Mar 7, 2022

Johnny Guan of Aegis Capital

DID JOHNNY GUAN CAUSE YOU INVESTMENT LOSSES? Johnny Guan Of Aegis Capital And Formerly With National Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Johnny Guan of Aegis Capital? Johnny Guan (CRD #5711977) who is currently 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, Johnny Guan was associated with National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Johnny Guan Customer Complaints Johnny Guan has been the subject of 2 customer complaints that we know about. Both of Johnny Guan’s 2 customer complaints were settled in favor of investors. Allegations Against Johnny Guan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Johnny Guan’ alleged unsuitable investment recommendations, misrepresentations, negligence. Claimants alleged Johnny Guan’s unsuitable investment recommendations, over concentration, unauthorized transactions, breach of fiduciary duty. Johnny Guan Red Flags & Your Rights As An Investor Of course, Johnny Guan 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 Johnny Guan at Aegis Capital and National Securities on alert to review carefully the activity and performance of their accounts and question whether Johnny Guan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital 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 Aegis Capital Due To Johnny Guan If you have questions about Aegis Capital, National Securities, and/or Johnny Guan 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 7, 2022

Matthew Harris of National Securities

DID MATTHEW SCOTT HARRIS CAUSE YOU INVESTMENT LOSSES? Matthew Harris Of National Securities And National Asset Management Has A Customer Complaint For Alleged Broker Misconduct Who is Matthew Harris of National Securities? Matthew Harris (CRD #4581807) who is currently registered with National Securities, National Asset Management and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Matthew Harris Customer Complaint Matthew Harris 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 breach of fiduciary duty, negligence. The customer complaint filed against Matthew Harris’ current employer National Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Matthew Harris Red Flags & Your Rights As An Investor Of course, Matthew Harris 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 Matthew Harris at National Securities and National Asset Management on alert to review carefully the activity and performance of their accounts and question whether Matthew Harris has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Securities and National Asset Management 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 National Securities Due To Matthew Harris If you have questions about National Securities, National Asset Management, and/or Matthew Harris 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 7, 2022

David Hua of National Securities

DID DAVID HUA CAUSE YOU INVESTMENT LOSSES? David Hua Of National Securities Has A Customer Complaint For Alleged Broker Misconduct Who is David Hua of National Securities? David Hua (CRD #5527285) who is currently registered with National Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. David Hua Customer Complaint David Hua 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 negligence, suitability, unauthorized trading, breach of fiduciary duty, negligent misrepresentation and omissions. The customer complaint filed against David Hua’s current employer National Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. David Hua Red Flags & Your Rights As An Investor Of course, David Hua 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 David Hua at National Securities on alert to review carefully the activity and performance of their accounts and question whether David Hua has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National 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 National Securities Due To David Hua If you have questions about National Securities and/or David Hua 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 7, 2022

Seth Leishman of LPL Financial

DID SETH TYLER LEISHMAN CAUSE YOU INVESTMENT LOSSES? Seth Leishman Of LPL Financial, Ostrofe Financial Consultants And Formerly With National Planning Has A Customer Complaint For Alleged Broker Misconduct Who is Seth Leishman of LPL Financial? Seth Leishman (CRD #5095063) who is currently registered with LPL Financial, 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 and Ostrofe Financial Consultants, Seth Leishman was associated with National Planning and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Seth Leishman Customer Complaint Seth Leishman 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 Seth Leishman’s failure to follow instructions with respect to an account reallocation of assets. Seth Leishman’s customer complaint was denied and, to date, the customer has not taken any further action. Seth Leishman Red Flags & Your Rights As An Investor Of course, Seth Leishman 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 Seth Leishman at LPL Financial, Ostrofe Financial Consultants, and National Planning on alert to review carefully the activity and performance of their accounts and question whether Seth Leishman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, 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 Due To Seth Leishman If you have questions about LPL Financial, Ostrofe Financial Consultants, National Planning, and/or Seth Leishman 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 4, 2022

Brittney Sias formerly with Western International Securities, Inc.

DID BRITTNEY JADE SIAS CAUSE YOU INVESTMENT LOSSES? Brittney Sias Formerly With Western International Securities, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Brittney Sias formerly with Western International Securities, Inc.? Brittney Sias (CRD #4274432) who was formerly registered with Western International Securities, Inc. and located in Westlake Village, California is a subject of one of our many securities industry sales practice abuse investigations. Brittney Sias Customer Complaints Brittney Sias has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Both of Brittney Sias’ customer complaints were settled in favor of investors. Allegations Against Brittney Sias A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendations of nontraded-REIT investment. Breach of fiduciary duty, unsuitable investment recommendations and unsuitable investment strategy coupled with misrepresentations and omissions related to direct investments. Brittney Sias Red Flags & Your Rights As An Investor Of course, Brittney Sias 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 Brittney Sias at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Brittney Sias has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, 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 Western International Securities, Inc. Due To Brittney Sias If you have questions about Western International Securities, Inc. and/or Brittney Sias 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 4, 2022

Jeffrey Cohen of Moloney Securities Co., Inc

DID JEFFREY MAX COHEN CAUSE YOU INVESTMENT LOSSES? Jeffrey M. Cohen Has 6 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Jeffrey M. Cohen of Moloney Securities Co., Inc.? Jeffrey Cohen (CRD# 2528929) who is currently registered with Moloney Securities Co. and Moloney Investment Advisory and located in Manchester, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to Moloney Securities Co. Jeffrey Cohen was associated with Western International Securities, Inc. other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Moloney Securities Co., Inc. Broker Misconduct In his career, Jeffrey Cohen has been the subject of 7 customer complaints that we know about, 6of those complaints were filed in the last two years to recover investment losses. So far only one of Jeffrey Cohen customer complaints was settled in favor of investors. There are currently 6 pending customer complaints filed against Jeffrey Cohen current employer Moloney Securities Co. for investment losses caused by his alleged misconduct. Allegations Against Jeffrey M. Cohen A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleges intentional misrepresentation, negligent misrepresentation, and breach of fiduciary duty related to financial advice. Claimant alleges unsuitability related to direct investments in limited partnership interests. Claimant alleged that registered representative made unsuitable recommendations to invest in alternative investments. Jeffrey M. Cohen Red Flags & Your Rights as An Investor Of course, Jeffrey Cohen 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 Jeffrey Cohen at Moloney Securities Co. on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Cohen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Moloney Securities Co. 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 Moloney Securities Co., Inc. If you have questions about Moloney Securities Co.and/or Jeffrey Cohen 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 4, 2022

Dawn Bennet of Western International Securities

DID DAWN BENNET CAUSE YOU INVESTMENT LOSSES? Fawn Bennett Has 25 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Dawn Bennett Formerly with Western International Securities? Dawn Bennett (CRD# 1567051) who is currently registered with Western International Securities and located in Washington, D.C. is a subject of one of our many securities industry sales practice abuse investigations.  Dawn Bennett has been permanently barred by FINRA and SEC from any further association with any firm in the securities industry. Prior to Western International Securities Dawn Bennett was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Western International Securities Broker Misconduct In her career, Dawn Bennett has been the subject of 40 customer complaints that we know about, 25 of those complaints were filed in the last two years to recover investment losses. There were 3 arbitration awards entered against her former employer for her alleged misconduct. Thirty-three of Dawn Bennett customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against Dawn Bennett current employer Western International Securities for investment losses caused by  her alleged misconduct. Allegations Against Dawn Bennett A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Breach of the general duties of reasonable care, honesty and disclosure, recommending unsuitable investments in violation of section 517.301, Florida statutes, common law fraud, breach of fiduciary duty, and negligence relating to exchange traded funds. Churning, misrepresentation, omission of material facts, fraud, breach of fiduciary duty, constructive fraud, breach of contract, negligence, unsuitability, and violation of the Virginia Securities Act. Offer and sale of unregistered securities, unsuitable recommendations, misrepresentations and omissions of material fact, fraud, breach of fiduciary duty related to a promissory note. Unsuitable recommendations, fraud, breach of fiduciary duty, related to a promissory note and exchange traded fund. Negligence and breach of fiduciary duty related to a promissory note.  Breach of fiduciary duty, fraud, unsuitable recommendations, misrepresentations and omissions of material fact related to a promissory note. Breach of fiduciary duty, fraud, unsuitable recommendations related to a mutual fund and exchange traded fund. Unsuitable recommendations related to exchange traded funds. Claimants allege lack of diversification and portfolio. Dawn Bennett Red Flags & Your Rights as An Investor Of course, Dawn Bennett 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 Dawn Bennett at Western International Securities on alert to review carefully the activity and performance of their accounts and question whether Dawn Bennett has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities 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 Western International Securities If you have questions about Western International Securities and/or Dawn Bennett 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 4, 2022

Timothy W. Augustin of Western International Securities

DID TIMOTHY W. AUGUSTIN CAUSE YOU INVESTMENT LOSSES? Timothy W. Augustin Formerly with Western International Securities Has 9 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Timothy W. Augustin Formerly with Western International Securities? Timothy Augustin (CRD # 5283043) who is currently registered with Western International Securities and located in Washington D.C. is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Western International Securities Timothy  Augustin was associated with two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Western International Securities Broker Misconduct In his career, Timothy Augustin has been the subject of 10 customer complaints that we know about, 9 of those complaints were filed in the last two years to recover investment losses. Eight of Timothy Augustin customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against Timothy Augustin former employer Western International Securities for investment losses caused by his alleged misconduct. Allegations Against Timothy W. Augustin A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Offer and sale of Unregistered Securities, Unsuitable Recommendations, Misrepresentations and Omissions of Material Fact, Fraud, Breach of Fiduciary Duty. Unsuitable Recommendations, Fraud, Breach of Fiduciary Duty relating to promissory notes and exchange traded funds. Breach of Fiduciary Duty, Fraud, Unsuitable Recommendations, Misrepresentations and Omissions of Material Fact relating to, a promissory note. Unsuitable Recommendations related to equity listed common and preferred stocks. Timothy W. Augustin Red Flags & Your Rights As An Investor Of course, Timothy Augustin 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 Timothy Augustin at Western International Securities on alert to review carefully the activity and performance of their accounts and question whether Timothy Augustin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities 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 Western International Securities If you have questions about Western International Securities and/or Timothy Augustin 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 4, 2022

Andre Davis of Paulson Investment Company, LLC

DID ANDRE PIERRE DAVIS CAUSE YOU INVESTMENT LOSSES? Andre Pierre Davis formerly with Paulson Investment Company LLC, First Standard Financial Company LLC, and National Securities Corporation Has 8 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Andre P. Davis formerly with Paulson Investment Company LLC? Andre Davis (CRD #1417097) who was formerly registered with Paulson Investment Company LLC, First Standard Financial Company LLC, and National Securities Corporation and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Paulson Investment Company LLC, Andre Davis was associated with First Standard Financial Company LLC and National Securities Corporation and 5other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Paulson Investment Company LLC Broker Misconduct In his career, Andre Davis has been the subject of 16 customer complaints that we know about, 8 of those complaints were filed in the last year to recover investment losses. Six of Andre Davis’ 16 customer complaints were settled in favor of investors. Three complaints were denied by his employers and the customers did not take any further action.  There are currently 7 pending customer complaints filed against Andre Davis’ former employer Paulson Investment Company, LLC for investment losses caused by his alleged misconduct. Allegations Against Andre Davis 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 churning and unsuitable trading. The claimant alleged unsuitable recommendations. The claimant alleges that the financial advisor misrepresented investments to him and guaranteed in investment against loss. Customer alleged broker made unauthorized transactions, unsuitable investments, excessive trading, excessive commissions, and misrepresentations related to his accounts. The claimant alleged that the broker used high-pressure sales tactics and also made unsuitable recommendations, misrepresentations, and omissions of fact. The claimant alleged fraud, breach of fiduciary duties, negligence, and aiding and abetting. The claimant alleged excessive trading, unsuitable investments in unauthorized trading in common and preferred stocks. Andre Davis Red Flags & Your Rights as An Investor Of course, Andre Davis 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 Andre Davis at Paulson Investment Company LLC, First Standard Financial Company LLC, and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Andre Davis has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Paulson Investment Company LLC, First Standard Financial Company LLC, and National Securities Corporation 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 Paulson Investment Company LLC If you have questions about Paulson Investment Company LLC, First Standard Financial Company LLC, and National Securities Corporation and/or Andre Davis 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 4, 2022

David Bibo of Western International Securities, Inc

DID DAVID OMORI BIBO CAUSE YOU INVESTMENT LOSSES? David Omori Bibo with Western International Securities, Inc. Has 6 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is David O. Bibo with Western International Securities, Inc.? David Bibo (CRD #2602436) who is currently registered with Western International Securities, Inc. and located in San Jose, California is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Western International Securities, Inc., David Bibo was associated with 3other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Western International Securities, Inc. Broker Misconduct In his career, David Bibo has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Two of David Bibo’s 4 customer complaints were settled in favor of investors. Two of the complaints were denied by his employer and to date, the customers have not pursued any action. There are currently 2 pending customer complaints filed against David Bibo’s current employer Western International Securities, Inc. for investment losses caused by his alleged misconduct. Allegations Against David Bibo A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client expressed concern about the reasonableness of the investments. Misrepresentation and unsuitable recommendations related to REIT. David Bibo Red Flags & Your Rights as An Investor Of course, David Bibo 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 David Bibo at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Bibo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International 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 Western International Securities, Inc. If you have questions about Western International Securities, Inc. and/or David Bibo 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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