Jan 20, 2022

Anida Venniro of LPL Financial

DID ANIDA VENNIRO CAUSE YOU INVESTMENT LOSSES? Anida Venniro of LPL Financial Has One Customer Complaint for Alleged Broker Misconduct Who is Anida Venniro of LPL Financial? Anida Venniro (CRD #5121189) who is currently registered with LPL Financial and located in Farmington Hills, MI is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Anida Venniro was associated with AXA Advisors and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. LPL Financial Broker Misconduct In his/her career, Anida Venniro has been the subject of one customer complaint that we know about. This complaint was denied and the customers did not take any further action. Allegations Against Anida Venniro A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleges misrepresentation regarding investment. Anida Venniro Red Flags & Your Rights as An Investor Of course, Anida Venniro 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 Anida Venniro at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Anida Venniro has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at LPL Financial which 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 If you have questions about LPL Financial and/or Anida Venniro 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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Jan 20, 2022

Wesley Foltz of Prospera Financial Services

DID WESLEY JUSTIN FOLTZ CAUSE YOU INVESTMENT LOSSES? Wesley Justin Foltz formerly with Prospera Financial Services Has 2 Customer Complaints for Alleged Broker Misconduct Who is Wesley J. Foltz formerly with Prospera Financial Services? Wesley Foltz (CRD #4617507) who was formerly registered with Prospera Financial Services and located in Alexandria, Louisiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to Prospera Financial Services, Wesley Foltz was associated with LPL Financial and 1 other investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Wesley Foltz has had his own regulatory problems. In October 2018, without admitting or denying the allegations, Wesley Foltz consented to sanctions and entry of findings by FINRA that he recommended certain L-share variable annuities without any reasonable basis for believing the recommendations were suitable. As a result, he was suspended by FINRA for 30 days and fined. Wesley J. Foltz Customer Complaints In his/her career, Wesley Foltz has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. One of the customer’s complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against LPL Financial for investment losses caused by Wesley Foltz’s alleged misconduct. Allegations Against Wesley Foltz A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged that Wesley Foltz’s recommendation of REIT investment in December 2008 was unsuitable and seeks recovery of investment losses, which he estimates to be $40,000 to $50,000. The customer alleges that Wesley Foltz purchased REITs for his account that were unsuitable. Wesley Foltz Red Flags & Your Rights as An Investor Of course, Wesley Foltz 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 Wesley Foltz at Prospera Financial Services on alert to review carefully the activity and performance of their accounts and question whether Wesley Foltz has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Prospera Financial Services which 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 Prospera Financial Services If you have questions about Prospera Financial Services and/or Wesley Foltz 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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Jan 20, 2022

Craig Snyder of LPL Financial, LLC

DID CRAIG JAN SNYDER CAUSE YOU INVESTMENT LOSSES? Craig Jan Snyder with LPL Financial, LLC Has A Recent Customer Complaint for Alleged Broker Misconduct in the Past Year Who is Craig J. Snyder with LPL Financial, LLC? Craig Snyder (CRD #1012937) who is currently registered with LPL Financial, LLC and located in Southfield, Michigan is a subject of one of our many securities industry sales practice abuse investigations.   Prior to LPL Financial, LLC, Craig Snyder was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. LPL Financial, LLC Broker Misconduct Craig Snyder has been recently identified as being the subject of a customer made in the last year to recover investment losses.  The customer alleged that Craig Snyder made misrepresentations and unsuitable investment recommendations to purchase a non-traded and therefore illiquid REIT investment. LPL Financial, LLC recently denied the claim and the customer has not yet filed an arbitration proceeding. Craig Snyder Red Flags & Your Rights as An Investor Of course, Craig Snyder 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 Craig Snyder at LPL Financial, LLC on alert to review carefully the activity and performance of their accounts and question whether Craig Snyder has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at LPL Financial, LLC which 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 LPL Financial, LLC and/or Craig Snyder 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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Jan 20, 2022

Christopher Tuck of LPL Financial LLC

DID CHRISTOPHER DAVID TUCK CAUSE YOU INVESTMENT LOSSES? Christopher David Tuck with LPL Financial LLC Has to Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Christopher D. Tuck with LPL Financial LLC? Christopher Tuck (CRD #5971765) who is currently registered with LPL Financial LLC and located in Doylestown, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. LPL Financial LLC is an investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. LPL Financial LLC Broker Misconduct In his career, Christopher Tuck has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. One of Christopher Tuck’s customer complaints was settled in favor of investors. The other customer complaint made against Christopher Tuck’s current employer LPL Financial LLC for investment losses caused by his alleged misconduct was recently denied, and to date, the customer is not taken any further action. Allegations Against Christopher Tuck A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleges that Christopher Tuck failed to follow his instructions. Claimant alleged negligence, breach of fiduciary duty, breach of contract, misrepresentation, and violation of FINRA rules related to the managed account. Christopher Tuck Red Flags & Your Rights As An Investor Of course, Christopher Tuck 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 Tuck at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Christopher Tuck has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC in such a short period 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 LPL Financial LLC and/or Christopher Tuck 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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Jan 20, 2022

Wayne Wagner of Securities America, Inc

DID WAYNE DAVID WAGNER JR CAUSE YOU INVESTMENT LOSSES? Wayne David Wagner Jr with Securities America, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Wayne D. Wagner Jr with Securities America, Inc.? Wayne Wagner (CRD #2736605) who is currently registered with Securities America, Inc. and located in Wilmington, Delaware is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Securities America, Inc., Wayne Wagner was associated with LPL Financial, LLC and another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. LPL Financial, LLC Broker Misconduct In his career, Wayne Wagner has been the subject of 2 customer complaints that we know about, both of those complaints were filed against his former employer LPL Financial, LLC in the last 2 years to recover investment losses.   One of Wayne Wagner’s customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Wayne Wagner’s former employer LPL Financial, LLC for investment losses caused by his alleged misconduct. Allegations Against Wayne Wagner A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege that Wayne Ladner misled them and made unsuitable investment recommendations to invest in Colony NorthStar and Resource REIT, Franklin Square, a business development company, and CION Investment Corporation. The customer alleges that Wayne Wegner engaged in unauthorized trading, breached his fiduciary duty, misrepresented facts, and violated FINRA conduct rules in connection with alternative investments offered and sold to him. Wayne Wagner Red Flags & Your Rights as An Investor Of course, Wayne Wagner 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 Wayne Wagner at Securities America, Inc. and LPL Financial, LLC alert to review carefully the activity and performance of their accounts and question whether Wayne Wagner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, LLC about Wayne Wegner 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 Securities America, Inc.  And LPL Financial, LLC If you have questions about Securities America, Inc., LPL Financial, LLC and/or Wayne Wagner 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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Jan 20, 2022

Emmett Johnson of LPL Financial, LLC

DID EMMETT ANDREW JOHNSON CAUSE YOU INVESTMENT LOSSES? Emmett Andrew Johnson formerly with LPL Financial, LLC Has 5 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Emmett A. Johnson formerly with LPL Financial, LLC? Emmett Johnson (CRD #2433014) who was formerly registered with LPL Financial, LLC and located in Austin, Texas is a subject of one of our many securities industry sales practice abuse investigations.   Prior to LPL Financial, LLC, Emmett Johnson was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.   Emmett Johnson was terminated by LPL Financial, LLC over concerns relating to his unit investment trust and mutual fund transaction sales practices. LPL Financial, LLC Broker Misconduct In his career, Emmett Johnson has been the subject of 5 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses.  Two of those customers file the arbitration claims against Emmett Johnson’s employer and himself and obtained arbitration awards in their favor. Two of Emmett Johnson’s 5customer complaints were settled by Pension Mark Financial Group, LLC in favor of investors. One customer complaint filed against Emmett Johnson’s former employer LPL Financial, LLC for investment losses caused by his alleged misconduct was denied by the firm and luckily for the firm the customer took no further action as it probably related to the unsuitable mutual fund transactions for which he was terminated. Allegations Against Emmett Johnson A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleged breach of fiduciary duty, negligence, misrepresentations, fraud unsuitable investment recommendations, and churning related to variable annuity and other stock transactions. The claimant alleged unsuitable investment recommendations, churning, and materials for the delay in the stocks, and annuities, and mutual fund transactions. The claimant alleged that Emmett Johnson gave them investment advice and made unsuitable recommendations. The customer alleged that Emmett Johnson had LPL Financial, LLC made unsuitable mutual fund investment recommendations. Emmett Johnson Red Flags & Your Rights as An Investor Of course, Emmett Johnson 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. These red flags should put all current and former customers of Emmett Johnson at LPL Financial, LLC on alert to review carefully the activity and performance of their accounts and question whether Emmett Johnson has engaged in any stockbroker misconduct that may have caused them investment losses. 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 LPL Financial, LLC and/or Emmett Johnson 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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Jan 20, 2022

Jonathan Upton of LPL Financial LLC

DID JONATHAN DALE UPTON CAUSE YOU INVESTMENT LOSSES? Jonathan Dale Upton with LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Jonathan D. Upton with LPL Financial LLC? Jonathan Upton (CRD #4559794) who is currently registered with LPL Financial LLC and located in Louisville, Kentucky is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Jonathan Upton was associated with another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. LPL Financial LLC Broker Misconduct In his career, Jonathan Upton has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. One of Jonathan Upton’s 3 customer complaints was settled in favor of investors. The other customer complaints were denied by Jonathan Upton and his employer and the customers have not taken any further action. Allegations Against Jonathan Upton   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged mismanagement which caused investment losses. Customer alleged failure to follow instructions. Customer alleged misrepresentation, and an unsuitable hold investment recommendation. Jonathan Upton Red Flags & Your Rights As An Investor Of course, Jonathan Upton 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 Jonathan Upton at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Jonathan Upton 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 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 LPL Financial LLC and/or Jonathan Upton 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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Jan 20, 2022

Harold Collins of LPL Financial

DID HAROLD MARTIN COLLINS CAUSE YOU INVESTMENT LOSSES? Harold Martin Collins formerly with LPL Financial LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Harold M. Collins formerly with LPL Financial LLC? Harold Collins (CRD #4366651) who was formerly registered with LPL Financial LLC and located in Auburn, Indiana is a subject of one of our many securities industry sales practice abuse investigations.   Prior to LPL Financial LLC, Harold Collins was associated with 2other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. LPL Financial LLC Broker Misconduct In his career, Harold Collins has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. One of Harold Collins’ customer complaints was settled in favor of investors. There is currently 1 pending customer complaint filed against Harold Collins’ former employer LPL Financial LLC for investment losses caused by his alleged misconduct. Allegations Against Harold Collins A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged claims for misrepresentation, selling away, and poor advice with respect to an investment in a “Future Income Payment Purchase Agreement.” The claimant alleged breach of fiduciary duty, breach of contract, and misrepresentations related to a purported investment in Future Income Payment Purchase Agreement. Harold Collins Red Flags & Your Rights as An Investor Of course, Harold Collins 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 Harold Collins at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Harold Collins 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 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 LPL Financial LLC and/or Harold Collins 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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Jan 20, 2022

Gregory Gann of LPL Financial LLC

DID GREGORY ELLIS GANN CAUSE YOU INVESTMENT LOSSES? Gregory Ellis Gann with LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Gregory E. Gann with LPL Financial LLC? Gregory Gann (CRD #2144505) who is currently registered with LPL Financial LLC and located in Baltimore, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Gregory Gann was associated with two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.   Gregory Gann Broker Misconduct In his career, Gregory Gann has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. Both customer complaints filed against Gregory Gann’s current employer LPL Financial LLC for investment losses caused by his alleged misconduct are pending. Allegations Against Gregory Gann   A sample of the allegations made in the FINRA reported arbitration claim pending complaints for investment losses are as follows: Claimant alleges that he received poor advice in the financial advisor and that the recommendations made to invest in a REIT was unsuitable. Claimant alleges that it was solicited to invest in Northstar Healthcare REIT without disclosure of the risk of the investment or the high commissions received by the financial advisor selling the product. The claims alleged were for fraud, misrepresentation, breach of fiduciary duty, violations of FINRA Rules, and breach of contract. Gregory Gann Red Flags & Your Rights As An Investor Of course, Gregory Gann 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 Gann at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Gregory Gann 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 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 LPL Financial LLC and/or Gregory Gann 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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Jan 20, 2022

Wesley Sorensen of Principal Securities, Inc.

DID WESLEY RYON SORENSEN CAUSE YOU INVESTMENT LOSSES? Wesley Ryon Sorensen Formerly With Principal Securities, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Wesley R. Sorensen? Wesley Sorensen (CRD #4796735) who is currently registered with LPL Financial LLC and located in Hurst, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Wesley Sorensen was associated with Principal Securities, Inc. and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Principal Securities Broker Misconduct In his career, Wesley Sorensen has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last two years to recover investment losses. All of those complaints were settled against Wesley Sorensen’s current employer Principal Securities, Inc. for investment losses caused by his alleged misconduct. The only allegations made in the FINRA reported arbitration claim settlements are that variable annuity told to the customers were unsuitable. Wesley Sorensen Red Flags & Your Rights As An Investor Of course, Wesley Sorensen 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 Wesley Sorensen at LPL Financial LLC and Principal Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Wesley Sorensen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Principal Securities, 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 LPL Financial LLC And Principal Securities, Inc. If you have questions about LPL Financial LLC, Principal Securities, Inc. and/or Wesley Sorensen 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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