Mar 8, 2022

Carol Tartaglia Formerly With LPL Financial

DID CAROL ANN TARTAGLIA CAUSE YOU INVESTMENT LOSSES? Carol Tartaglia Formerly With LPL Financial Has 2 Customer Complaints For Alleged Broker Misconduct Who Is Carol Tartaglia Formerly With LPL Financial? Carol Tartaglia (CRD #1000760) who was formerly registered with LPL Financial and located in East Haven, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Carol Tartaglia Customer Complaints Carol Tartaglia 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 Carol Tartaglia’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Carol Tartaglia A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Carol Tartaglia’s alleged misrepresentation and suitability. POA alleged Carol Tartaglia’s suitability issues in reference to the clients’ variable annuity. Carol Tartaglia Red Flags & Your Rights As An Investor Of course, Carol Tartaglia 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 Carol Tartaglia at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Carol Tartaglia 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 Carol Tartaglia If you have questions about LPL Financial and/or Carol Tartaglia 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

David Waters of Cetera Advisors

DID DAVID SAMUEL WATERS CAUSE YOU INVESTMENT LOSSES? David Waters Of Cetera Advisors And Formerly With LPL Financial and Private Advisor Group Has A Customer Complaint For Alleged Broker Misconduct Who is David Waters of Cetera Advisors? David Waters (CRD #734939) who is currently registered with Cetera Advisors and located in Philadelphia, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors, David Waters 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. David Waters Customer Complaint David Waters has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were misrepresentation and unauthorized trades which resulted in a decline of the portfolio value. David Waters’ customer complaint was settled in favor of the investors. David Waters Red Flags & Your Rights As An Investor Of course, David Waters did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of David Waters at Cetera Advisors, LPL Financial, and Private Advisor Group on alert to review carefully the activity and performance of their accounts and question whether David Waters 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 and LPL Financial Due To David Waters If you have questions about Cetera Advisors, LPL Financial, Private Advisor Group, and/or David Waters 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 Horseman of LPL Financial

DID JOHN HORSEMAN CAUSE YOU INVESTMENT LOSSES? John Horseman Of LPL Financial LLC And Formerly With National Planning Has 4 Customer Complaints For Alleged Broker Misconduct Who is John Horseman of LPL Financial LLC? John Horseman (CRD #851636) who is currently registered with LPL Financial LLC and located in St. Louis, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, John Horseman was associated with National Planning and 16 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Horseman Customer Complaints John Horseman has been the subject of 4 customer complaints that we know about. Two of John Horseman’s 4 customer complaints were settled in favor of investors. Two of John Horseman’s customers’ complaints were denied and the customers did not take any further action. Allegations Against John Horseman 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 poor recommendation by John Horseman resulting in poor performance and failure to disclose fees and commissions. Claimant alleged that he purchased variable annuities that declined in value after he moved investments to another brokerage firm allegedly made by John Horseman. Claimant alleged that two variable annuities John Horseman purchased were unsuitable. Customer alleged that REIT purchased had not performed as John Horseman had predicted, and sought recovery of some of his investment losses. John Horseman Red Flags & Your Rights As An Investor Of course, John Horseman 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 Horseman at LPL Financial LLC and National Planning on alert to review carefully the activity and performance of their accounts and question whether John Horseman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and National Planning 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 John Horseman If you have questions about LPL Financial LLC, National Planning and/or John Horseman 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 Hunt of LPL Financial

DID THOMAS HUNT CAUSE YOU INVESTMENT LOSSES? Thomas Hunt of LPL Financial LLC And Formerly With Wells Fargo Clearing Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Thomas Hunt of LPL Financial LLC? Thomas Hunt (CRD #1323743) who is currently registered with LPL Financial LLC and located in Twin Falls, Idaho is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Thomas Hunt was associated with Wells Fargo Clearing Services and 9 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Thomas Hunt Customer Complaints Thomas Hunt has been the subject of 3 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. All of Thomas Hunt’s customer complaints were settled in favor of investors. Allegations Against Thomas Hunt 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 unsuitable and unauthorized trading, breach of fiduciary duty and negligence by Thomas Hunt. Power of attorney for client complained that the securities in the client’s account allegedly made by Thomas Hunt were not suitable. The client alleged unsuitable investments; churning; unauthorized trading by Thomas Hunt. Thomas Hunt Red Flags & Your Rights As An Investor Of course, Thomas Hunt 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 Hunt at LPL Financial LLC and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Thomas Hunt 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 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 Thomas Hunt If you have questions about LPL Financial LLC, Wells Fargo Clearing Services, and/or Thomas Hunt 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

Christopher Zelesnick of Allstate Financial Services

DID CHRISTOPHER MICHAEL ZELESNICK CAUSE YOU INVESTMENT LOSSES? Christopher Zelesnick Of Allstate Financial Services And Formerly With Impactive Advisors and LPL Financial Has 2 Customer Complaints For Alleged Broker Misconduct Who is Christopher Zelesnick of Allstate Financial Services? Christopher Zelesnick (CRD #1257500) who is currently registered with Allstate Financial Services and located in Elkins Park, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Allstate Financial Services, Christopher Zelesnick was associated with Impactive Advisors, LPL Financial, and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Christopher Zelesnick Customer Complaints Christopher Zelesnick has been the subject of 2 customer complaints that we know about. One of Christopher Zelesnick’s 2 customer complaints resulted in an arbitration award in favor of the investors.  The other one of Christopher Zelesnick’s customer complaints was settled in favor of investors. Allegations Against Christopher Zelesnick A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The action arises out of a fraudulent scheme orchestrated by others. The Plaintiffs allege that Defendants received misappropriated funds knowing, or with reckless disregard for the truth, that the monies were fraudulently obtained in furtherance of the scheme. The Plaintiffs allege that Defendants have wrongfully and intentionally exercised and have conspired to exercise dominion and control over monies and funds provided by Plaintiffs, amounting to conversion. The Plaintiffs allege that all payments made to Christopher Zelesnick were derived from monies invested by the Plaintiffs. Christopher Zelesnick’s alleged misrepresentation; omission of facts; account related – failure to supervise. Christopher Zelesnick Red Flags & Your Rights As An Investor Of course, Christopher Zelesnick 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 Zelesnick at Allstate Financial Services, Impactive Advisors, and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Christopher Zelesnick has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Allstate Financial Services, Impactive Advisors, 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 Allstate Financial Services, Impactive Advisors and LPL Financial Due To Christopher Zelesnick If you have questions about Allstate Financial Services, Impactive Advisors, LPL Financial, and/or Christopher Zelesnick 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 7, 2022

Lee Goodin of LPL Financial

DID LEE M. GOODIN CAUSE YOU INVESTMENT LOSSES? Lee Goodin Of LPL Financial And Formerly With Vanguard Marketing Has A Customer Complaint For Alleged Broker Misconduct Who is Lee Goodin of LPL Financial? Lee Goodin (CRD #6105653) 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, Lee Goodin was associated with Vanguard Marketing and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Lee Goodin Customer Complaint Lee Goodin 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 an unsuitable sale of mutual funds generated unnecessary taxable gain for the trust. Lee Goodin’s customer complaint was denied and, to date, the customer has not taken any further action. Lee Goodin Red Flags & Your Rights As An Investor Of course, Lee Goodin 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 Lee Goodin at LPL Financial and Vanguard Marketing on alert to review carefully the activity and performance of their accounts and question whether Lee Goodin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and Vanguard Marketing 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 Lee Goodin If you have questions about LPL Financial, Vanguard Marketing, and/or Lee Goodin 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 7, 2022

Bryan Gravel of LPL Financial

DID BRYAN MARC GRAVEL CAUSE YOU INVESTMENT LOSSES? Bryan Gravel Of LPL Financial, Flagship Harbor Advisors And Formerly With Citizens Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Bryan Gravel of LPL Financial? Bryan Gravel (CRD #5634671) who is currently registered with LPL Financial, Flagship Harbor Advisors and located in Cumberland, Rhode Island is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial and Flagship Harbor Advisors, Bryan Gravel was associated with Citizens Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Bryan Gravel Customer Complaints Bryan Gravel has been the subject of 2 customer complaints that we know about. Both of Bryan Gravel’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Bryan Gravel 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 that Bryan Gravel misrepresented the terms of a Market Linked Certificate of Deposit investment. Client alleged that investment into Single Premium Immediate Annuity recommended by Bryan Gravel was not suitable given her financial situation. Bryan Gravel Red Flags & Your Rights As An Investor Of course, Bryan Gravel 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 Bryan Gravel at LPL Financial, Flagship Harbor Advisors, and Citizens Securities on alert to review carefully the activity and performance of their accounts and question whether Bryan Gravel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, Flagship Harbor Advisors, and Citizens 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 LPL Financial Due To Bryan Gravel If you have questions about LPL Financial, Flagship Harbor Advisors, Citizens Securities, and/or Bryan Gravel 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 7, 2022

Benjamin Haas of LPL Financial

DID BENJAMIN NEIL HAAS CAUSE YOU INVESTMENT LOSSES? Benjamin Haas Of LPL Financial And US Wealth Management Has A Customer Complaint For Alleged Broker Misconduct Who is Benjamin Haas of LPL Financial? Benjamin Haas (CRD #5125147) who is currently registered with LPL Financial, US Wealth Management and located in Kutztown, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Benjamin Haas Customer Complaint Benjamin Haas 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 advisory accounts were mismanaged during certain periods, that advisory fees were collected on cash balances, that certain recommendations were unsuitable, and that 401k rollover should have been made to his Roth account. Benjamin Haas’ customer complaint was settled in favor of the investors. Benjamin Haas Red Flags & Your Rights As An Investor Of course, Benjamin Haas 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 Benjamin Haas at LPL Financial and US Wealth Management on alert to review carefully the activity and performance of their accounts and question whether Benjamin Haas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and US Wealth Management 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 Benjamin Haas If you have questions about LPL Financial, US Wealth Management, and/or Benjamin Haas 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 7, 2022

Kevin Kraft of LPL Financial

DID KEVIN ZACHARY KRAFT CAUSE YOU INVESTMENT LOSSES? Kevin Kraft Of LPL Financial And APS Investment Management Group Has A Customer Complaint For Alleged Broker Misconduct Who is Kevin Kraft of LPL Financial? Kevin Kraft (CRD #4658879) who is currently registered with LPL Financial, APS Investment Management Group and located in Jackson, California is a subject of one of our many securities industry sales practice abuse investigations. Kevin Kraft Customer Complaint Kevin Kraft 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 Kevin Kraft falsely assured them of the background and reputation of the person who “bought” their accounts despite the person’s lack of securities licenses. Kevin Kraft’s customer complaint was settled in favor of the investors. Kevin Kraft Red Flags & Your Rights As An Investor Of course, Kevin Kraft 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 Kraft at LPL Financial and APS Investment Management Group on alert to review carefully the activity and performance of their accounts and question whether Kevin Kraft has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and APS Investment Management 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 Due To Kevin Kraft If you have questions about LPL Financial, APS Investment Management Group, and/or Kevin Kraft 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 7, 2022

Shawn Layton of LPL Financial

DID SHAWN MICHAEL LAYTON CAUSE YOU INVESTMENT LOSSES? Shawn Layton Of LPL Financial And Formerly With Securities America And Securities America Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Shawn Layton of LPL Financial? Shawn Layton (CRD #5893472) who is currently registered with LPL Financial and located in Bellevue, Washington is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Shawn Layton was associated with Securities America, Securities America Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Shawn Layton Customer Complaint Shawn Layton 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 a failed 1031 exchange, recommended by their representative, Shawn Layton caused them to incur IRS tax consequences and that it also affected their monthly social security benefits. Shawn Layton’s customer complaint was denied and, to date, the customers have not taken any further action. Shawn Layton Red Flags & Your Rights As An Investor Of course, Shawn Layton 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 Shawn Layton at LPL Financial, Securities America, and Securities America Advisors on alert to review carefully the activity and performance of their accounts and question whether Shawn Layton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, Securities America, 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 LPL Financial Due To Shawn Layton If you have questions about LPL Financial, Securities America, Securities America Advisors, and/or Shawn Layton 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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