Mar 4, 2022

Donald Woods of Thurston Spring Financial

DID DONALD STEPHEN WOODS CAUSE YOU INVESTMENT LOSSES? Donald Stephen Woods formerly with Thurston Springer Financial Has 4 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Donald S. Woods formerly with Thurston Springer Financial? Donald Woods (CRD #727894) who was formerly registered with Thurston Springer Financial and located in Louisville, Kentucky is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Thurston Springer Financial, Donald Woods was associated with LPL Financial, LLC and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Thurston Springer Financial Broker Misconduct In his career, Donald Woods has been the subject of 11 customer complaints that we know about, 5 of those complaints were filed in the last year to recover investment losses. Nine of Donald Woods’ 11 customer complaints were settled in favor of investors. One customer complaint was denied by his employer and to date, the customer is not taking any further action.  There are currently 2 pending customer complaints filed against Donald Woods’ former employer Thurston Springer Financial for investment losses caused by his alleged misconduct. Donald Woods was suspended by FINRA for allegedly submitting applications to purchase REITs that overstated the customer’s liquid net worth in order to circumvent his member firm’s restrictions; the FINRA findings also state that Donald Woods did not have a reasonable basis for recommending that the customers purchased the REITs which were inconsistent with the customer’s investment profile’s. Allegations Against Donald Woods A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege they wanted to purchase low-risk investments, but were encouraged to invest in risky business development companies and REITs through ongoing misrepresentations, which cause them monetary losses.  They further allege losses in connection with a variable annuity transaction.  Finally, they alleged that LPL Financial failed to adequately supervise Donald Woods. Customers allege misrepresentation and unsuitable investments in connection with 2 alternative investments, a REIT, and a Business Development Company. The customer alleges excessive selling of variable annuities, misrepresenting or failing to disclose material facts, unsuitability of products, and alteration of account profiles. The customer alleges misrepresentation of financial information, unsuitable investments, unwarranted fees, and failure to invest in a timely manner. Customers allege misrepresentation, unsuitable investments, failure to invest in a timely manner, and losses and accounts.  Customers also allege some documents were altered and specifically alleged they do not recognize certain signatures or initials and other signatures appear to be photocopied. The customer alleges misrepresentation of a structured product. Donald Woods Red Flags & Your Rights As An Investor Of course, Donald Woods 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 that should put all current and former customers of Donald Woods at Thurston Springer Financial on alert to review carefully the activity and performance of their accounts and question whether Donald Woods has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Thurston Springer Financial also raises questions about 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 Thurston Springer Financial If you have questions about Thurston Springer Financial, LPL Financial LLC and/or Donald Woodsand 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 4, 2022

Jason Woods of Thurston, Springer, Miller, Herd & Titak, Inc

DID JASON WOODS CAUSE YOU INVESTMENT LOSSES? Jason Woods formerly with Thurston, Springer, Miller, Herd & Titak And LPL Financial Has 7 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Jason Woods formerly with Thurston, Springer, Miller, Herd & Titak, Inc., and LPL Financial? Jason Woods (CRD #5992754) who was formerly registered with Thurston, Springer, Miller, Herd & Titak, Inc. and located in Louisville, Kentucky is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Thurston, Springer, Miller, Herd & Titak, Inc., Jason Woods was associated with LPL Financial LLC, brokerage firms with a history of customer complaints and securities industry regulatory problems. Thurston, Springer, Miller, Herd & Titak, Inc. Broker Misconduct In his career, Jason Woods has been the subject of 9 customer complaints that we know about, 7 of those complaints were filed in the last two years to recover investment losses. Seven of Jason Woods’ 9 customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against Jason Woods’ former employer LPL Financial for investment losses caused by his alleged misconduct. Allegations Against Jason Woods A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege they desired to purchase low-risk investments but were encouraged to invest in risky business development companies and reads through ongoing misrepresentations, which caused them monetary losses.  They further allege losses in connection with a variable annuity investment.  They also alleged that LPL Financial failed to adequately supervise its representatives. Customers allege misrepresentation and unsuitable recommendations in connection with alternative investment purchases involving real estate. The customer alleges misrepresentation and unsuitable investment in connection with an alternative investment. The customer alleges excessive selling of annuities, misrepresentation, failure to disclose material facts, unsuitability of products, and alteration of account profiles. The customer alleges misrepresentation of financial information, unsuitable investments, unwarranted fees, and failure to invest in a timely manner. Customers allege misrepresentation, unsuitable investments, failure to invest in a timely manner, and losses and accounts.  Customers also allege some documents were altered and specifically allege they do not recognize certain signatures or initials and other signatures appear to be copied. Jason Woods Red Flags & Your Rights as An Investor Of course, Jason Woods did not admit to any of the allegations.  In fact, he claims the customers who complained were not his clients.  Apparently, the firm disagreed and settled 7 of those complaints about his objection.  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 Jason Woods at Thurston, Springer, Miller, Herd & Titak, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jason Woods has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Thurston, Springer, Miller, Herd & Titak, Inc. also raises questions about 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 Thurston, Springer, Miller, Herd & Titak, Inc. If you have questions about Thurston, Springer, Miller, Herd & Titak, Inc., LPL Financial LLC and/or Jason Woodsand 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 4, 2022

David Melilli of Cambridge Investment Research, Inc

DID DAVID JOHN MELILLI CAUSE YOU INVESTMENT LOSSES? David John Melilli formerly with Cambridge Investment Research, Inc. and SagePoint Financial, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is David J. Melilli formerly with Cambridge Investment Research, Inc.? David Melilli (CRD #5254172) who was formerly registered with Cambridge Investment Research, Inc. and located in Moorestown, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cambridge Investment Research, Inc., David Melilli was associated with SagePoint Financial, Inc. and LPL Financial LLC and four other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. In January 2020, David Melilli was terminated by Cambridge Investment Research, Inc. for allegedly placing discretionary trades without the written authority. Such conduct, if it occurred, is a violation of FINRA Rule 2510.  David Melilli claims he completed the incorrect paperwork for a non-discretionary commission account instead of a discretionary managed account but it appears as employee did not believe as he was discharged from employment at that firm. SagePoint Financial, Inc. Broker Misconduct In his career, David Melilli has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. One of those complaints was recently denied by his former employer, and to date customer has not taken any further action. There are currently two pending customer complaints filed against David Melilli’s former employer, SagePoint Financial, Inc., for investment losses caused by his alleged misconduct. Allegations Against David Melilli A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client’s alleged unauthorized trading involving options. Claimants alleged unauthorized trading, breach of fiduciary duty, unsuitability, churning, negligence, common law fraud, and violation of the federal securities laws. David Melilli Red Flags & Your Rights As An Investor Of course, David Melilli 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 Melilli at Cambridge Investment Research, Inc., SagePoint Financial, Inc. and LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether David Melilli has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SagePoint Financial, Inc. about David Melilli also raises questions about its 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 Cambridge Investment Research, Inc. and SagePoint Financial, Inc. If you have questions about Cambridge Investment Research, Inc., Sagepoint Financial, Inc., LPL Financial LLC and/or David Melilli 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 4, 2022

Bret Hartman of LPL Financial, LLC

DID BRET ALEXANDER HARTMAN CAUSE YOU INVESTMENT LOSSES? Bret Alexander Hartman Formally With LPL Financial, LLC Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Bret A. Hartman Formerly With LPL Financial, LLC.? Bret Hartman (CRD #4502046) who is currently registered with Berthel, Fisher & Company Financial Services, Inc. and located in Cortland, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. LPL Financial, LLC Broker Misconduct In his career, Bret Hartman has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. All 3 of those customer complaints occurred in connection with his employment at LPL Financial, LLC. All of Bret Hartman’s 3 customer complaints were settled in favor of investors. Allegations Against Bret Hartman A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Unsuitability and misrepresentation of structured product investments in an IRA account. Claimants allege that an income-producing investments in a structured notes was unsuitable for them. Customer’s alleged misrepresentation of unsuitable structured notes. Bret Hartman Red Flags & Your Rights As An Investor Of course, Bret Hartman 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 Bret Hartman at Berthel, Fisher & Company Financial Services, Inc. and LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Bret Hartman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about Bret Hartman at LPL Financial LLC also raises questions about its 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 If you have questions about Berthel, Fisher & Company Financial Services, Inc., LPL Financial LLC and/or Bret Hartman 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 4, 2022

James Thomas Booth Formerly With LPL Financial

UPDATED ON: December 4, 2020 DID JAMES THOMAS BOOTH CAUSE YOU INVESTMENT LOSSES? James Thomas Booth Formerly With LPL Financial, Invest Financial Corporation and Cadaret, Grant & Co.Has 30 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is James Thomas Booth Formerly With LPL Financial, Invest Financial Corporation and Cadaret, Grant & Co. James Thomas Booth (CRD# 1906145) who was registered with LPL Financial, Invest Financial Corporation and Cadaret, Grant & Co. and located in Norwalk, Connecticutis a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial, Invest Financial Corporation and Cadaret, Grant & Co., James Booth was registered with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. LPL Financial, Invest Financial Corporation and Cadaret, Grant & Co. Broker Misconduct In his career, James Booth has been the subject of 36 customer complaints that we know about, 30 of those complaints were filed in the last year to recover investment losses. All of James Booth’s recent customer complaints were settled in favor of investors. There is currently 1 pending customer complaints filed against James Booth’s former employer Cadaret, Grant & Co. for investment losses caused by his alleged misconduct. Allegations Against James Booth The allegations made in the last 30 FINRA reported arbitration claim settlements and pending complaints for investment losses arise out of an alleged Ponzi scheme.  James Booth was indicted and pled guilty to one count of securities fraud. In addition, he has been enjoined and/or permanent barred from acting as a securities broker for his alleged misconduct. According to FINRA,  James Booth consented to the permanent bar sanction, without admitting or denying the allegations, for converting at least $1,000,000 of  investor funds from multiple customers who gave him funds to invest on their behalf, however, he allegedly deposited the funds into an account he controlled and, used the funds for his personal use. James Booth Red Flags & Your Rights As An Investor The allegations made by customers are red flags which should put all current and former customers of James Booth at LPL Financial, Invest Financial Corp. and Cadaret, Grant & Co. on alert to review carefully the activity and performance of their accounts and question whether James Booth has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, Invest Financial Corp. and Cadaret, Grant & Co. also raises questions about 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, Invest Financial Corporation and Cadaret, Grant & Co. If you have questions about a LPL Financial, Invest Financial Corp. and Cadaret, Grant & Co. and/or James Booth 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 or locally at 561-338-0037.

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Mar 4, 2022

Brian Bates of LPL Financial LLC

DID BRIAN R. BATES CAUSE YOU INVESTMENT LOSSES? Brian Bates Of LPL Financial LLC And Formerly With PNC Investments Has 3 Customer Complaints For Alleged Broker Misconduct Who is Brian Bates of LPL Financial LLC? Brian Bates (CRD #2318413) who is currently registered with LPL Financial LLC and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, Brian Bates was associated with PNC Investments and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brian Bates Customer Complaints Brian Bates has been the subject of 3 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Brian Bates’ 3 customer complaints was settled in favor of investor.  Two of Brian Bates’ customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Brian Bates A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Misrepresentations regarding managed account. Misrepresentations regarding FDIC insured coverage of investment. Brian Bates Red Flags & Your Rights As An Investor Of course, Brian Bates 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 Brian Bates at LPL Financial LLC and PNC Investments on alert to review carefully the activity and performance of their accounts and question whether Brian Bates has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and PNC 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 LLC Due To Brian Bates If you have questions about LPL Financial LLC, PNC Investments, and/or Brian Bates 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 4, 2022

Brian Slade of LPL Financial LLC

DID BRIAN NEIL SLADE CAUSE YOU INVESTMENT LOSSES? Brian Slade Of LPL Financial LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Brian Slade of LPL Financial LLC? Brian Slade (CRD #4073310) who is currently registered with LPL Financial LLC and located in South Jordan, Utah is a subject of one of our many securities industry sales practice abuse investigations.   Brian Slade Customer Complaint Brian Slade 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 Brian Slade was involved with her at ex-husband making unauthorized withdrawals from her retirement account. Brian Slade’s customer complaint was denied and, to date, the customer has not taken any further action. Brian Slade Red Flags & Your Rights As An Investor Of course, Brian Slade 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 Brian Slade at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Brian Slade has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Brian Slade If you have questions about LPL Financial LLC and/or Brian Slade 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 3, 2022

Brian Gaffney of LPL Financial LLC

DID BRIAN JOESPH GAFFNEY CAUSE YOU INVESTMENT LOSSES? Brian Gaffney Of LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Brian Gaffney of LPL Financial LLC? Brian Gaffney (CRD #1633401) who is currently registered with LPL Financial LLC and located in Chester, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.   Brian Gaffney Customer Complaints Brian Gaffney has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Brian Gaffney’s customer complaints was denied and, to date, the customer has not taken any further action.  There is currently 1 pending customer complaint filed against Brian Gaffney’s current employer LPL Financial LLC for investment losses caused by the alleged misconduct. Allegations Against Brian Gaffney   A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendation of REIT in business development Company. Unsuitable investment recommendations. Brian Gaffney Red Flags & Your Rights As An Investor Of course, Brian Gaffney 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 Brian Gaffney at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Brian Gaffney has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC also raises questions about the brokerage 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 Brian Gaffney If you have questions about LPL Financial LLC and/or Brian Gaffney 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 3, 2022

Brian Singleton of LPL Financial LLC

DID BRIAN JESSE SINGLETON CAUSE YOU INVESTMENT LOSSES? Brian Singleton Of LPL Financial LLC Has 4 Customer Complaints For Alleged Broker Misconduct Who is Brian Singleton of LPL Financial LLC? Brian Singleton (CRD #4838440) who is currently registered with LPL Financial LLC and located in Pocatello, Idaho is a subject of one of our many securities industry sales practice abuse investigations. Brian Singleton Customer Complaints Brian Singleton has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. One of Brian Singleton’s 4 customer complaints was settled in favor of investor. Two of Brian Singleton’s customer complaints were denied and, to date, the customers have not taken any further action.  There is currently 1 pending customer complaint filed against Brian Singleton’s current employer LPL Financial LLC for investment losses caused by the alleged misconduct. Allegations Against Brian Singleton   A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Misrepresentation of features of a variable annuity. Misrepresentation of the risk of a structured note related to oil and gas index. Unsuitable investment recommendations of structured note. Brian Singleton Red Flags & Your Rights As An Investor Of course, Brian Singleton 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 Brian Singleton at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Brian Singleton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC also raises questions about the brokerage 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 Brian Singleton If you have questions about LPL Financial LLC and/or Brian Singleton 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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Feb 25, 2022

Brandon Williams of LPL Financial LLC

DID BRANDON CHRISTOPHER WILLIAMS CAUSE YOU INVESTMENT LOSSES? Brandon Williams Of LPL Financial LLC And Formerly With Cetera Investment Services LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Brandon Williams of LPL Financial LLC? Brandon Williams (CRD #5239801) who is currently registered with LPL Financial LLC and located in Fort Worth, Texas is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, Brandon Williams was associated with Cetera Investment Services LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brandon Williams Customer Complaint Brandon Williams 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 Brandon Williams failed to inform the customer as a distribution from an annuity contract would have negative consequences for her.  Brandon Williams’ customer complaint was settled in favor of the investors. Brandon Williams Red Flags & Your Rights As An Investor Of course, Brandon Williams 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 Brandon Williams at LPL Financial LLC and Cetera Investment Services LLC on alert to review carefully the activity and performance of their accounts and question whether Brandon Williams has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Cetera Investment Services LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Brandon Williams If you have questions about LPL Financial LLC, Cetera Investment Services LLC and/or Brandon Williams 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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