alleged that she was not advised about breakpoints or the option to invest in an advisory account, and sought recovery of sales charges for the purchase of Class A shares. Samuel Phillips’ customer complaint was denied and, to date, the customer has not taken any further action. Samuel Phillips Red Flags & Your Rights As An Investor Of course, Samuel Phillips 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 Samuel Phillips at LPL Financial LLC and Invest Financial on alert to review carefully the activity and performance of their accounts and question whether Samuel Phillips 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 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 Samuel Phillips If you have questions about LPL Financial LLC, Invest Financial, and/or Samuel Phillips 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

Darin Stevens of LPL Financial

DID DARIN ANDREW STEVENS CAUSE YOU INVESTMENT LOSSES? Darin Stevens Of LPL Financial, Blue Water Asset Management And Formerly With Invest Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Darin Stevens of LPL Financial? Darin Stevens (CRD #4051859) who is currently registered with LPL Financial, Blue Water Asset Management and located in Chamblee, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial and Blue Water Asset Management, Darin Stevens was associated with Invest Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Darin Stevens Customer Complaint Darin Stevens 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 was wrongdoing that previously occurred at an unidentified prior broker-dealer. There were no direct allegations of unsuitability against LPL or against advisor Darin Stevens while registered at LPL. The customer complaint filed against Darin Stevens’ current employer LPL Financial for investment losses caused by the alleged misconduct is pending as of the date of this report. Darin Stevens Red Flags & Your Rights As An Investor Of course, Darin Stevens 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 Darin Stevens at LPL Financial, Blue Water Asset Management, and Invest Financial on alert to review carefully the activity and performance of their accounts and question whether Darin Stevens has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, Blue Water Asset Management, and Invest 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 Due To Darin Stevens If you have questions about LPL Financial, Blue Water Asset Management, Invest Financial, and/or Darin Stevens 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

Yvonne Silguero of LPL Financial

DID YVONNE LARA SILGUERO CAUSE YOU INVESTMENT LOSSES? Yvonne Silguero Of LPL Financial Has 2 Customer Complaints For Alleged Broker Misconduct Who is Yvonne Silguero of LPL Financial? Yvonne Silguero (CRD #3211495) who is currently registered with LPL Financial and located in McAllen, Texas is a subject of one of our many securities industry sales practice abuse investigations. Yvonne Silguero Customer Complaints Yvonne Silguero has been the subject of 2 customer complaints that we know about. One arbitration award was entered against LPL Financial for Yvonne Silguero’s alleged misconduct causing investors losses. There is currently one pending customer complaint filed against LPL Financial for investment losses caused by Yvonne Silguero’s alleged misconduct. Allegations Against Yvonne Silguero 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 Yvonne Silguero’s negligence, gross negligence, misrepresentation, omission of material facts, breach of fiduciary duty through failure to supervise, and breach of contract. Yvonne Silguero was a subject of the customer’s complaint against her member firm and a bank that asserted the following causes of action: breach of contract and warranties; violation of Texas State Securities Statutes; negligent supervision; violation of the Texas Business and Commerce Codes; violation of consumer protection statutes, negligent misrepresentations, unjust enrichment, and breach of duties; unsuitable investment recommendations and violations of FINRA Rules. Yvonne Silguero Red Flags & Your Rights As An Investor Of course, Yvonne Silguero 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 Yvonne Silguero at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Yvonne Silguero 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 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 Yvonne Silguero If you have questions about LPL Financial and/or Yvonne Silguero 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

Antonio Reyna of Securities America

DID ANTONIO REYNA CAUSE YOU INVESTMENT LOSSES? Antonio Reyna Of Securities America, Inc. And Securities America Advisors Has One Customer Complaint For Alleged Broker Misconduct Who is Antonio Reyna of Securities America, Inc.? Antonio Reyna (CRD #2284509) who is currently registered with Securities America, Inc., Securities America Advisors and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Antonio Reyna Customer Complaint Antonio Reyna has been the subject ofat least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were the plaintiff identified Mr. Reyna as a “supervisory defendant” and alleged that the supervisory defendants were negligent in their supervision of a representative who Plaintiff alleged misappropriated her funds. The customer complaint filed against Antonio Reyna’s former employer LPL Financial for investment losses caused by the alleged misconduct is pending as of the date of this report. Antonio Reyna Red Flags & Your Rights As An Investor Of course, Antonio Reyna 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 Antonio Reyna at Securities America, Inc. and Securities America Advisors on alert to review carefully the activity and performance of their accounts and question whether Antonio Reyna has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America, Inc. and Securities America Advisors 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 Securities America, Inc. Due To Antonio Reyna If you have questions about Securities America, Inc., Securities America Advisors, and/or Antonio Reyna 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

Randy Peyman of LPL Financial

DID RANDY LEE PEYMAN CAUSE YOU INVESTMENT LOSSES? Randy Peyman Of LPL Financial And Formerly With SII Investments Has 3 Customer Complaints For Alleged Broker Misconduct Who is Randy Peyman of LPL Financial? Randy Peyman (CRD #2204437) who is currently registered with LPL Financial and located in Fairmont, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Randy Peyman was associated with SII Investments and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Randy Peyman Customer Complaints Randy Peyman has been the subject of 3 customer complaints that we know about. All 3 of Randy Peyman’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Randy Peyman 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 Randy Peyman promised him he would not lose money and he would earn 5% interest yearly on his accounts. Client alleged she incurred a tax liability when excess distributions were processed from her IRA. Client also alleged Randy Peyman failed to follow instructions to increase non-taxable income that would also impact tax liability. Customer alleged Randy Peyman’s misrepresentation of a variable annuity. Randy Peyman Red Flags & Your Rights As An Investor Of course, Randy Peyman 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 Randy Peyman at LPL Financial and SII Investments on alert to review carefully the activity and performance of their accounts and question whether Randy Peyman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and SII Investments 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 Randy Peyman If you have questions about LPL Financial, SII Investments, and/or Randy Peyman 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

Joffre Salazar Formerly With American Portfolios Financial Services

DID JOFFRE SALAZAR CAUSE YOU INVESTMENT LOSSES? Joffre Salazar Formerly With American Portfolios Financial Services, LPL Financial And Santander Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joffre Salazar formerly with American Portfolios Financial Services? Joffre Salazar (CRD #2185914) who was formerly registered with American Portfolios Financial Services and located in Staten Island, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to American Portfolios Financial Services, Joffre Salazar was associated with LPL Financial, Santander Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joffre Salazar Customer Complaints Joffre Salazar has been the subject of 2 customer complaints that we know about. One of Joffre Salazar’s 2 customer complaints was settled in favor of investors. One of Joffre Salazar’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Joffre Salazar A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged that she did not sign documents and accounts were opened without her knowledge by Joffre Salazar. Customers complained they were misled about their investment of a Pacific Life Variable Annuity by Joffre Salazar. Joffre Salazar Red Flags & Your Rights As An Investor Of course, Joffre Salazar 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 Joffre Salazar at American Portfolios Financial Services, LPL Financial, and Santander Securities on alert to review carefully the activity and performance of their accounts and question whether Joffre Salazar has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Portfolios Financial Services, LPL Financial, and Santander 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 American Portfolios Financial Services Due To Joffre Salazar If you have questions about American Portfolios Financial Services, LPL Financial, Santander Securities, and/or Joffre Salazar and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Richard Sall of LPL Financial

DID RICHARD HARRIS SALL CAUSE YOU INVESTMENT LOSSES? Richard Sall Of LPL Financial And Formerly With Voya Financial Advisors Has 3 Customer Complaints For Alleged Broker Misconduct Who is Richard Sall of LPL Financial? Richard Sall (CRD #1515945) who is currently registered with LPL Financial and located in Duluth, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Richard Sall was associated with Voya Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Sall Customer Complaints Richard Sall has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Richard Sall’s 3 customer complaints was settled in favor of investors. Two of Richard Sall’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Richard Sall 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 Richard Sall’s misrepresentation of variable annuity with regards to GMIB rider annuitization options. Customer alleged he was misled by Richard Sall when purchasing variable annuity. Customer felt that the information regarding the income feature of the variable annuity contract she purchased was not accurately explained by Richard Sall. Richard Sall Red Flags & Your Rights As An Investor Of course, Richard Sall did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Richard Sall at LPL Financial and Voya Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Richard Sall has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and Voya Financial Advisors 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 Richard Sall If you have questions about LPL Financial, Voya Financial Advisors, and/or Richard Sall 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

Thomas Munker of Client One Securities

DID THOMAS ERWIN MUNKER CAUSE YOU INVESTMENT LOSSES? Thomas Munker Of Client One Securities And Formerly With LPL Financial Has 2 Customer Complaints For Alleged Broker Misconduct Who is Thomas Munker of Client One Securities? Thomas Munker (CRD #2861111) who is currently registered with Client One Securities and located in Topeka, Kansas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Client One Securities, Thomas Munker was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Thomas Munker Customer Complaints Thomas Munker has been the subject of 2 customer complaints that we know about. Both of Thomas Munker’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Thomas Munker 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 he lost money committed by Thomas Munker. The advisory service was not satisfactory to client generating a complaint. His alleged losses were much smaller due to client’s inclusion of fees and costs as a loss of investment performance. Customer alleged losses due to frequent trading and “whipsaw effect” by Thomas Munker. Thomas Munker Red Flags & Your Rights As An Investor Of course, Thomas Munker 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 Thomas Munker at Client One Securities and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Thomas Munker has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Client One Securities and LPL Financial 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 Client One Securities Due To Thomas Munker If you have questions about Client One Securities, LPL Financial, and/or Thomas Munker 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

Thomas McCusker of LPL Financial

DID THOMAS JOSEPH MCCUSKER CAUSE YOU INVESTMENT LOSSES? Thomas McCusker Of LPL Financial And Formerly With Key Investment Services And Merrill Lynch Pierce Fenner & & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Thomas McCusker of LPL Financial? Thomas McCusker (CRD #2573068) who is currently registered with LPL Financial and located in Fort Mill, South Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Thomas McCusker was associated with Key Investment Services, Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Thomas McCusker Customer Complaints Thomas McCusker has been the subject of 2 customer complaints that we know about. One of Thomas McCusker’s 2 customer complaints was settled in favor of investors.  The other one of Thomas McCusker’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Thomas McCusker A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged misrepresentation by Thomas McCusker with regard to investment. Client alleged the recommendation to purchase the Allianz Index Advantage NY annuity was misrepresented by Thomas McCusker. Thomas McCusker Red Flags & Your Rights As An Investor Of course, Thomas McCusker 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 Thomas McCusker at LPL Financial, Key Investment Services, and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Thomas McCusker has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, Key Investment Services, and Merrill Lynch Pierce Fenner & Smith 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 Thomas McCusker If you have questions about LPL Financial, Key Investment Services, Merrill Lynch Pierce Fenner & Smith, and/or Thomas McCusker 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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