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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Mar 8, 2022

Gregory Henning of LPL Financial

DID GREGORY STEVEN HENNING CAUSE YOU INVESTMENT LOSSES? Gregory Henning Of LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Gregory Henning of LPL Financial? Gregory Henning (CRD #3111355) who is currently registered with LPL Financial and located in Sun Prairie, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Gregory Henning Customer Complaint Gregory Henning 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 customer alleged advisor misrepresented the features of a variable annuity. Gregory Henning’s customer complaint was denied and, to date, the customer has not taken any further action. Gregory Henning Red Flags & Your Rights As An Investor Of course, Gregory Henning did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Gregory Henning at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Gregory Henning 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 Gregory Henning If you have questions about LPL Financial and/or Gregory Henning 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

Kevin Houser of Ameriprise Financial Services

DID KEVIN DOUGLAS HOUSER CAUSE YOU INVESTMENT LOSSES? Kevin Houser Of Ameriprise Financial Services And Formerly With LPL Financial Has 4 Customer Complaints For Alleged Broker Misconduct Who is Kevin Houser of Ameriprise Financial Services? Kevin Houser (CRD #2513167) who is currently registered with Ameriprise Financial Services and located in Center Valley, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, Kevin Houser was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kevin Houser Customer Complaints Kevin Houser has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. There are currently four pending customers’ complaints filed against LPL Financial for investment losses caused by Kevin Houser’s alleged misconduct. Allegations Against Kevin Houser 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 invested in Franklin Square BDC’s and AXA annuities upon their Kevin Houser’s misleading recommendation, which did not suit their allegedly conservative investment profile. Kevin Houser’s allegedly made unsuitable investment recommendations. Kevin Houser Red Flags & Your Rights As An Investor Of course, Kevin Houser 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 Kevin Houser at Ameriprise Financial Services and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Kevin Houser has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services 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 Ameriprise Financial Services Due To Kevin Houser If you have questions about Ameriprise Financial Services, LPL Financial, and/or Kevin Houser 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 Gibson of Cetera Advisors

DID JAMES JOSEPH GIBSON CAUSE YOU INVESTMENT LOSSES? James Gibson of Cetera Advisors And Formerly With LPL Financial and Private Advisor Group Has A Customer Complaint For Alleged Broker Misconduct Who is James Gibson of Cetera Advisors? James Gibson (CRD #1420473) who is currently registered with Cetera Advisors and located in Yardley, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors, James Gibson was associated with LPL Financial, Private Advisor Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Gibson Customer Complaint James Gibson 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 related to a variable annuity. James Gibson’s customer complaint was settled in favor of the investors. James Gibson Red Flags & Your Rights As An Investor Of course, James Gibson 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 Gibson at Cetera Advisors, LPL Financial, and Private Advisor Group on alert to review carefully the activity and performance of their accounts and question whether James Gibson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors, LPL Financial, and Private Advisor Group 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 Cetera Advisors Due To James Gibson If you have questions about Cetera Advisors, LPL Financial, Private Advisor Group, and/or James Gibson 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

Steven Dean of LPL Financial

DID STEVEN DEAN CAUSE YOU INVESTMENT LOSSES? Steven Dean Of LPL Financial LLC, Northeast Planning Associates Has 2 Customer Complaints For Alleged Broker Misconduct Who is Steven Dean of LPL Financial LLC? Steven Dean (CRD #2759263) who is currently registered with LPL Financial LLC, Northeast Planning Associates and located in Madison, Maine is a subject of one of our many securities industry sales practice abuse investigations. Steven Dean Customer Complaints Steven Dean 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 Steven Dean’s 2 customers’ complaints were settled in favor of investors. Allegations Against Steven Dean 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 Steven Dean recommended he invest in an unsuitable Business Development Company that ultimately caused him damages. Claimant alleged the details and risks of the investment were misrepresented to him. The customer alleged unsuitable recommendation by Steven Dean. Steven Dean Red Flags & Your Rights As An Investor Of course, Steven Dean 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 Steven Dean at LPL Financial LLC and Northeast Planning Associates on alert to review carefully the activity and performance of their accounts and question whether Steven Dean has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Northeast Planning Associates 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 Steven Dean If you have questions about LPL Financial LLC and Northeast Planning Associates, and/or Steven Dean 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

Michael David of Cetera Advisor Networks

DID MICHAEL DAVID CAUSE YOU INVESTMENT LOSSES? Michael David Of Cetera Advisor Networks, LLC, CWM And Formerly With LPL Financial Has One Customer Complaint For Alleged Broker Misconduct Who is Michael David of Cetera Advisor Networks, LLC? Michael David (CRD #2880609) who is currently registered with Cetera Advisor Networks, LLC, CWM and located in Amarillo, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisor Networks, LLC and CWM, Michael David was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael David Customer Complaint Michael David has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that the claimant was allegedly induced into purchasing at least three alternative products- two BDCs and one REIT – which she allegedly did not understand and were allegedly misrepresented to her. Claimant alleges the investments were unsuitable. The customer complaint filed against Michael David’s current employer LPL Financial for investment losses caused by the alleged misconduct is pending as of the date of this report. Michael David Red Flags & Your Rights As An Investor Of course, Michael David 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 Michael David at Cetera Advisor Networks, LLC, CWM and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Michael David has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks, LLC, CWM, 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 Cetera Advisor Networks, LLC Due To Michael David If you have questions about Cetera Advisor Networks, LLC, CWM, LPL Financial, and/or Michael David 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 Kidwell of LPL Financial

DID JAMES KIDWELL CAUSE YOU INVESTMENT LOSSES? James Kidwell Of LPL Financial LLC, Private Advisor Group Has One Customer Complaint For Alleged Broker Misconduct Who is James Kidwell of LPL Financial LLC? James Kidwell (CRD #1284843) who is currently registered with LPL Financial LLC, Private Advisor Group and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. James Kidwell Customer Complaint James Kidwell has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that stock positions were sold contrary to instructions to liquidate only ETFs. James Kidwell’s customer complaint was settled in favor of investors. James Kidwell Red Flags & Your Rights As An Investor Of course, James Kidwell 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 Kidwell at LPL Financial LLC and Private Advisor Group on alert to review carefully the activity and performance of their accounts and question whether James Kidwell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Private Advisor Group 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 James Kidwell If you have questions about LPL Financial LLC, Private Advisor Group, and/or James Kidwell 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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