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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Jan 20, 2022

Robert Micone of LPL Financial LLC

DID ROBERT EDWARD MICONE CAUSE YOU INVESTMENT LOSSES? Robert Edward Micone formerly with LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Robert E. Micone formerly with LPL Financial LLC? Robert Micone (CRD #2417434) who was formerly registered with LPL Financial LLC and located in Irvine, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Robert Micone was associated with 4 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, Robert Micone has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last two years to recover investment losses. One of Robert Micone’s 3 customer complaints resulted in an arbitration award in favor of the investor and the other settled in favor of investors. There is currently 1 pending customer complaint filed against Robert Micone’s former employer LPL Financial LLC for investment losses caused by his alleged misconduct. Allegations Against Robert Micone A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant allegations of breach of fiduciary duty, breach of contract, fraud, and negligence resulted in an arbitration award in the investor’s favor. Claimant alleged breach of contract, breach of fiduciary duty, negligence, violations of FINRA rules, fraud, connection with the offer and sale of real estate securities. Claimants allege that the invested in a REIT and a business development company upon their brokers misleading recommendations which was unsuitable in light of the conservative investment profile. All of the investments involve private placements. Robert Micone Red Flags & Your Rights As An Investor Of course, Robert Micone 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 Robert Micone at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Robert Micone has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, LLC about Robert Micone 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 Robert Micone 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

Steven Skipper of LPL Financial LLC

DID STEVEN TREVOR SKIPPER CAUSE YOU INVESTMENT LOSSES? Steven Trevor Skipper with LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Steven T. Skipper with LPL Financial LLC? Steven Skipper (CRD #4265009) who is currently registered with LPL Financial LLC and located in Murfreesboro, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Steven Skipper was associated with 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, Steven Skipper 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 Steven Skipper’s 2 customer complaints was settled in favor of investors. The other complaint was denied by LPL Financial, LLC, and the customer’s yet to file his arbitration claim. There is currently one pending customer complaint filed against Steven Skipper’s current employer LPL Financial LLC for investment losses caused by his alleged misconduct. Allegations Against Steven Skipper   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 connection with the offer and sale of a real estate security. Claimants allege that they wanted to purchase safe investments, but instead were recommended, illiquid, alternative investments involving real estate securities and business development companies. Steven Skipper Red Flags & Your Rights As An Investor Of course, Steven Skipper 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 Skipper at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Steven Skipper has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC about Steven Skipper 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 Steven Skipper 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

Nicholas Travascio of LPL Financial LLC

DID NICHOLAS JOSEPH TRAVASCIO III CAUSE YOU INVESTMENT LOSSES? Nicholas Joseph Travascio III formerly with LPL Financial LLC Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Nicholas J. Travascio III formerly with LPL Financial LLC? Nicholas Travascio (CRD #2581756) who was formerly 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, Nicholas Travascio was associated with 5 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, Nicholas Travascio has been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last two years to recover investment losses. Two of Nicholas Travascio’s 4 customer complaints were settled in favor of investors. One customer complaint was denied by LPL financial, LLC, and the customer has yet to take any further action. There is currently one pending customer complaint filed against Nicholas Travascio’s former employer LPL Financial LLC for investment losses caused by his alleged misconduct. Allegations Against Nicholas Travascio   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Registered representative allegedly recommended an unsuitable REIT investment. Customer allege that the financial advisor made recommendations to purchase alternative investments in the real estate industry. Customer allege that the financial advisor misrepresented a REIT investment. Claimants alleged that their financial professional recommended that they invest in several REIT which were unsuitable and in light of their investment objectives and financial condition. Further, claimants alleged that account was overly concentrated in not appropriately diversify. Nicholas Travascio Red Flags & Your Rights As An Investor Of course, Nicholas Travascio 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 Nicholas Travascio at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Nicholas Travascio has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC about Nicholas Travascio 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 Nicholas Travascio 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

Denis Drummey of Ameriprise Financial Services, Inc.

DID DENIS MICHAEL DRUMMEY CAUSE YOU INVESTMENT LOSSES? Denis Michael Drummey formerly with Ameriprise Financial Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Denis M. Drummey formerly with Ameriprise Financial Services, Inc.? Denis Drummey (CRD #4910232) who was formerly registered with Ameriprise Financial Services, Inc. and located in Hingham, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, Inc., Denis Drummey was associated with LPL Financial LLC and 2 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, Denis Drummey has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year against LPL Financial, LLC to recover investment losses. One of Denis Drummey’s 2 customer complaints was settled in favor of investors. The other customer complaint was denied by his former employer LPL Financial, LLC and to date, the customer has not taken any further action.  Allegations Against Denis Drummey A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged that Denis Drummey made an unsuitable investment recommendation to purchase an interest in a business development company. Further, that the financial information the financial advisor placed on count paperwork was overstated. Customer alleged that Denis Drummey made misrepresentations in unsuitable investment recommendations connection with the purchase of REITs. Denis Drummey Red Flags & Your Rights As An Investor Of course, Denis Drummey 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 Denis Drummey at Ameriprise Financial Services, Inc. and LPL Financial LLC  on alert to review carefully the activity and performance of their accounts and question whether Denis Drummey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC about Denis Drummey 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 Ameriprise Financial Services, Inc. If you have questions about Ameriprise Financial Services, Inc., LPL Financial LLC and/or Denis Drummey 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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