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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Jan 20, 2022

David Frankel of National Asset Management, Inc.

DID DAVID LLOYD FRANKEL CAUSE YOU INVESTMENT LOSSES? David Frankel of National Asset Management, Inc., National Securities Corp. And Formerly With Wells Fargo Advisors Financial Network Has One Customer Complaint For Alleged Broker Misconduct Who is David Frankel of National Asset Management, Inc.? David Frankel (CRD #2691073) who is currently registered with National Asset Management, Inc., National Securities Corp. and located in Jericho, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to National Asset Management, Inc. and National Securities Corp., David Frankel was associated with Wells Fargo Advisors Financial Network and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Frankel Customer Complaint David Frankel 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 for misrepresentation. The customer complaint filed against David Frankel’s current employer National Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. David Frankel Red Flags & Your Rights As An Investor Of course, David Frankel 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 Frankel at National Asset Management, Inc., National Securities Corp. and Wells Fargo Advisors Financial Network on alert to review carefully the activity and performance of their accounts and question whether David Frankel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Asset Management, Inc., National Securities Corp. and Wells Fargo Advisors Financial Network 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 Asset Management, Inc. Due To David Frankel If you have questions about National Asset Management, Inc., National Securities Corp., Wells Fargo Advisors Financial Network, and/or David Frankel 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

Rodrigue Lors of Wilmington Capital Securities, LLC

DID RODRIGUE LORS CAUSE YOU INVESTMENT LOSSES? Rodrigue Lors Of Wilmington Capital Securities, LLC And Formally With National Securities Corp. Has 3 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Rodrigue Lors with Wilmington Capital Securities, LLC? Rodrigue Lors (CRD #4379214) who is currently registered with Wilmington Capital Securities, LLC and located in Westbury, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wilmington Capital Securities, LLC, Rodrigue Lors was associated with National Securities Corporation and another investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wilmington Capital Securities, LLC And National Securities Corp. Broker Misconduct In his career, Rodrigue Lors has been the subject of 5 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Three of the customer complaints were denied by his former employer’s in the customers did not pursue any further action. There are currently 2 pending customer complaints filed against Rodrigue Lors’ former employer, National Securities Corp. for investment losses caused by his alleged misconduct. Allegations Against Rodrigue Lors A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged failure to follow instructions and unauthorized transactions. Customer alleged unauthorized trading in stocks. Two Claimants and separate arbitration proceedings have alleged unsuitable investment recommendations to purchase private placements. Rodrigue Lors Red Flags & Your Rights As An Investor Of course, Rodrigue Lors 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 Rodrigue Lors at Wilmington Capital Securities, LLC, National Securities Corporation and GunnAllen Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Rodrigue Lors has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wilmington Capital Securities, 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 Wilmington Capital Securities, LLC And National Securities Corporation If you have questions about Wilmington Capital Securities, LLC, National Securities Corporation, GunnAllen Financial, Inc. and/or Rodrigue Lors 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

Bruce Linger of Lincoln Financial Advisors Corporation

DID BRUCE DUNCAN LINGER CAUSE YOU INVESTMENT LOSSES? Bruce Duncan Linger Of Lincoln Financial Advisors Corporation Has 2 Customer Complaints For Alleged Broker Misconduct Who is Bruce D. Linger of Lincoln Financial Advisors Corporation? Bruce Linger (CRD #1701376) who is currently registered with Lincoln Financial Advisors Corporation and located in Paramus, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Lincoln Financial Advisors Corporation, Bruce Linger was associated with The Lincoln National Life Insurance and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Lincoln Financial Advisors Corporation Broker Misconduct In his career, Bruce Linger has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. One of Bruce Linger’s 2 customer complaints was settled in favor of investors. The other customer complaint was denied and the customer did not take any further action. Allegations Against Bruce Linger 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 the Bruce Linger failed to follow instructions and recommended an unsuitable options strategy in March 2018. When requesting information regarding a variable universal life policy that was issued to her in June 2007, the client alleges Bruce Linger misinformed her about the policy surrender charges. Bruce Linger Red Flags & Your Rights As An Investor Of course, Bruce Linger 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 Bruce Linger at Lincoln Financial Advisors Corporation on alert to review carefully the activity and performance of their accounts and question whether Bruce Linger has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Lincoln Financial Advisors Corporation which also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Lincoln Financial Advisors Corporation If you have questions about Lincoln Financial Advisors Corporation and/or Bruce Linger 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

Mark Trewitt of VFG Securities, Inc.

DID MARK ANDREW TREWITT CAUSE YOU INVESTMENT LOSSES? Mark Andrew Trewitt Formerly With VFG Securities, Inc. And Madison Avenue Securities, Inc. Has 19 Customer Complaints For Alleged Broker Misconduct Who is Mark A. Trewitt formerly with VFG Securities, Inc., and Madison Avenue Securities, Inc.? Mark Trewitt (CRD #1364490) who was formerly registered with VFG Securities, Inc. and located in Plano, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to VFG Securities, Inc., Mark Trewitt was associated with Niagara International Capital Limited and 8 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Trewitt has had his own regulatory problems. In 2019, a complaint was made to the Texas State Securities Board about his recommendations to clients to invest in non-listed REITs and business development companies and private placements that were unsuitable investment recommendations to many clients. Shortly thereafter, the financial advisor sought registration in the State of Texas with another company. An agreement was made where by Mark Trewitt’s application to be registered as an investment advisor was granted, but on the condition he enter into an agreement with the State of Texas that included a 90 day suspension. VFG Securities, Inc. And Madison Avenue Securities, Inc. Broker Misconduct In his career, Mark Trewitt has been the subject of 19 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. Fourteen of Mark Trewitt’s customer complaints were settled in favor of investors. There are currently 4 pending customer complaints filed against Mark Trewitt’s former employers VFG Securities, Inc. and/or Madison Avenue Securities, Inc. for investment losses caused by his alleged misconduct. Allegations Against Mark Trewitt   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged that Mark Trewitt recommended an unsuitable over-concentration of alternative investments in his portfolio. Products included variable annuities, direct investments, and private placements in the equipment leasing, oil and gas, and real estate sectors. Claimants alleged negligence and breach of fiduciary duty against Mark Trewitt for making unsuitable investment recommendations alternative investments. Claimant alleged Mark Trewitt was negligent and breached his fiduciary duty related to recommendations to invest in non-traded REITs. Claimant alleged Mark Trewitt made misrepresentations and unsuitable investment recommendations relating multiple alternative investments in his portfolio. Claimants allege breach of fiduciary duty, and breach of contract and negligence pertaining to the recommendation and sales of oil and gas investments. Claimants allege negligence, breach of fiduciary duty in relation to unsuitable investment recommendations to invest in a variety of private placements. Claimants allege that Mark Trewitt made misrepresentations concerning the safety of the investment strategy. Claimant alleged that he was misled by Mark Trewitt to invest in non-traded REITs and private placements. Mark Trewitt Red Flags & Your Rights As An Investor Of course, Mark Trewitt 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 Mark Trewitt at VFG Securities, Inc. and Niagara International Capital Limited on alert to review carefully the activity and performance of their accounts and question whether Mark Trewitt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at VFG Securities, Inc. and Madison Avenue Securities, Inc. also raises questions about their supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At VFG Securities, Inc., and Madison Avenue Securities, Inc. If you have questions about VFG Securities, Inc., Niagara International Capital Limited and/or Mark Trewitt 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

Michael Lucia of Brokers International Financial Services, LLC

DID MICHAEL JOSEPH LUCIA CAUSE YOU INVESTMENT LOSSES? Michael Joseph Lucia Of Brokers International Financial Services, LLC And Formally With H. Beck, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Michael J. Lucia with Brokers International Financial Services, LLC? Michael Lucia (CRD #2229559) who is currently registered with Brokers International Financial Services, LLC and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Brokers International Financial Services, LLC, Michael Lucia was associated with H. Beck, Inc. and 12 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. H. Beck, Inc. Broker Misconduct In his career, Michael Lucia has been the subject of 3 customer complaints that we know about, one of those complaints were filed in the last year to recover investment losses. One of Michael Lucia’s 3 customer complaints was settled by his former employer Securities America in favor of investors. The other two complaints arose in connection with his employment at H. Beck, Inc. There is currently one pending customer complaint filed against Michael Lucia’s former employer H. Beck, Inc. for investment losses caused by his alleged misconduct. Allegations Against Michael Lucia A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged that Michael Lucia made unsuitable investment recommendations to invest in REITs and business development companies. Client alleged unsuitable investment recommendations to invest in direct investments. Customer alleged that Michael Lucia made unauthorized and unsuitable transactions. Michael Lucia Red Flags & Your Rights As An Investor Of course, Michael Lucia did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Michael Lucia at Brokers International Financial Services, LLC and H. Beck, Inc. on alert to review carefully the activity and performance of their accounts and question whether Michael Lucia has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Brokers International Financial Services, LLC and H. Beck, 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 Brokers International Financial Services, LLC And H. Beck, Inc. If you have questions about Brokers International Financial Services, LLC, H. Beck, Inc. and/or Michael Lucia 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

Frank Avallone of National Securities Corporation

DID FRANK LOUIS AVALLONE CAUSE YOU INVESTMENT LOSSES? Frank Louis Avallone with National Securities Corporation Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Frank L. Avallone with National Securities Corporation? Frank Avallone (CRD #4814368) 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.   Prior to National Securities Corporation, Frank Avallone was associated with Newbridge Securities Corporation and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. National Securities Corporation Broker Misconduct In his career, Frank Avallone 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 Frank Avallone’s 4 customer complaints were settled in favor of investors. One of the customer complaints was recently denied by his current employer, and to date, the customer is not taking any further action There is currently one pending customer complaint filed against Frank Avallone’s current employer National Securities Corporation for investment losses caused by his alleged misconduct. Allegations Against Frank Avallone   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged unsuitable investment recommendations, breach of, churning, violation of FINRA conduct rules connection with over-the-counter common stock and the trust fund transactions. The customer alleged that Frank Avallone in unsuitable investment recommendations and churned his account. The customer alleged that Frank Avallone an unsuitable recommendation to invest in a private placement. Claimant alleged unsuitable over-the-counter stock investment recommendations. Frank Avallone Red Flags & Your Rights As An Investor Of course, Frank Avallone 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 Frank Avallone at National Securities Corporation and Newbridge Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Frank Avallone has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at National Securities Corporation 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, Newbridge Securities Corporation, and/or Frank Avalloneand 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

Joseph Kelly of Spartan Capital Securities, LLC

DID JOSEPH KELLY CAUSE YOU INVESTMENT LOSSES? Joseph Kelly with Spartan Capital Securities, LLC Has 3 Customer Complaints for Alleged Broker Misconduct Who is Joseph Kelly with Spartan Capital Securities, LLC? Joseph Kelly (CRD #4560737) who is currently registered with Spartan Capital Securities, LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Spartan Capital Securities, LLC, Joseph Kelly was associated with PHX Financial, Inc. and National Securities Corporation, and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Spartan Capital Securities, LLC Broker Misconduct In his career, Joseph Kelly has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. One of Joseph Kelly’s 3 customer complaints was settled in favor of investors. There are currently 2 pending customer complaints filed against Joseph Kelly’s current employer Spartan Capital Securities, LLC for investment losses caused by his alleged misconduct. Allegations Against Joseph Kelly A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged in the arbitration proceeding that Joseph Kelly made unsuitable investment recommendations and misrepresentations. The customer alleged that Joseph Kelly engaged in churning his account and unsuitable transactions. The claimant alleged misrepresentations and excessive trading. Joseph Kelly Red Flags & Your Rights as An Investor Of course, Joseph Kelly 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 Kelly at Spartan Capital Securities, LLC, PHX Financial, Inc. and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Joseph Kelly has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Spartan Capital Securities, LLC about Joseph Kelly 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 Spartan Capital Securities, LLC If you have questions about Spartan Capital Securities, LLC, PHX Financial, Inc., National Securities Corporation, and/or Joseph Kelly 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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