Mar 4, 2022

Sean Sullivan of National Securities

DID SEAN ROBERT SULLIVAN CAUSE YOU INVESTMENT LOSSES? Sean Sullivan Of National Securities, National Asset Management And Formerly With Voya Financial Advisors And Securities America Has 2 Customer Complaints For Alleged Broker Misconduct Who is Sean Sullivan of National Securities? Sean Sullivan (CRD #4769711) who is currently registered with National Securities, National Asset Management and located in South Norwalk, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to National Securities and National Asset Management, Sean Sullivan was associated with Voya Financial Advisors, Securities America and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sean Sullivan Customer Complaints Sean Sullivan has been the subject of 2 customer complaints that we know about. One of Sean Sullivan’s 2 customer complaints was settled in favor of investors.  One of Sean Sullivan’s customers’ complaints 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. Allegations Against Sean Sullivan 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 the representative, Sean Sullivan recommended and sold him investments in REITs and a variable annuity that were unsuitable. Additional allegations included misrepresentation, overconcentration in illiquid investments, and negligence. Alleged unauthorized trading by Sean Sullivan. Sean Sullivan Red Flags & Your Rights As An Investor Of course, Sean Sullivan 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 Sean Sullivan at National Securities, National Asset Management, Voya Financial Advisors, and Securities America on alert to review carefully the activity and performance of their accounts and question whether Sean Sullivan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Securities, National Asset Management, Voya Financial Advisors, and Securities America 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 National Securities Due To Sean Sullivan If you have questions about National Securities, National Asset Management, Voya Financial Advisors, Securities America, and/or Sean Sullivan 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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Feb 25, 2022

Bradley Mascho formerly with Western International Securities, Inc.

DID BRADLEY CARL MASCHO CAUSE YOU INVESTMENT LOSSES? Bradley Mascho Formerly With Western International Securities, Inc. Has 17 Customer Complaints For Alleged Broker Misconduct Who is Bradley Mascho formerly with Western International Securities, Inc.? Bradley Mascho (CRD #2039720) who was formerly registered with Western International Securities, Inc. and located in Frederick, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Bradley Mascho Customer Complaints Bradley Mascho has been the subject of 17 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Sixteen of Bradley Mascho’s 17 customer complaints were settled in favor of investors. There is currently 1 pending customer complaint filed against Bradley Mascho’s former employer Western International Securities, Inc. for investment losses caused by the alleged misconduct. Allegations Against Bradley Mascho A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Multiple complaints of unsuitable investment recommendations related to a promissory note. Offer and sale of unregistered securities. Unsuitable investment recommendations, fraud, breach of fiduciary duty related to promissory note and exchange traded fund investments. Breach of fiduciary duty related to commodity future investments. Bradley Mascho Red Flags & Your Rights As An Investor Of course, Bradley Mascho 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 Bradley Mascho at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Bradley Mascho 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 Bradley Mascho If you have questions about Western International Securities, Inc. and/or Bradley Mascho 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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Feb 22, 2022

Avraham Ziv of Western International Securities, Inc.

DID AVRAHAM ISAAC ZIV CAUSE YOU INVESTMENT LOSSES? Avraham Ziv Of Western International Securities, Inc. And Formerly With Northeast Securities, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Avraham Ziv of Western International Securities, Inc.? Avraham Ziv (CRD #2749711) who is currently registered with Western International Securities, Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Western International Securities, Inc., Avraham Ziv was associated with Northeast Securities, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Avraham Ziv Customer Complaint Avraham Ziv has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were misrepresentation of common and preferred stock investments. Avraham Ziv’s customer complaint was denied and, to date, the customer has not taken any further action. Avraham Ziv Red Flags & Your Rights As An Investor Of course, Avraham Ziv 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 Avraham Ziv at Western International Securities, Inc. and Northeast Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Avraham Ziv 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 Northeast Securities, LLC 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, Inc. Due To Avraham Ziv If you have questions about Western International Securities, Inc., Northeast Securities, LLC and/or Avraham Ziv 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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Feb 11, 2022

Andrew Massaro of National Securities Corporation

DID ANDREW P. MASSARO CAUSE YOU INVESTMENT LOSSES? Andrew Massaro Of National Securities Corporation Has A Customer Complaint For Alleged Broker Misconduct Who is Andrew Massaro of National Securities Corporation? Andrew Massaro (CRD #6551913) who is currently registered with National Securities Corporation and located in South Norwalk, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Andrew Massaro Customer Complaint Andrew Massaro 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 unsuitable investment recommendations.Andrew Massaro’s customer complaint was settled in favor of the investors. Andrew Massaro Red Flags & Your Rights As An Investor Of course, Andrew Massaro 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 Andrew Massaro at National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Andrew Massaro has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Securities Corporation 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 Corporation Due To Andrew Massaro If you have questions about National Securities Corporation and/or Andrew Massaro 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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Feb 8, 2022

Alex Mathis of Western International Securities, Inc.

DID ALEX BOYD MATHIS CAUSE YOU INVESTMENT LOSSES? Alex Mathis Of Western International Securities, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Alex Mathis of Western International Securities, Inc.? Alex Mathis (CRD #2235598) who is currently 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. Alex Mathis Customer Complaints Alex Mathis 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 Alex Mathis’ 4 customer complaints was settled in favor of investors.  Three of Alex Mathis’ customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Alan Silverman A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged unsuitable investment recommendations, misrepresentations, and unauthorized trading in connection with mutual funds. Customer alleged unsuitable REIT investment recommendation. Customer alleged that Alex Mathis made unsuitable investment recommendations to purchase a non-traded REIT and mutual fund. Customer alleged unsuitable mutual fund investments by Alex Mathis. Alex Mathis Red Flags & Your Rights As An Investor Of course, Alex Mathis 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 Alex Mathis at Western International Securities, Inc.on alert to review carefully the activity and performance of their accounts and question whether Alex Mathis 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 Alex Mathis If you have questions about Western International Securities, Inc. and/or Alex Mathis 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

Robert Harger of Harger And Company

DID ROBERT LEE HARGER CAUSE YOU INVESTMENT LOSSES? Robert Harger of Harger And Company Has 3 Customer Complaints For Alleged Broker Misconduct Who is Robert Harger of Harger And Company? Robert Harger (CRD #863069) who is currently registered with Harger And Company and located in Alexandria, Louisiana is a subject of one of our many securities industry sales practice abuse investigations. Robert Harger has had his problems with the regulators as well as evident by the 6 disclosures on its BrokerCheck.  The most recent regulatory action was in 2019 when he was suspended by FINRA for 3 months and fined $15,000. Robert Harger Customer Complaints Robert Harger has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Robert Harger’s 3 customer complaints was settled in favor of investors. Two of Robert Harger’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Robert Harger A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Beneficiaries of client claim that they are owed the sales commission that was charged by Nationwide when their father died. Customer alleges that the firm by Robert Harger failed to execute a stop-loss to sell IP and GP stock if IP stock reached $53. Customer claimed that she was misled allegedly by Robert Harger when she transferred her ING Variable Annuity to Jackson National. She claimed that there was a $6,416.57 charge which could not be accounted for. This was the contingent deferred sales charge. She also claimed that benefits with the new contract were not the same and were in fact less than her old contract. Robert Harger Red Flags & Your Rights As An Investor Of course, Robert Harger 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 Robert Harger at Harger And Company on alert to review carefully the activity and performance of their accounts and question whether Robert Harger has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Harger And Company 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 Harger And Company Due To Robert Harger If you have questions about Harger And Company and/or Robert Harger 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

Jeffrey Broten of Newbridge Securities Corp.

DID JEFFREY ALLAN BROTEN CAUSE YOU INVESTMENT LOSSES? Jeffrey Broten Formerly With Newbridge Securities Corp., First Standard Financial Company, and National Securities Has 5 Customer Complaints For Alleged Broker Misconduct Who is Jeffrey Broten formerly with Newbridge Securities Corp.? Jeffrey Broten (CRD #1006678) who was formerly registered with Newbridge Securities Corp. and located in Morristown, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Newbridge Securities Corp., Jeffrey Broten was associated with First Standard Financial Company, National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jeffrey Broten has had his own problems with the regulators. Last year, he became the subject of a FINRA investigation related to allegations of unsuitable and unauthorized trading while employed at 1st Standard Financial Company. He refused to give any testimony and pursuant to FINRA Rule 8210, Jeffrey Broten was permanently barred from association with any member firm in any capacity. Jeffrey Broten Customer Complaints Jeffrey Broten has been the subject of 5 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of Jeffrey Broten’s 5 customer complaints resulted in an arbitration award in favor of the investor. Two of Jeffrey Broten’s 5 customer complaints were settled in favor of investors. One of Jeffrey Broten’s customers complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against National Securities and First Standard Financial Company for investment losses caused by Jeffrey Broten’s alleged misconduct. Allegations Against Jeffrey Broten A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jeffrey Broten’s alleged breach of fiduciary duty, unsuitable, excessive and unauthorized trading of stock, fraud, misrepresentation, negligence, breach of contract, violation of NASD and NYSE rules. Customer alleges Jeffrey Broten made unsuitable investments. Suitability rule violations allegedly committed by Jeffrey Broten. The client alleged that Jeffrey Broten did not consult with her before making trades. Jeffrey Broten Red Flags & Your Rights As An Investor Of course, Jeffrey Broten 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 Broten at Newbridge Securities Corp., First Standard Financial Company, and National Securities on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Broten has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Newbridge Securities Corp., First Standard Financial Company, 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 Newbridge Securities Corp., First Standard Financial Company And National Securities Due To Jeffrey Broten If you have questions about Newbridge Securities Corp., First Standard Financial Company, National Securities, and/or Jeffrey Broten 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

Russell Blum of International Assets Advisory, LLC

DID RUSSELL SCOTT BLUM CAUSE YOU INVESTMENT LOSSES? Russell Blum of International Assets Advisory, LLC, International Assets Investment Management And Formerly With SunTrust Investment Services, SunTrust Advisory Services and Wells Fargo Clearing Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Russell Blum of International Assets Advisory, LLC? Russell Blum (CRD #1276754) who is currently registered with International Assets Advisory, LLC, International Assets Investment Management and located in Vero Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to International Assets Advisory, LLC, International Assets Investment Management, Russell Blum was associated with SunTrust Investment Services, SunTrust Advisory Services, Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Russell Blum Customer Complaints Russell Blum has been the subject of 3 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of Russell Blum’s 3 customer complaints was settled in favor of investors. One of Russell Blum’s customers complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against SunTrust Investment Services for investment losses caused by Russell Blum’s alleged misconduct. Allegations Against Russell Blum A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleges Russell Blum over-concentrated her portfolio in unsuitable investments. Claimant alleges that investment recommendations allegedly made by Russell Blum over-concentrated his account in oil and gas stocks and low-priced speculative securities which were misrepresented and unsuitable. Client stated that following representative’s reasoning resulted in his holding investments which resulted in losses to his accounts allegedly by Russell Blum. Russell Blum Red Flags & Your Rights As An Investor Of course, Russell Blum 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 Russell Blum at International Assets Advisory, LLC, International Assets Investment Management, SunTrust Advisory Services, SunTrust Investment Services, and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Russell Blum has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at International Assets Advisory, LLC, International Assets Investment Management, SunTrust Advisory Services, SunTrust Investment Services, and Wells Fargo Clearing 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 International Assets Advisory, LLC Due To Russell Blum If you have questions about International Assets Advisory, LLC, International Assets Investment Management, SunTrust Advisory Services, SunTrust Investment Services, Wells Fargo Clearing Services, and/or Russell Blum 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

Rick Davidson of Aegis Capital

DID RICK ALAN DAVIDSON CAUSE YOU INVESTMENT LOSSES? Rick Davidson of Aegis Capital and Formerly with National Securities, Jefferies, and Morgan Stanley, Has 8 Customer Complaints for Alleged Broker Misconduct Who is Rick Davidson of Aegis Capital? Rick Davidson (CRD #1315998) who is currently registered with Aegis Capitaland located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Rick Davidson was associated with National Securities, National Asset Management, Jefferies, Jefferies Investment Advisers, and Morgan Stanley, and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Rick Davidson Customer Complaints Rick Davidson has been the subject of 8 customer complaints that we know about, two of those complaints were filed in the last year to recover investment losses. Six of Rick Davidson’s 8 customer complaints were settled in favor of investors. One of Rick Davidson’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against National Securities for investment losses caused by Rick Davidson’s alleged misconduct. Allegations Against Rick Davidson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The claimant alleged unsuitability with respect to investment recommendations made by Rick Davidson. The client alleges Rick Davidson did not fully disclose the return on the investment. The client claims the purchase of bond position was unauthorized and was not a suitable investment allegedly recommended by Rick Davidson. The client verbally alleged, among other things, unauthorized trading by Rick Davidson with respect to corporate bond investments. It is alleged that Rick Davidson engaged in unauthorized transactions. Rick Davidson’s client alleged suitability & misrepresentation. Rick Davidson’s client alleged suitability and misrepresentation. Unsuitable investment recommendations allegedly made by Rick Davidson. Rick Davidson Red Flags & Your Rights as an Investor Of course, Rick Davidson 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 Rick Davidson at Aegis Capital, National Securities, National Asset Management, Jefferies, Jefferies Investment Advisers, and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Rick Davidson has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Aegis Capital, National Securities, National Asset Management, Jefferies, Jefferies Investment Advisers, and Morgan Stanley 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 Rick Davidson If you have questions about Aegis Capital, National Securities, National Asset Management, Jefferies, Jefferies Investment Advisers, Morgan Stanley, and/or Rick Davidson 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

Douglas Willmore of Western International Securities

DID DOUGLAS EUGENE WILLMORE CAUSE YOU INVESTMENT LOSSES? Douglas Willmore Formerly with Western International Securities Has A Customer Complaint for Alleged Broker Misconduct Who is Douglas Willmore formerly with Western International Securities? Douglas Willmore (CRD #5115203) who was formerly registered with Western International Securities and located in Westlake Village, California is a subject of one of our many securities industry sales practice abuse investigations. Douglas Willmore Customer Complaint Douglas Willmore 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 complaints for investment losses were misrepresentation. The customer complaint filed against Douglas Willmore’s former employer Western International Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Douglas Willmore Red Flags & Your Rights as An Investor Of course, Douglas Willmore 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 Douglas Willmore at Western International Securities on alert to review carefully the activity and performance of their accounts and question whether Douglas Willmore has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Western 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 Western International Securities Due to Douglas Willmore If you have questions about Western International Securities and/or Douglas Willmore 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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