Jan 20, 2022

Carlton Higbie of Morgan Stanley

DID CARLTON MILO HIGBIE III CAUSE YOU INVESTMENT LOSSES? Carlton Milo Higbie III Of Morgan Stanley Was Recently The Subject Of A Customer Complaint Who is Carlton M. Higbie III with Morgan Stanley? Carlton Higbie (CRD #1094365) who is currently registered with Morgan Stanley and located in Greenwich, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Carlton Higbie was associated with 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct Carlton Higbie has recently been identified as the subject of a customer complaint made within the last year to recover investment losses. The customer complaint was filed with Carlton Higbie’s current employer Morgan Stanley for investment losses caused by his alleged misconduct. Client alleged misrepresentation with respect to REIT investments he recommended. The brokerage firm recently denied the complaint and the customer is not yet filed his arbitration claim. Carlton Higbie Red Flags & Your Rights As An Investor Of course, Carlton Higbie did not admit to any of the allegations. But regardless of whether an arbitration award is entered, a settlement occurs, allegations made by customers are red flags which should put all current and former customers of Carlton Higbie at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Carlton Higbie has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Morgan Stanley which 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 Morgan Stanley If you have questions about Morgan Stanley and/or Carlton Higbie 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

Blair Horne of Morgan Stanley

DID BLAIR LOUIS HORNE CAUSE YOU INVESTMENT LOSSES? Blair Louis Horne of Morgan Stanley Has 2 Customer Complaints for Alleged Broker Misconduct Who is Blair L. Horne of Morgan Stanley? Blair Horne (CRD #1270875) who is currently registered with Morgan Stanley and located in New York, NY is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Blair Horne was associated with Morgan Stanley Co. and 1 other investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his/her career, Blair Horne 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 Blair Horne’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Morgan Stanley for investment losses caused by Blair Horne’s alleged misconduct. Allegations Against Blair Horne A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Plaintiff alleges, inter alia, failure to follow instructions with respect to liquidation of Stock Option – Feb 06, 2020, to Feb 07, 2020. The customer alleges that auction-rate securities were not suitable for his investment objectives. Blair Horne Red Flags & Your Rights as An Investor Of course, Blair Horne 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 Blair Horne at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Blair Horne has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Morgan Stanley 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 Morgan Stanley If you have questions about Morgan Stanley and/or Blair Horne 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

Barry Pechenik of Morgan Stanley

DID BARRY JAMES PECHENIK CAUSE YOU INVESTMENT LOSSES? Barry James Pechenik of Morgan Stanley Has One Customer Complaint for Alleged Broker Misconduct Who is Barry J. Pechenik of Morgan Stanley? Barry Pechenik (CRD #1720138) who is currently registered with Morgan Stanley and located in Dallas, TX is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Barry Pechenik was associated with Credit Suisse Securities (USA) and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his/her career, Barry Pechenik has been the subject of one customer complaint that we know about. This complaint is currently pending against Morgan Stanley for investment losses caused by Barry Pechenik’s alleged misconduct. Allegations Against Barry Pechenik A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleges, inter alia, unsuitability with respect to recommendation for managed account strategy – Feb 2017 to Jan 2019. Barry Pechenik Red Flags & Your Rights as An Investor Of course, Barry Pechenik 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 Barry Pechenik at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Barry Pechenik has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Morgan Stanley 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 Morgan Stanley If you have questions about Morgan Stanley and/or Barry Pechenik 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

Patricia Gleason of Cetera Advisors

DID PATRICIA ANN GLEASON CAUSE YOU INVESTMENT LOSSES? Patricia Ann Gleason of Cetera Advisors Has 3 Customer Complaints for Alleged Broker Misconduct Who is Patricia A. Gleason of Cetera Advisors? Patricia Gleason (CRD #2811669) who is currently registered with Cetera Advisors and located in Alachua, FL is the subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors, Patricia Gleason was associated with Morgan Stanley & Co. and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Patricia Gleason Customer Complaints In his/her career, Patricia Gleason has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. One of Patricia Gleason’s 3 customer complaints was settled in favor of investors. Two of the customer’s complaints were denied and the customers did not take any further action. Allegations Against Patricia Gleason A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Unsuitable investments, excessive commissions, mismanagement, and churning by Patricia Gleason. The client alleges that rolling over his 401 k into a 2005 IRA brokerage account and then utilizing some of the funds to repay other debts was not suitable advice. The client alleges agent Patricia Gleason filled out and signed their names to an annuity change of dealer form. Patricia Gleason Red Flags & Your Rights as An Investor Of course, Patricia Gleason 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 Patricia Gleason at Cetera Advisors on alert to review carefully the activity and performance of their accounts and question whether Patricia Gleason has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Cetera Advisors 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 Cetera Advisors If you have questions about Cetera Advisors and/or Patricia Gleason 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

Brandon Potter of J.P. Morgan Securities, LLC

DID BRANDON POTTER CAUSE YOU INVESTMENT LOSSES? Brandon Potter formerly with J.P. Morgan Securities LLC Has to Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Brandon Potter formerly with J.P. Morgan Securities LLC? Brandon Potter (CRD #6279793) who was formerly registered with J.P. Morgan Securities LLC and located in Bayside, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to J.P. Morgan Securities LLC, Brandon Potter was associated with Morgan Stanley another investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. J.P. Morgan Securities LLC Broker Misconduct In his career, Brandon Potter 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 of those customer complaints filed against Brandon Potter’s former employer J.P. Morgan Securities LLC for investment losses caused by his alleged misconduct were recently denied by the company. To date, the customers have not filed their arbitration claims. Allegations Against Brandon Potter A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleged unsuitable investment recommendations relating to mutual fund investments. Client alleged that Brandon Potter failed to disclose fees associated with mutual fund investment. Brandon Potter Red Flags & Your Rights As An Investor Of course, Brandon Potter 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 Potter at J.P. Morgan Securities LLC and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Brandon Potter has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities LLC about Brandon Potter 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 J.P. Morgan Securities LLC If you have questions about J.P. Morgan Securities LLC, Morgan Stanley and/or Brandon Potter 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

Frederick Schiller of Morgan Stanley

DID FREDERICK A. SCHILLER CAUSE YOU INVESTMENT LOSSES? Frederick A. Schiller with Morgan Stanley Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Frederick A. Schiller with Morgan Stanley? Frederick Schiller (CRD #718987) who is currently registered with Morgan Stanley and located in Morristown, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Morgan Stanley, Frederick Schiller was associated with 6other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his career, Frederick Schiller has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Two customer complaints were denied by Morgan Stanley today, the customer has not taken any further action.  There is currently one pending customer complaint filed against Frederick Schiller’s current employer Morgan Stanley for investment losses caused by his alleged misconduct. Allegations Against Frederick Schiller 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 his instructions to Frederick Schiller to invest and say fixed income securities were not followed. The client alleged unauthorized trading involving the mutual fund. Claimants alleged that Frederick Schiller made unsuitable recommendations with respect to Puerto Rico municipal bond transactions. Frederick Schiller Red Flags & Your Rights as An Investor Of course, Frederick Schiller 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 Frederick Schiller at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Frederick Schiller has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Morgan Stanley 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 Morgan Stanley   If you have questions about Morgan Stanley and/or Frederick Schiller 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

Evan Schottenstein of J.P. Morgan Securities

DID EVAN A. SCHOTTENSTEIN CAUSE YOU INVESTMENT LOSSES? Evan A. Schottenstein formerly with J.P. Morgan Securities LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Evan A. Schottenstein formerly with J.P. Morgan Securities LLC? Evan Schottenstein (CRD #4929175) who was formerly registered with J.P. Morgan Securities LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to J.P. Morgan Securities LLC, Evan Schottenstein was associated with Morgan Stanley and another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Evan Schottenstein was terminated by J.P. Morgan Securities, LLC due to the trading activity for an account of the family member and the accuracy of records for that customer. J.P. Morgan Securities LLC Broker Misconduct In his career, Evan Schottensteinhas been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. Three of those customer complaints were denied by his former employer’s.  There is currently one customer complaint filed against Evan Schottenstein’s former employer J.P. Morgan Securities LLC for investment losses caused by his alleged misconduct in a family member’s account.   This is the customer for which J.P. Morgan Securities, LLC terminated his employment.  This family member is seeking losses in excess of $10 million.  The arbitration is ongoing. Allegations Against Evan Schottenstein A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleged unauthorized trading involving the sale of securities and a client’s accounts and then use of the proceeds to invest in a private placement. The client alleged that Evan Schottenstein misrepresented certain auction rate securities investments made in his account. The client alleged unsuitable investment recommendations with respect to a 1035 variable annuity exchange transaction. Evan Schottenstein’s grandmother alleged unauthorized and unsuitable transactions and that he signed documentation regarding investment on her behalf without her knowledge.  The transactions involved common and preferred stocks, structured notes in a private equity fund. Evan Schottenstein Red Flags & Your Rights As An Investor Of course, Evan Schottenstein 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 Evan Schottenstein at J.P. Morgan Securities LLC and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Evan Schottenstein has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at J.P. Morgan Securities LLC and Morgan Stanley also raises questions about their 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 LLC If you have questions about J.P. Morgan Securities LLC, Morgan Stanley, and/or Evan Schottenstein 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

Herbert Hafen of Wells Fargo

DID HERBERT H. HAFEN CAUSE YOU INVESTMENT LOSSES? Herbert H. Hafen formerly with Wells Fargo Clearing Services, LLC And Morgan Stanley Has 3 Customer Complaints for Alleged Broker Misconduct In the Past Year Who is Herbert H. Hafen formerly with Wells Fargo Clearing Services, LLC and Morgan Stanley? Herbert Hafen (CRD #867068) who was formerly registered with Wells Fargo Clearing Services, LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Wells Fargo Clearing Services, LLC, Herbert Hafen was associated with Morgan Stanley and 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Herbert Hafen committed serious criminal and civil securities law violations and was recently sentenced to 30 months in prison, 3 years of supervised release, ordered to pay $745,000 in restitution in order to forfeit 806,750 in assets. According to the allegations in the SEC’s civil complaint, Herbert Hafen engaged in the scheme to defraud his clients by convincing them he had access to an investment opportunity away from where he worked.  He advised the clients that the supposed investment would pay an annual 6% return and add little risk. He convinced his clients to take the money out of their brokerage accounts and then transfer or wire the money to his personal bank account which he did not use for investment purposes, but rather for his own personal purposes.  This was a classic Ponzi scheme whereby some investors receive their money back in others did not.  Over the years, he took more than $1.6 million from 11 victims and returned only $650,000.  His been permanently barred from the securities industry. Wells Fargo and Morgan Stanley Broker Misconduct In his career, Herbert Hafen has been the subject of 4 customer complaints that we know about, 3 of those complaints were filed against Wells Fargo and/or Morgan Stanley in the last year to recover monies misappropriated and investment losses. Three of Herbert Hafen’s 4 customer complaints were settled in favor of investors. There is currently 1 pending customer complaints filed against Herbert Hafen’s former employer, Morgan Stanley for investment losses caused by his alleged misconduct. Allegations Against Herbert Hafen   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 the financial advisor made unsuitable investment recommendations. The client complained that the financial advisor defrauded her into sending her retirement funds to his personal account for a high-yield investment. Herbert Hafen Red Flags & Your Rights as An Investor Of course, Herbert Hafen 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 Herbert Hafenat Wells Fargo Clearing Services, LLC and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Herbert Hafenhas engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Wells Fargo Clearing Services, LLC and Morgan Stanley 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 Wells Fargo Clearing Services, LLC And Morgan Stanley If you have questions about Wells Fargo Clearing Services, LLC, Morgan Stanley, and/or Herbert Hafenand 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

Nancy Glassman of Morgan Stanley

DID NANCY DAWN GLASSMAN CAUSE YOU INVESTMENT LOSSES? Nancy Dawn Glassman with Morgan Stanley Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Nancy D. Glassman with Morgan Stanley? Nancy Glassman (CRD #1734992) who is currently registered with Morgan Stanley and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Morgan Stanley, Nancy Glassman was associated with UBS Financial Services Inc. and 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In her career, Nancy Glassman has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last years to recover investment losses. Three of Nancy Glassman’s for customer complaints were settled in favor of investors. Allegations Against Nancy Glassman A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants alleged that unsuitable investments were made in a managed account. Claimants alleged that Nancy Glassman’s recommendation of Lehman structured notes were unsuitable investment recommendations and misrepresented. The client alleged that Nancy Glassman recommended two small-cap mutual funds that were unsuitable investment recommendations. Nancy Glassman Red Flags & Your Rights as An Investor Of course, Nancy Glassman 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 Nancy Glassman at Morgan Stanley and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Nancy Glassman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and UBS Financial Services Inc. also raises questions about their 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 Morgan Stanley If you have questions about Morgan Stanley, UBS Financial Services Inc., and/or Nancy Glassman 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

Barry Speyer of Morgan Stanley

DID BARRY MARTIN SPEYER CAUSE YOU INVESTMENT LOSSES? Barry Martin Speyer with Morgan Stanley Has 8 Customer Complaints for Alleged Broker Misconduct Who is Barry M. Speyer with Morgan Stanley? Barry Speyer (CRD #432002) who is currently registered with Morgan Stanley and located in Beverly Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Barry Speyer was associated with another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his career, Barry Speyer has been the subject of 8 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Two of the customer complaints resulted in arbitration hearings where arbitration awards were entered against Morgan Stanley and Barry Speyer. Three of Barry Speyer’s 8 customer complaints were settled in favor of investors. Two of those complaints were denied by his employer and the customers took no further action. There is currently one pending customer complaint filed against Barry Speyer’scurrent employer Morgan Stanley for investment losses caused by his alleged misconduct. Allegations Against Barry Speyer A sample of the allegations made in the FINRA reported arbitration awards, settlements and pending complaint for investment losses are as follows: Breach of fiduciary duty and constructive fraud for engaging in unauthorized options trading resulting in an arbitration award in the investor’s favor. The customer alleged unsuitable options trading and received an arbitration award in the amount of $175,000 plus interest, $25,000 in attorney’s fees, and expert witness fees. The claimant alleges unsuitability with respect to common stock transactions.  The customer claims the financial advisor purchased unsuitable auction-rate securities. The customer alleged that the financial advisor executed unsuitable trades in her accounts, including options in purchasing common stocks on margin. Barry Speyer Red Flags & Your Rights as An Investor Of course, Barry Speyer 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 Barry Speyerat Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Barry Speyerhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley about Barry Speyeralso 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 Morgan Stanley If you have questions about Morgan Stanley and/or Barry Speyer 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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