Mar 8, 2022

Scott Klor formerly with LPL Financial

DID SCOTT PATRICK KLOR CAUSE YOU INVESTMENT LOSSES? Scott Klor Formerly With LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Scott Klor formerly with LPL Financial? Scott Klor (CRD #2493369) who was formerly 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. Scott Klor Customer Complaint Scott Klor 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 Plaintiff alleged misrepresentation in connection with a Viatical Settlement purchased. The customer complaint filed against Scott Klor’s former employer LPL Financial for investment losses caused by the alleged misconduct is pending as of the date of this report. Scott Klor Red Flags & Your Rights As An Investor Of course, Scott Klor 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 Scott Klor at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Scott Klor 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 Due To Scott Klor If you have questions about LPL Financial and/or Scott Klor 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

Peter Knittle of American Portfolios Financial Services

DID PETER MARTIN KNITTLE CAUSE YOU INVESTMENT LOSSES? Peter Knittle Of American Portfolios Financial Services, American Portfolios Advisors And Formerly With LPL Financial And ESL Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is Peter Knittle of American Portfolios Financial Services? Peter Knittle (CRD #4090117) who is currently registered with American Portfolios Advisors, American Portfolios Financial Services and located in Rochester, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to American Portfolios Financial Services, American Portfolios Advisors, Peter Knittle was associated with LPL Financial, ESL Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Peter Knittle Customer Complaint Peter Knittle 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 misrepresentation in connection with a withdrawal from their variable annuity. Peter Knittle’s customer complaint was denied and, to date, the customer has not taken any further action. Peter Knittle Red Flags & Your Rights As An Investor Of course, Peter Knittle did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Peter Knittle at American Portfolios Financial Services, American Portfolios Advisors, LPL Financial, and ESL Investment Services on alert to review carefully the activity and performance of their accounts and question whether Peter Knittle has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Portfolios Financial Services, American Portfolios Advisors, LPL Financial, and ESL Investment 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 American Portfolios Financial Services Due To Peter Knittle If you have questions about American Portfolios Financial Services, American Portfolios Advisors, LPL Financial, ESL Investment Services, and/or Peter Knittle 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 Knudsen of LPL Financial

DID WILLIAM EDWARD KNUDSEN CAUSE YOU INVESTMENT LOSSES? William Knudsen Of LPL Financial And Formerly With The Huntington Investment Has 2 Customer Complaints For Alleged Broker Misconduct Who is William Knudsen of LPL Financial?  William Knudsen (CRD #3029924) who is currently registered with LPL Financial and located in Southfield, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, William Knudsen was associated with The Huntington Investment and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Knudsen Customer Complaints  William Knudsen 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. One of William Knudsen’s 2 customer complaints was settled in favor of investors. One of William Knudsen’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against William Knudsen A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client maintained William Knudsen’s alleged misrepresentation on sale of variable annuity per report from fifth third securities. No other details provided.  Customer alleged William Knudsen’s unsuitable recommendation of municipal bond.   William Knudsen Red Flags & Your Rights As An Investor  Of course, William Knudsen 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 Knudsen at LPL Financial and The Huntington Investment on alert to review carefully the activity and performance of their accounts and question whether William Knudsen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and The Huntington Investment 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 Knudsen If you have questions about RBC Capital Markets, Morgan Stanley, and/or Matthew Lane 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

Charles Larocca of LPL Financial

DID CHARLES JOSEPH LAROCCA CAUSE YOU INVESTMENT LOSSES? Charles Larocca Of LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Charles Larocca of LPL Financial? Charles Larocca (CRD #1519529) who is currently registered with LPL Financial and located in Brooklyn, New York is a subject of one of our many securities industry sales practice abuse investigations. Charles Larocca Customer Complaint Charles Larocca 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 a loss in funds due to an unsuitable annuity investment recommendation by the financial advisor. Charles Larocca’s customer complaint was denied and, to date, the customer has not taken any further action. Charles Larocca Red Flags & Your Rights As An Investor Of course, Charles Larocca 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 Larocca at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Charles Larocca 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 Due To Charles Larocca If you have questions about LPL Financial and/or Charles Larocca 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

Margaret Logue of LPL Financial

DID MARGARET LOUISE LOGUE CAUSE YOU INVESTMENT LOSSES? Margaret Logue Of LPL Financial Has 2 Customer Complaints For Alleged Broker Misconduct Who is Margaret Logue of LPL Financial? Margaret Logue (CRD #2939540) who is currently registered with LPL Financial and located in Little Rock, Arkansas is a subject of one of our many securities industry sales practice abuse investigations. Margaret Logue Customer Complaints Margaret Logue 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. One of Margaret Logue’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against LPL Financial for investment losses caused by Margaret Logue’s alleged misconduct. Allegations Against Margaret Logue 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 Margaret Logue’s misrepresentation with respect to variable annuity. Customer alleged that certain alternative investments purchased by Margaret Logue were unsuitable. Margaret Logue Red Flags & Your Rights As An Investor Of course, Margaret Logue 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 Margaret Logue at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Margaret Logue 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 Margaret Logue If you have questions about LPL Financial and/or Margaret Logue 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

Stacee Love-Malcolm of LPL Financial

DID STACEE RAE LOVE-MALCOLM CAUSE YOU INVESTMENT LOSSES? Stacee Love-Malcolm Of LPL Financial, Financial Advocates Investment Management And Formerly With Allstate Financial Services Has 5 Customer Complaints For Alleged Broker Misconduct Who is Stacee Love-Malcolm of LPL Financial? Stacee Love-Malcolm (CRD #4246711) who is currently registered with LPL Financial, Financial Advocates Investment Management, and located in Oregon City, Oregon is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial and Financial Advocates Investment Management, Stacee Love-Malcolm was associated with Allstate Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Stacee Love-Malcolm Customer Complaints Stacee Love-Malcolm has been the subject of 5 customer complaints that we know about. All 5 of Stacee Love-Malcolm’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Stacee Love-Malcolm 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 Stacee Love-Malcolm told him he would get a 5. 50% guaranteed rate of return of principal. Customer further alleged he was not informed of 2. 9% fees, that he had no control of investment options and he was disappointed in the performance of the annuity. Customer alleged that Stacee Love-Malcolm told her the annuity was guaranteed to earn 6%. Customer alleged that she felt she was deceived by Stacee Love-Malcolm when purchasing the variable annuity. Customer questioned the alleged recommendation/suitability of an investment recommendation by Stacee Love-Malcolm to purchase a Prudential variable annuity. Customers alleged Stacee Love-Malcolm’s misrepresentation of the income rider provisions associated with their variable annuities, including the interest rate of the protected withdrawal value and how taking Required Minimum Distributions (RMDs) would affect their income benefits. Stacee Love-Malcolm Red Flags & Your Rights As An Investor Of course, Stacee Love-Malcolm 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 Stacee Love-Malcolm at LPL Financial, Financial Advocates Investment Management, and Allstate Financial Services on alert to review carefully the activity and performance of their accounts and question whether Stacee Love-Malcolm has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, Financial Advocates Investment Management, Allstate Financial 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 Stacee Love-Malcolm If you have questions about LPL Financial, Financial Advocates Investment Management, Allstate Financial Services, and/or Stacee Love-Malcolm 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

Jimmy Maldonado of LPL Financial

DID JIMMY MALDONADO CAUSE YOU INVESTMENT LOSSES? Jimmy Maldonado Of LPL Financial And Formerly With Invest Financial And Cetera Advisors Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jimmy Maldonado of LPL Financial? Jimmy Maldonado (CRD #2991263) who is currently registered with LPL Financial and located in Burbank, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Jimmy Maldonado was associated with Invest Financial, Cetera Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jimmy Maldonado Customer Complaints Jimmy Maldonado 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. One of Jimmy Maldonado’s 2 customer complaints was settled in favor of investors. One of Jimmy Maldonado’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Jimmy Maldonado A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Complaint in question involves a trade on Juniper (JNPR) which Jimmy Maldonado allegdly decided to sell based upon the “Not Held Order” given by the client as the stock was dropping fast. Customer alleged Jimmy Maldonado’s misrepresentation of a Business Development Company. Jimmy Maldonado Red Flags & Your Rights As An Investor Of course, Jimmy Maldonado 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 Jimmy Maldonado at LPL Financial, Invest Financial, and Cetera Advisors on alert to review carefully the activity and performance of their accounts and question whether Jimmy Maldonado has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, Invest Financial, and Cetera 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 Jimmy Maldonado If you have questions about LPL Financial, Invest Financial, Cetera Advisors, and/or Jimmy Maldonado 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 Griffiths of LPL Financial

DID THOMAS MARK GRIFFITHS CAUSE YOU INVESTMENT LOSSES? Thomas Griffiths Of LPL Financial And Great Valley Advisor Group Has 2 Customer Complaints For Alleged Broker Misconduct Who is Thomas Griffiths of LPL Financial? Thomas Griffiths (CRD #2106304) who is currently registered with LPL Financial, Great Valley Advisor Group and located in Newtown, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Thomas Griffiths Customer Complaints Thomas Griffiths 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. One of Thomas Griffiths’ customers’ complaints was denied and, to date, the customers have not taken any further action.  There is currently one pending customer complaint filed against LPL Financial for investment losses caused by Thomas Griffiths’ alleged misconduct. Allegations Against Thomas Griffiths A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged that they purchased non-conventional products that were risky at the recommendation of Thomas Griffiths. Pennsylvania client stated that he felt his ING Golden Select Variable annuity allegedly made by Thomas Griffiths was not a good investment choice for him. Thomas Griffiths Red Flags & Your Rights As An Investor Of course, Thomas Griffiths 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 Griffiths at LPL Financial and Great Valley Advisor Group on alert to review carefully the activity and performance of their accounts and question whether Thomas Griffiths has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and Great Valley Advisor Group 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 Griffiths If you have questions about LPL Financial and Great Valley Advisor Group, and/or Thomas Griffiths 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

John Dixon of Independent Financial Group

DID JOHN DIXON CAUSE YOU INVESTMENT LOSSES? John Dixon Of Independent Financial Group, LLC And Formerly With LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is John Dixon of Independent Financial Group, LLC? John Dixon (CRD #4239339) who is currently registered with Independent Financial Group, LLC and located in Pocatello, Idaho is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Independent Financial Group, John Dixon was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Dixon Customer Complaint John Dixon 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 that a variety of investments were unsuitable and that LPL failed to meet due diligence requirements. Claimant also alleges fraud, misrepresentation, breach of fiduciary duty, negligent failure to supervise and negligence on behalf of respondent. John Dixon’s customer complaint was settled in favor of the investors. John Dixon Red Flags & Your Rights As An Investor Of course, John Dixon 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 John Dixon at Independent Financial Group, LLC and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether John Dixon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Independent Financial Group, LLC and 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 Independent Financial Group, LLC Due To John Dixon If you have questions about Independent Financial Group, LLC, LPL Financial, and/or John Dixon 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

James Helfinstine of LPL Financial

DID JAMES ALLAN HELFINSTINE CAUSE YOU INVESTMENT LOSSES? James Helfinstine Of LPL Financial And Formerly With National Planning Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Helfinstine of LPL Financial? James Helfinstine (CRD #2425243) who is currently registered with LPL Financial and located in Prescott, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, James Helfinstine was associated with National Planning and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Helfinstine Customer Complaints James Helfinstine 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 James Helfinstine’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against James Helfinstine 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 James Helfinstine guaranteed her signature by using a medallion stamp and seal on documents that were not signed by her. Customers alleged James Helfinstine’s unauthorized investment into variable annuities. James Helfinstine Red Flags & Your Rights As An Investor Of course, James Helfinstine 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 James Helfinstine at LPL Financial and National Planning on alert to review carefully the activity and performance of their accounts and question whether James Helfinstine has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and National Planning 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 James Helfinstine If you have questions about LPL Financial, National Planning, and/or James Helfinstine 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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