Mar 8, 2022

Michael Farrell Formerly With Aegis Capital

DID MICHAEL JAMES FARRELL CAUSE YOU INVESTMENT LOSSES? Michael Farrell Formerly With Aegis Capital, National Securities And Newbridge Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Farrell formerly with Aegis Capital? Michael Farrell (CRD #2282842) who was formerly registered with Aegis Capital and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Michael Farrell was associated with National Securities, Newbridge Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Farrell Customer Complaint Michael Farrell 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 unsuitability, breach of contract, breach of fiduciary duty. The customer complaint filed against Michael Farrell’s former employer Aegis Capital for investment losses caused by the alleged misconduct is pending as of the date of this report. Michael Farrell Red Flags & Your Rights As An Investor Of course, Michael Farrell 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 Michael Farrell at Aegis Capital, National Securities, and Newbridge Securities on alert to review carefully the activity and performance of their accounts and question whether Michael Farrell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital, National Securities, and Newbridge Securities 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 Aegis Capital Due To Michael Farrell If you have questions about Aegis Capital, National Securities, Newbridge Securities, and/or Michael Farrell 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

James Gibbs of Equitable Advisors

DID JAMES GIBBS CAUSE YOU INVESTMENT LOSSES? James Gibbs Of Equitable Advisors Has 4 Customer Complaints For Alleged Broker Misconduct Who is James Gibbs of Equitable Advisors? James Gibbs (CRD #3273705) who is currently registered with Equitable Advisors and located in Springfield, Illinois is a subject of one of our many securities industry sales practice abuse investigations. James Gibbs Customer Complaints James Gibbs has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of James Gibbs’ 4 customer complaints was settled in favor of investors. Three of James Gibbs’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against James Gibbs A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged James Gibbs’ misrepresentation in the purchase of a variable annuity. Client alleged that James Gibbs’ misrepresented federal national mortgage association bonds. Client alleged the variable annuity purchased was misrepresented by James Gibbs. James Gibbs allegedly sold Mutual Fund B shares instead of annuity. James Gibbs Red Flags & Your Rights As An Investor Of course, James Gibbs 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 James Gibbs at Equitable Advisors on alert to review carefully the activity and performance of their accounts and question whether James Gibbs has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors 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 Equitable Advisors Due To James Gibbs If you have questions about Equitable Advisors and/or James Gibbs 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

Gregory Guemmer of Money Concepts Capital

DID GREGORY WADE GUEMMER CAUSE YOU INVESTMENT LOSSES? Gregory Guemmer Of Money Concepts Capital Has A Customer Complaint For Alleged Broker Misconduct Who is Gregory Guemmer of Money Concepts Capital? Gregory Guemmer (CRD #1937105) who is currently registered with Money Concepts Capitaland located in Blue Springs, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Gregory Guemmer Customer Complaint Gregory Guemmer 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 the representative did not explain that they were investing in a variable annuity. They alleged they never received a prospectus and copies of the account documents. Further, the clients alleged Jackson National never sent them the contract to review during the 20 day free look period. They requested their monies be returned to them without incurring surrender fees. Gregory Guemmer’s customer complaint was denied and, to date, the customer has not taken any further action. Gregory Guemmer Red Flags & Your Rights As An Investor Of course, Gregory Guemmer 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 Guemmer at Money Concepts Capital on alert to review carefully the activity and performance of their accounts and question whether Gregory Guemmer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Money Concepts Capital 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 Money Concepts Capital Due To Gregory Guemmer If you have questions about Money Concepts Capital and/or Gregory Guemmer 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

Allen Ostrofe of LPL Financial

DID ALLEN OSTROFE CAUSE YOU INVESTMENT LOSSES? Allen Ostrofe Of LPL Financial LLC, Ostrofe Financial Consultants And Formerly With National Planning Has One Customer Complaint For Alleged Broker Misconduct Who is Allen Ostrofe of LPL Financial LLC? Allen Ostrofe (CRD #1247987) who is currently registered with LPL Financial LLC, Ostrofe Financial Consultants and located in Grass Valley, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Ostrofe Financial Consultants, Allen Ostrofe was associated with National Planning and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Allen Ostrofe Customer Complaint Allen Ostrofe 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 that the claimant alleges breach of fiduciary duty, negligent failure to supervise and negligence on behalf of respondent LPL. The customer complaint filed against Allen Ostrofe’s current employer LPL Financial LLC for investment losses caused by the alleged misconduct is pending as of the date of this report. Allen Ostrofe Red Flags & Your Rights As An Investor Of course, Allen Ostrofe 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 Allen Ostrofe at LPL Financial LLC, Ostrofe Financial Consultants and National Planning on alert to review carefully the activity and performance of their accounts and question whether Allen Ostrofe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC, Ostrofe Financial Consultants and National Planning also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial LLC, Ostrofe Financial Consultants, and National Planning Due To Allen Ostrofe If you have questions about LPL Financial LLC, Ostrofe Financial Consultants, National Planning, and/or Allen Ostrofe 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

Steven Case of LPL Financial

DID STEVEN JOSEPH CASE CAUSE YOU INVESTMENT LOSSES? Steven Case Of LPL Financial And Formerly With FSC Securities and National Planning Has 2 Customer Complaints For Alleged Broker Misconduct Who is Steven Case of LPL Financial? Steven Case (CRD #1935087) who is currently registered with LPL Financial and located in Bloomfield Hills, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Steven Case was associated with FSC Securities, National Planning and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Steven Case Customer Complaints Steven Case has been the subject of 2 customer complaints that we know about. One of Steven Case’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against National Planning for investment losses caused by Steven Case’s alleged misconduct. Allegations Against Steven Case 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 Steven Case made unsuitable investment recommendations to purchase REITs. Customer alleged Steven Case’s poor recommendation in the purchase of three alternative investment products. Steven Case Red Flags & Your Rights As An Investor Of course, Steven Case 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 Case at LPL Financial, FSC Securities, and National Planning on alert to review carefully the activity and performance of their accounts and question whether Steven Case has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, FSC Securities, and National Planning also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial Due To Steven Case If you have questions about LPL Financial, FSC Securities, National Planning, and/or Steven Case 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

Michael Charles of Craft Capital Management

DID MICHAEL ROBERT CHARLES CAUSE YOU INVESTMENT LOSSES? Michael Charles Of Craft Capital Management And Formerly With Aegis Capital, Meyers Associates and National Securities Has 4 Customer Complaints For Alleged Broker Misconduct Who is Michael Charles of Craft Capital Management? Michael Charles (CRD #2926725) who is currently registered with Craft Capital Management and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Craft Capital Management, Michael Charles was associated with Aegis Capital, Meyers Associates, National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Charles Customer Complaints Michael Charles has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of Michael Charles’ 4 customer complaints were settled in favor of investors. One of Michael Charles’ customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Michael Charles A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged that Michael Charles purchased a security with her knowledge and consent and made subsequent purchases of the same security without her knowledge or consent; client also alleged unsuitable recommendations were made. Michael Charles’ alleged mismanagement. Michael Charles’ alleged suitability, misrepresentation, and omissions. Customer alleged that Michael Charles engaged in a myriad of wrongful acts including fraud and churning. Michael Charles Red Flags & Your Rights As An Investor Of course, Michael Charles 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 Michael Charles at Craft Capital Management, Aegis Capital, Meyers Associates, and National Securities on alert to review carefully the activity and performance of their accounts and question whether Michael Charles has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Craft Capital Management, Aegis Capital, Meyers Associates, and National Securities 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 Craft Capital Management Due To Michael Charles If you have questions about Craft Capital Management, Aegis Capital, Meyers Associates, National Securities, and/or Michael Charles 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

Margareta Childs Formerly With Western International Securities

DID MARGARETA THERESIA CHILDS CAUSE YOU INVESTMENT LOSSES? Margareta Childs Formerly With Western International Securities And Financial West Group Has 2 Customer Complaints For Alleged Broker Misconduct Who is Margareta Childs formerly with Western International Securities? Margareta Childs (CRD #1495891) who was formerly registered with Western International Securities and located in Irvine, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Western International Securities, Margareta Childs was associated with Financial West Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Margareta Childs has had her own regulatory problems.  In June 2019, FINRA made a request for information that she failed to respond to, and was subsequently permanently barred from association with any FINRA member, in any capacity for violation of FINRA Rule 8210 requiring associate member cooperation in all investigations. Margareta Childs Customer Complaints Margareta Childs has been the subject of 2 customer complaints that we know about.  One of Margareta Childs’ customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Financial West Group and Western International Securities for investment losses caused by Margareta Childs’ alleged misconduct. Allegations Against Margareta Childs A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Margareta Childs’ alleged Breach of Loan Agreements; Estoppel; Money Lent; Fraud; and Constructive Trust. Customer claimed Margareta Childs engaged in churning and made unsuitable securities recommendations. Margareta Childs Red Flags & Your Rights As An Investor Of course, Margareta Childs 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 Margareta Childs at Western International Securities and Financial West Group on alert to review carefully the activity and performance of their accounts and question whether Margareta Childs has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities and Financial West Group 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 Western International Securities Due To Margareta Childs If you have questions about Western International Securities, Financial West Group, and/or Margareta Childs 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

Doron Kochavi of Western International Securities

DID DORON KOCHAVI CAUSE YOU INVESTMENT LOSSES? Doron Kochavi Of Western International Securities, Inc. And Formerly With UBS Financial Services Has 6 Customer Complaints For Alleged Broker Misconduct Who is Doron Kochavi of Western International Securities, Inc.? Doron Kochavi (CRD #1011155) who is currently registered with Western International Securities, Inc. and located in Pasadena, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Western International Securities, Inc., Doron Kochavi was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Doron Kochavi Customer Complaints Doron Kochavi has been the subject of 6 customer complaints that we know about. Two of Doron Kochavi’s 6 customer complaints resulted in arbitration awards in favor of the investors. One of Doron Kochavi’s 6 customer complaints was settled in favor of investors. One of Doron Kochavi’s 6 customers’ complaints was denied and the customers did not take any further action. There are currently two pending customer complaints filed against Western International Securities, Inc. for investment losses caused by Doron Kochavi’s alleged misconduct. Allegations Against Doron Kochavi A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Doron Kochavi’s alleged Breach of Fiduciary Duty. The claimant made allegations that Doron Kochavi breached his fiduciary duty, failed to disclose material information regarding the investments and recommended the purchase of unsuitable securities. Customer claimed that Doron Kochavi engaged in unauthorized trading and churning, made unsuitable investment recommendations and misrepresentations. The customer alleged that Doron Kochavi made unsuitable investments in several accounts. Doron Kochavi Red Flags & Your Rights As An Investor Of course, Doron Kochavi 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 Doron Kochavi at Western International Securities, Inc. and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Doron Kochavi has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, Inc. and UBS 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 Western International Securities, Inc. Due To Doron Kochavi If you have questions about Western International Securities, Inc., UBS Financial Services, and/or Doron Kochavi 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

Ryan Alvarez of Lion Street Financial

DID RYAN ROBERT ALVAREZ CAUSE YOU INVESTMENT LOSSES? Ryan Alvarez of Lion Street Financial, Lion Street Advisors, And Formerly With Wayne Hummer Investments Has 3 Customer Complaints For Alleged Broker Misconduct Who is Ryan Alvarez of Lion Street Financial? Ryan Alvarez (CRD #4266877) who is currently registered with Lion Street Financial, Lion Street Advisors,and located in Naperville, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Lion Street Financial, Lion Street Advisors, Ryan Alvarez was associated with Wayne Hummer Investments and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ryan Alvarez Customer Complaints Ryan Alvarez has been the subject of 3 customer complaints that we know about. Three of Ryan Alvarez’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Ryan Alvarez A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged Ryan Alvarez improperly completed the variable annuity application resulting in the lifetime income benefit rider being based on client life only and not with the Spousal Continuation Benefit as the client desired. Client purchased Jackson National Life variable annuity and alleged that he did not have any knowledge regarding the Jackson variable annuity transaction made by Ryan Alvarez and it was unsuitable. Clients claim mutual fund allegedly made by Ryan Alvarez not suitable. Ryan Alvarez Red Flags & Your Rights As An Investor Of course, Ryan Alvarez 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 Ryan Alvarez at Lion Street Financial, Lion Street Advisors, and Wayne Hummer Investments on alert to review carefully the activity and performance of their accounts and question whether Ryan Alvarez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lion Street Financial, Lion Street Advisors, and Wayne Hummer Investments also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Lion Street Financial Due To Ryan Alvarez If you have questions about Lion Street Financial, Lion Street Advisors, Wayne Hummer Investments, and/or Ryan Alvarez 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

Larry Boggs of International Assets Advisory

DID LARRY GLENN BOGGS CAUSE YOU INVESTMENT LOSSES? Larry Boggs Of International Assets Advisory, International Assets Investment Management And Formerly With First Allied Advisory Services And First Allied Securities Has 7 Customer Complaints For Alleged Broker Misconduct Who is Larry Boggs of International Assets Advisory? Larry Boggs (CRD #1874727) who is currently registered with International Assets Advisory and International Assets Investment Management and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to International Assets Advisory and International Assets Investment Management, Larry Boggs was associated with First Allied Advisory Services, First Allied Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Larry Boggs Customer Complaints Larry Boggs has been the subject of 7 customer complaints that we know about. One arbitration award was entered for approximately $1.5 million against First Allied Advisory Services and First Allied Securities for Larry Boggs’ alleged misconduct causing investors losses. Two of Larry Boggs’ 7 customer complaints were settled in favor of investors. Three of Larry Boggs’ customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against First Allied Securities for investment losses caused by Larry Boggs’ alleged misconduct. Allegations Against Larry Boggs 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 that Larry Boggs made unsuitable investment recommendations. The complaint generally alleges breach of contract, violation of Alabama Deceptive Trade Practices Act, and vicarious liability. Clients alleged that their Variable Annuity that was purchased was misrepresented allegedly by Larry Boggs. Customer alleged an unauthorized reallocation of the subaccounts of her variable annuity allegedly by Larry Boggs. Customer alleged Larry Boggs convinced her to take early retirement, to take a lump sum payment of her 401k, and to invest her rollover funds variable annuity sub-accounts that could not sustain high monthly withdrawals. Customer claimed her account(s) were mismanaged and she was misled allegedly by Larry Boggs into believing she could not move her account elsewhere. Larry Boggs allegedly did not process client’s request of reallocations to Glen Brook annuity in a timely fashion. The customer alleged Larry Boggs misrepresented her investment and would not make changes when she requested them. Larry Boggs Red Flags & Your Rights As An Investor Of course, Larry Boggs 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 Larry Boggs at International Assets Advisory, International Assets Investment Management, First Allied Advisory Services, and First Allied Securities on alert to review carefully the activity and performance of their accounts and question whether Larry Boggs has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at International Assets Advisory, International Assets Investment Management, First Allied Advisory Services, and First Allied Securities 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 International Assets Advisory Due To Larry Boggs If you have questions about International Assets Advisory, International Assets Investment Management, First Allied Advisory Services, First Allied Securities, and/or Larry Boggs 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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