Mar 8, 2022

Billy Allen formerly with Legend Equities

DID BILLY WAYNE ALLEN CAUSE YOU INVESTMENT LOSSES? Billy Allen Formerly With Legend Equities And Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Billy Allen formerly with Legend Equities? Billy Allen (CRD #5515997) who was formerly registered with Legend Equities and located in Bentonville, Arkansas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Legend Equities, Billy Allen was associated with Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Billy Allen has had his own regulatory problems.  In 2016, he consented to the sanction and to the entry of findings that he failed to appear for a FINRA on-the-record testimony in connection with an investigation into his solicitation and acceptance of loans from customers.  As a result, he was permanently barred from any further association with any member firm in the securities industry in any capacity. Billy Allen Customer Complaint Billy Allen 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 Billy Allen informed him there would be no costs (taxes, fees, etc.) to liquidate investments to purchase Lord Abbett Funds, but subsequently received a notice from the IRS that he owed a substantial tax liability. Billy Allen’s customer complaint was denied and, to date, the customer has not taken any further action. Billy Allen Red Flags & Your Rights As An Investor Of course, Billy Allen 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 Billy Allen at Legend Equities and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Billy Allen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Legend Equities and Merrill Lynch Pierce Fenner & Smith 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 Legend Equities Due To Billy Allen If you have questions about Legend Equities, Merrill Lynch Pierce Fenner & Smith, and/or Billy Allen 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

Jason Anderson formerly with Merrill Lynch Pierce Fenner & Smith

DID JASON J. ANDERSON CAUSE YOU INVESTMENT LOSSES? Jason Anderson Formerly With Merrill Lynch Pierce Fenner & Smith And LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Jason Anderson formerly with Merrill Lynch Pierce Fenner & Smith? Jason Anderson (CRD #6034985) who was formerly registered with Merrill Lynch Pierce Fenner & Smithand located in Savannah, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Jason Anderson was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jason Anderson has had his own regulatory problems.  In February 2021, Jason Anderson was permanently barred from any further association with any member firm in the securities industry in any capacity for failing to respond to a FINRA request for information in connection with 1 of its investigations. Jason Anderson Customer Complaint Jason Anderson has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that a fraudulent check was written to repay a loan provided to the Financial Advisor. Jason Anderson’s customer complaint was denied and, to date, the customer has not taken any further action. Jason Anderson Red Flags & Your Rights As An Investor Of course, Jason Anderson 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 Jason Anderson at Merrill Lynch Pierce Fenner & Smith and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Jason Anderson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith 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 Merrill Lynch Pierce Fenner & Smith Due To Jason Anderson If you have questions about Merrill Lynch Pierce Fenner & Smith, LPL Financial, and/or Jason Anderson 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

Jessica Arana of J.P. Morgan Securities

DID JESSICA ARANA CAUSE YOU INVESTMENT LOSSES? Jessica Arana Of J.P. Morgan Securities And Formerly With Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Jessica Arana of J.P. Morgan Securities? Jessica Arana (CRD #5747060) who is currently registered with J.P. Morgan Securities and located in Las Vegas, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Prior to J.P. Morgan Securities, Jessica Arana was associated with Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jessica Arana Customer Complaint Jessica Arana 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 by Jessica Arana regarding mutual fund investment. Jessica Arana’s customer complaint was denied and, to date, the customer has not taken any further action. Jessica Arana Red Flags & Your Rights As An Investor Of course, Jessica Arana 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 Jessica Arana at J.P. Morgan Securities and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Jessica Arana has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities and Merrill Lynch Pierce Fenner & Smith 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 J.P. Morgan Securities Due To Jessica Arana If you have questions about J.P. Morgan Securities, Merrill Lynch Pierce Fenner & Smith, and/or Jessica Arana 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

Miles Pure of Raymond James & Associates

DID MILES PURE CAUSE YOU INVESTMENT LOSSES? Miles Pure Of Raymond James & Associates, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Miles Pure of Raymond James & Associates, Inc.? Miles Pure (CRD #2475647) who is currently registered with Raymond James & Associates, Inc. and located in Naples, Florida is a subject of one of our many securities industry sales practice abuse investigations. Miles Pure Customer Complaints Miles Pure has been the subject of 2 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One arbitration award was entered against Merrill Lynch Pierce Fenner & Smith in the amount of $1,336,463 for Miles Pure’s alleged misconduct causing investors losses. One of Miles Pure’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Miles Pure A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Miles Pure’s alleged breach of fiduciary duty, negligence, fraud, breach of contract. Client alleged Miles Pure did not honor trade instructions. Miles Pure Red Flags & Your Rights As An Investor Of course, Miles Pure 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 Miles Pure at Raymond James & Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Miles Pure has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates, Inc. 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 Raymond James & Associates, Inc. Due To Miles Pure If you have questions about Raymond James & Associates, Inc. and/or Miles Pure 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

Donald Porterfield of Merrill Lynch Pierce Fenner & Smith

DID DONALD PORTERFIELD CAUSE YOU INVESTMENT LOSSES? Donald Porterfield Of Merrill Lynch Pierce Fenner & Smith Inc. Has 7 Customer Complaints For Alleged Broker Misconduct Who is Donald Porterfield of Merrill Lynch Pierce Fenner & Smith Inc.? Donald Porterfield (CRD #1700761) who is currently registered with Merrill Lynch Pierce Fenner & Smith Inc. and located in Kansas City, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Donald Porterfield Customer Complaints Donald Porterfield has been the subject of 7 customer complaints that we know about. One arbitration award was entered against Morgan Stanley for Donald Porterfield’s alleged misconduct causing investors losses. Two of Donald Porterfield’s 7 customer complaints were settled in favor of investors. Four of Donald Porterfield’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Donald Porterfield 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, inter alia, Donald Porterfield’s excessive trading and suitability with respect to investments in her accounts. Client’s attorney alleged, inter alia, that Donald Porterfield’s investments purchased in the client’s account were unsuitable. Customer alleged unauthorized trading by Donald Porterfield. The customer alleged Donald Porterfield’s misrepresentation. The customer alleged unauthorized trading by Donald Porterfield. The customer alleged Donald Porterfield’s unauthorized trading. Donald Porterfield Red Flags & Your Rights As An Investor Of course, Donald Porterfield 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 Donald Porterfield at Merrill Lynch Pierce Fenner & Smith Inc. on alert to review carefully the activity and performance of their accounts and question whether Donald Porterfield has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith Inc. 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 Merrill Lynch Pierce Fenner & Smith Inc. Due To Donald Porterfield If you have questions about Merrill Lynch Pierce Fenner & Smith Inc. and/or Donald Porterfield 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

Richard Piatas of Merrill Lynch Pierce Fenner & Smith

DID RICHARD PIATAS CAUSE YOU INVESTMENT LOSSES? Richard Piatas Of Merrill Lynch Pierce Fenner & Smith Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Richard Piatas of Merrill Lynch Pierce Fenner & Smith Inc.? Richard Piatas (CRD #2953716) who is currently registered with Merrill Lynch Pierce Fenner & Smith Inc. and located in Frisco, Texas is a subject of one of our many securities industry sales practice abuse investigations. Richard Piatas Customer Complaint Richard Piatas 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 the customer alleged misrepresentations and omission of material facts. Richard Piatas’ customer complaint was denied and, to date, the customer has not taken any further action. Richard Piatas Red Flags & Your Rights As An Investor Of course, Richard Piatas 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 Richard Piatas at Merrill Lynch Pierce Fenner & Smith Inc. on alert to review carefully the activity and performance of their accounts and question whether Richard Piatas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith Inc. 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 Merrill Lynch Pierce Fenner & Smith Inc. Due To Richard Piatas If you have questions about Merrill Lynch Pierce Fenner & Smith Inc. and/or Richard Piatas 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 Shupenko of Merrill Lynch Pierce Fenner & Smith

DID JOHN MICHAEL SHUPENKO CAUSE YOU INVESTMENT LOSSES? John Shupenko Of Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is John Shupenko of Merrill Lynch Pierce Fenner & Smith? John Shupenko (CRD #2613558) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. John Shupenko Customer Complaint John Shupenko 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 a failure to follow instructions for account activity occurring from February until March 2020. John Shupenko’s customer complaint was denied and, to date, the customer has not taken any further action. John Shupenko Red Flags & Your Rights As An Investor Of course, John Shupenko 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 Shupenko at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether John Shupenko has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith 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 Merrill Lynch Pierce Fenner & Smith Due To John Shupenko If you have questions about Merrill Lynch Pierce Fenner & Smith and/or John Shupenko 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

Charles Sergewick of Merrill Lynch Pierce Fenner & Smith

DID CHARLES LEO SERGEWICK CAUSE YOU INVESTMENT LOSSES? Charles Sergewick Of Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Charles Sergewick of Merrill Lynch Pierce Fenner & Smith? Charles Sergewick (CRD #1672773) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Toms River, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Charles Sergewick Customer Complaints Charles Sergewick 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 Charles Sergewick’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Charles Sergewick A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client alleged Charles Sergewick did not explain the features of his annuity to him. The customer alleged Charles Sergewick’s unsuitable investment recommendations. Charles Sergewick Red Flags & Your Rights As An Investor Of course, Charles Sergewick 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 Charles Sergewick at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Charles Sergewick has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith 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 Merrill Lynch Pierce Fenner & Smith Due To Charles Sergewick If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Charles Sergewick 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

Mark Sitter of KCD Financial

DID MARK RAYMOND SITTER CAUSE YOU INVESTMENT LOSSES? Mark Sitter Of KCD Financial And Formerly With Capital Financial Services Has 6 Customer Complaints For Alleged Broker Misconduct Who is Mark Sitter of KCD Financial? Mark Sitter (CRD #1810591) who is currently registered with KCD Financial and located in Shenandoah, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to KCD Financial, Mark Sitter was associated with Capital Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Sitter Customer Complaints Mark Sitter has been the subject of 6 customer complaints that we know about. Three of Mark Sitter’s 6 customer complaints were settled in favor of investors.  Three of Mark Sitter’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Mark Sitter 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 investments by Mark Sitter. Client alleged Mark Sitter’s misrepresentation, breach of fiduciary duty, failure to supervise. Client alleged Mark Sitter misrepresented the nature of an investment suitable for a portfolio. Customer alleged Mark Sitter made unsuitable investment recommendations. Customer alleged Mark Sitter’s unsuitable investment recommendations The client alleged that her Merrill Lynch Focus Twenty Fund investment by Mark Sitter did not have very little risk. Mark Sitter Red Flags & Your Rights As An Investor Of course, Mark Sitter 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 Mark Sitter at KCD Financial and Capital Financial Services on alert to review carefully the activity and performance of their accounts and question whether Mark Sitter has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at KCD Financial and Capital Financial 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 KCD Financial Due To Mark Sitter If you have questions about KCD Financial, Capital Financial Services, and/or Mark Sitter 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

Randy Risdon of Merrill Lynch Pierce Fenner & Smith

DID RANDY K. RISDON CAUSE YOU INVESTMENT LOSSES? Randy Risdon Of Merrill Lynch Pierce Fenner & Smith And Formerly With American Trust Investment Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Randy Risdon of Merrill Lynch Pierce Fenner & Smith? Randy Risdon (CRD #2436168) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Rolling Meadows, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Randy Risdon was associated with American Trust Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Randy Risdon Customer Complaints Randy Risdon has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Randy Risdon’s 2 customer complaints was settled in favor of the investors. One of Randy Risdon’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Randy Risdon A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The customer alleged Randy Risdon’s misrepresentation. Randy Risdon’s alleged churning; suitability; misrepresentation; omission of facts. Randy Risdon Red Flags & Your Rights As An Investor Of course, Randy Risdon 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 Randy Risdon at Merrill Lynch Pierce Fenner & Smith and American Trust Investment Services on alert to review carefully the activity and performance of their accounts and question whether Randy Risdon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith and American Trust Investment Services 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 Merrill Lynch Pierce Fenner & Smith Due To Randy Risdon If you have questions about Merrill Lynch Pierce Fenner & Smith, American Trust Investment Services, and/or Randy Risdon 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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