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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Mar 4, 2022

Gabriel Block of First Standard Financial Company, LLC

DID GABRIEL BLOCK CAUSE YOU INVESTMENT LOSSES? Gabriel Block formerly with First Standard Financial Company, LLC And National Securities Corporation Has 13 Customer Complaints for Alleged Broker Misconduct Who is Gabriel Block formerly with First Standard Financial Company, LLC? Gabriel Block (CRD #2103543) who was formerly registered with First Standard Financial Company, LLC and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.   Prior to First Standard Financial Company, LLC, Gabriel Block was associated with National Securities Corporation and 8 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Incredibly, Gabriel Block has been the subject of 5 separate regulatory actions. Most recently, the State of New Jersey alleged that Gabriel Block engaged in dishonest or unethical business practices in the securities business; by consent, he was fined $291,600. FINRA has barred him for failing to respond to a FINRA request for information in connection with 1 of its investigations and permanently barred him from further association with any member firm in the securities industry.  FINRA had previously suspended him for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.  Gabriel Block had previously been investigated by the Delaware Investor Protection Unit which filed an administrative complaint that was settled by consent and resulted in Gabriel Block relinquishing his right to reapply for future registration as a broker-dealer or agent in Delaware.  This event was subsequently viewed as a statutory disqualification, and when Gabriel Block sought relief from that statutory disqualification it was denied. First Standard Financial Company, LLC Broker Misconduct In his career, Gabriel Block has been the subject of 13 customer complaints that we know about, 4 of those complaints were filed in the last two years to recover investment losses. Six of Gabriel Block’s 13 customer complaints were settled in favor of investors. Four of those complaints were denied by his employer’s and the investors took no further action to date.  There are currently 3 pending customer complaints filed against Gabriel Block’s former employer First Standard Financial Company, LLC for investment losses caused by his alleged misconduct. Allegations Against Gabriel Block A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Suitability, excessive trading, breach of fiduciary duty, and negligence. The claimant alleges the financial advisor made unauthorized and unsuitable purchases of Puerto Rico Bonds in claimants account; that Block mismanaged his accounts and engage and unsuitable unauthorized trading and churning. Breach of fiduciary duty, suitability, and negligence relating to over-the-counter equity transactions. Breach of fiduciary duty, suitability, negligence, and breach of contract. The claimant asserts claims for churning, unsuitability, breach of fiduciary duty, and related claims in connection with Gabriel Block’s handling of her account. The claimant alleges that her retirement savings were concentrated in positions that were unsuitable based on the claimant’s investment objectives and risk tolerance. Delaware client alleges that his former financial advisor mismanaged the handling of his investments. The claimant alleges claims are unsuitability, breach of fiduciary duty, and breach of contract. Claimants alleged unauthorized trading, purchase of unsuitable securities, overconcentration of the accounts and risky securities, churning, unauthorized use of margin, material misrepresentations and omissions, and dishonest trade practices. Gabriel Block Red Flags & Your Rights as An Investor Of course, Gabriel Block 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 Gabriel Block at First Standard Financial Company, LLC and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Gabriel Block has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Standard Financial Company, LLC, National Securities Corporation, and Oppenheimer and Co. also raise 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 First Standard Financial Company, LLC, National Securities Corporation, and Oppenheimer and Co. If you have questions about First Standard Financial Company LLC, National Securities Corporation, Oppenheimer and Co. and/or Gabriel Block 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

Jingbo Pan of Vestech Securities, Inc

DID JINGBO PAN CAUSE YOU INVESTMENT LOSSES? Jingbo Pan with Vestech Securities, Inc. and Vestech Asset Management Inc. Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Jingbo Pan with Vestech Securities, Inc. and Vestech Asset Management Inc.? Jingbo Pan (CRD #5266959) who is currently registered with Vestech Securities, Inc. and Vestech Asset Management Inc. and located in St. Louis, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to Vestech Securities, Inc. and Vestech Asset Management Inc., Jingbo Pan was associated with Coastal Equities, Inc., Coastal Investment Advisors, and Axiom Capital Management, Inc. and 9 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Vestech Securities, Inc. and Vestech Asset Management Inc. Broker Misconduct In his career, Jingbo Pan has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last two years to recover investment losses. One of Jingbo Pan’s customer complaints was settled in favor of investors; one was denied and the other is still pending against one of his former employer’s, International Assets Advisory, LLC, for investment losses caused by his alleged misconduct. Allegations Against Jingbo Pan A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleges investments or unsuitable or misrepresented by the investor.  Client also alleges that the firm failed to supervise the actions of the representative in conduct adequate due diligence relating to certain real estate securities. Claimant alleged negligence, suitability, breach of fiduciary duty, and failure to supervise. Claimant alleged breach of fiduciary responsibilities and negligence. Jingbo Pan Red Flags & Your Rights As An Investor Of course, Jingbo Pan 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 Jingbo Pan at Vestech Securities, Inc., Vestech Asset Management Inc., Coastal Equities, Inc., Coastal Investment Advisors, and Axiom Capital Management, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jingbo Pan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vestech Securities, Inc., Vestech Asset Management Inc., Coastal Equities, Inc., Coastal Investment Advisors, and Axiom Capital Management, 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 Vestech Securities, Inc. and Vestech Asset Management Inc. If you have questions about Vestech Securities, Inc., Vestech Asset Management Inc., Coastal Equities, Inc., Coastal Investment Advisors, and Axiom Capital Management, Inc. and/or Jingbo Pan 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

Kevin Wilson of Worden Capital Management LLC

DID KEVIN RICHARD WILSON CAUSE YOU INVESTMENT LOSSES? Kevin Richard Wilson with Worden Capital Management LLC Has 9 Customer Complaints For Alleged Broker Misconduct Who is Kevin R. Wilson with Worden Capital Management LLC? Kevin Wilson (CRD #3262701) who is currently registered with Worden Capital Management LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Worden Capital Management LLC, Kevin Wilson was associated with National Securities Corporation and Laidlaw & Company (UK) Ltd. and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Worden Capital Management LLC Broker Misconduct In his career, Kevin Wilson has been the subject of 9 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Three of Kevin Wilson’s 9 customer complaints were settled in favor of investors. Of the complaints, One was denied by his employer and to date the customer has not taken any further action. There are currently 5 pending customer complaints filed against Kevin Wilson’s current employer Worden Capital Management LLC for investment losses caused by his alleged misconduct. Allegations Against Kevin Wilson A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleges unsuitability with respect to certain private placement investment. The client alleges unsuitable recommendations stocks in private placements. Client alleges unsuitability and overconcentration of private placement, investment. Client alleges unauthorized trading. Kevin Wilson Red Flags & Your Rights As An Investor Of course, Kevin Wilson 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 Kevin Wilson at Worden Capital Management LLC, National Securities Corporation and Laidlaw & Company (UK) Ltd. on alert to review carefully the activity and performance of their accounts and question whether Kevin Wilson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Laidlaw & Company (UK) Ltd. 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 Worden Capital Management LLC, National Securities Corporation, Laidlaw & Company (UK) Ltd. If you have questions about Worden Capital Management LLC, National Securities Corporation, Laidlaw & Company (UK) Ltd. and/or Kevin Wilson 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

Steven Jennings of National Securities Corporation

DID STEVEN ANDREW JENNINGS CAUSE YOU INVESTMENT LOSSES? Steven Andrew Jennings with National Securities Corporation Has 3 Customer Complaints for Alleged Broker Misconduct In the Past Year Who is Steven A. Jennings with National Securities Corporation? Steven Jennings (CRD #2472408) who is currently registered with National Securities Corporation and located in Jersey City, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to National Securities Corporation, Steven Jennings has associated with4other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. National Securities Corporation Broker Misconduct In his career, Steven Jennings has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. All 3 customer complaints filed against Steven Jennings’ current employer National Securities Corporation for investment losses caused by his alleged misconduct are currently pending. Allegations Against Steven Jennings The allegations made in the FINRA report about the pending complaints about investment losses are simply suitability related to real estate and private placement investments. Suitability claims can be based upon the stockbroker or investment advisors fiduciary duty, duty to use reasonable care, or FINRA Rule 2111 which states: (a) A member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer’s investment profile.  A customer’s investment profile includes, but is not limited to, the customer’s age, other investments, financial situation and needs, tax status, investment objectives, investment experience, investment time horizon, liquidity needs, risk tolerance, and any other information the customer may disclose to the member or associated person in connection with such recommendation. Steven Jennings Red Flags & Your Rights as An Investor Of course, Steven Jennings 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 Jennings at National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Steven Jennings has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at National Securities Corporation about Steven Jennings 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 National Securities Corporation If you have questions about National Securities Corporation and/or Steven Jennings 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

Kyle Woods of Edward Jones

DID KYLE HANK WOODS CAUSE YOU INVESTMENT LOSSES? Kyle Woods Of Edward Jones And Formerly With LPL Financial And National Planning Has A Customer Complaint For Alleged Broker Misconduct Who is Kyle Woods of Edward Jones? Kyle Woods (CRD #6523602) who is currently registered with Edward Jones and located in Kailua Kona, Hawaii is a subject of one of our many securities industry sales practice abuse investigations. Prior to Edward Jones, Kyle Woods was associated with LPL Financial, National Planning and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kyle Woods Customer Complaint Kyle Woods 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 client alleged the financial advisor sold a KS Statebank Manhattan CD in her account without her authorization. Kyle Woods’ customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Kyle Woods Red Flags & Your Rights As An Investor Of course, Kyle Woods 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 Kyle Woods at Edward Jones, LPL Financial, and National Planning on alert to review carefully the activity and performance of their accounts and question whether Kyle Woods has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones, LPL Financial, 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 Edward Jones Due To Kyle Woods If you have questions about Edward Jones, LPL Financial, National Planning, and/or Kyle Woods 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

Vanessa Xavier of Equitable Advisors

DID VANESSA LIMA XAVIER CAUSE YOU INVESTMENT LOSSES? Vanessa Xavier Of Equitable Advisors And Formerly With Morgan Stanley And Itau International Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Vanessa Xavier of Equitable Advisors? Vanessa Xavier (CRD #5879377) who is currently registered with Equitable Advisors and located in Ft. Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Equitable Advisors, Vanessa Xavier was associated with Morgan Stanley, Itau International Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Vanessa Xavier Customer Complaint Vanessa Xavier 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 mutual fund investments purchased in their account were unsuitable. Vanessa Xavier’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Vanessa Xavier Red Flags & Your Rights As An Investor Of course, Vanessa Xavier 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 Vanessa Xavier at Equitable Advisors, Morgan Stanley, and Itau International Securities on alert to review carefully the activity and performance of their accounts and question whether Vanessa Xavier has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, Morgan Stanley, and Itau International 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 Equitable Advisors Due To Vanessa Xavier If you have questions about Equitable Advisors, Morgan Stanley, Itau International Securities, and/or Vanessa Xavier 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

Joseph Rozof of Revere Securities

DID JOSEPH W. ROZOF CAUSE YOU INVESTMENT LOSSES? Joseph Rozof Of Revere Securities And Formerly With Aegis Capital, Laidlaw & Company (UK) And National Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Joseph Rozof of Revere Securities? Joseph Rozof (CRD #5274784) who is currently registered with Revere Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Revere Securities, Joseph Rozof was associated with Aegis Capital, Laidlaw & Company (UK), National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joseph Rozof Customer Complaint Joseph Rozof 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 client alleged unsuitable investment recommendations. Joseph Rozof’s customer complaint was settled in favor of the investors. Joseph Rozof Red Flags & Your Rights As An Investor Of course, Joseph Rozof 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 Joseph Rozof at Revere Securities, Aegis Capital, Laidlaw & Company (UK), and National Securities on alert to review carefully the activity and performance of their accounts and question whether Joseph Rozof has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Revere Securities, Aegis Capital, Laidlaw & Company (UK), and 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 Revere Securities Due To Joseph Rozof If you have questions about Revere Securities, Aegis Capital, Laidlaw & Company (UK), National Securities, and/or Joseph Rozof 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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