Nov 30, 2022

Derek Malone of Infinex Investments, Inc.

DID DEREK WILHELM MALONE CAUSE YOU INVESTMENT LOSSES? Derek Malone Of Infinex Investments, Inc. And Formerly With Essex National Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Derek Malone of Infinex Investments, Inc.? Derek Malone (CRD #5495233) who is currently registered with Infinex Investments, Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Infinex Investments, Inc., Derek Malone was associated with Essex National Securities, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Derek Malone Customer Complaints Derek Malone has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Derek Malone’s 2 customer complaints was settled in favor of investor. There is currently 1 pending customer complaint filed against Derek Malone’s former employer Essex National Securities, LLC for investment losses caused by the alleged misconduct. Allegations Against Derek Malone A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendation of REIT. Misrepresentation about the risk and liquidity of a REIT investment. Derek Malone Red Flags & Your Rights As An Investor Of course, Derek Malone 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 Derek Malone at Infinex Investments, Inc. and Essex National Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Derek Malone has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Infinex Investments, Inc. and Essex National Securities, LLC 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 Infinex Investments, Inc. Due To Derek Malone If you have questions about Infinex Investments, Inc., Essex National Securities, LLC, and/or Derek Malone 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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Nov 28, 2022

Dennis Karjanis of Aegis Capital Corp.

DID DENNIS JOSEPH KARJANIS CAUSE YOU INVESTMENT LOSSES? Dennis Karjanis Of Aegis Capital Corp. And Formerly With National Securities Corporation Has 2 Customer Complaints For Alleged Broker Misconduct Who is Dennis Karjanis of Aegis Capital Corp.? Dennis Karjanis (CRD #5280862) who is currently registered with Aegis Capital Corp. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Aegis Capital Corp., Dennis Karjanis was associated with National Securities Corporation and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Dennis Karjanis Customer Complaints Dennis Karjanis has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Both of Dennis Karjanis’ customer complaints were settled in favor of investors. Allegations Against Dennis Karjanis A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendation of private placement. Misrepresentation and unsuitable investment recommendation a over-the-counter securities. Dennis Karjanis Red Flags & Your Rights As An Investor Of course, Dennis Karjanis 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 Dennis Karjanis at Aegis Capital Corp. and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Dennis Karjanis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp. and National Securities Corporation 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 Corp. Due To Dennis Karjanis If you have questions about Aegis Capital Corp., National Securities Corporation, and/or Dennis Karjanis 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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Nov 23, 2022

Dennis Mehringer formerly with Western International Securities, Inc.

DID DENNIS ALBERT MEHRINGER JR CAUSE YOU INVESTMENT LOSSES? Dennis Mehringer Formerly With Western International Securities, Inc. Has 12 Customer Complaints For Alleged Broker Misconduct Who is Dennis Mehringer formerly with Western International Securities, Inc.? Dennis Mehringer (CRD #722569) who was formerly registered with Western International Securities, Inc. and located in Pasadena, California was the subject of a FINRA investigation and enforcement action for unsuitable recommendations in excess of trading of mutual funds and permanently barred from any further association with any FINRA member firm. Dennis Mehringer is also subject of one of our many securities industry sales practice abuse investigations.   Dennis Mehringer Customer Complaints Dennis Mehringer has been the subject of 12 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Dennis Mehringer’s 12 customer complaints resulted in an Award in favor of the investor. Eight of Dennis Mehringer’s customer complaints were settled in favor of investors. Three of Dennis Mehringer’s customer complaints were denied, and, to date, the customers have not taken any further action.   Allegations Against Dennis Mehringer A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: A monetary judgment to the customer in the amount of $75,000 was entered in connection with erroneous advice concerning loans made from a defined benefit plan to purchase real estate. Unsuitable investment recommendations in breach of fiduciary duty related to common stock, preferred stock, mutual funds, and exchange traded funds. Misrepresentation and fraud, unauthorized trading, breach of fiduciary duty and unsuitable investment recommendations related to common stock transactions. Unsuitable investment recommendations related to common stock and mutual fund transactions. Complaint concerning the performance of the fixed income investment. Unsuitable investment recommendations related to a promissory note investment. Breach of fiduciary duty, fraud and misrepresentation, negligence, violation of state and federal laws and FINRA rules related to common stock and mutual fund transactions. Unauthorized trading, excessive commission charges connection with common stock and mutual fund transactions. Overconcentration of an investment without adequate put option coverage. Misrepresentation related to status of a rider guarantee on an annuity contract. Purchase of reverse convertible notes without execution of an option agreement was improper. Failure to disclose risk of structured products in a defined benefit plan. Dennis Mehringer Red Flags & Your Rights As An Investor Of course, Dennis Mehringer 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 Dennis Mehringer at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Dennis Mehringer 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 Dennis Mehringer If you have questions about Western International Securities, Inc. and/or Dennis Mehringer 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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Nov 11, 2022

David Givnish of LPL Financial LLC?

DID DAVID LAWRENCE GIVNISH CAUSE YOU INVESTMENT LOSSES? David Givnish Of LPL Financial LLC And Formerly With National Planning Corporation Has A Customer Complaint For Alleged Broker Misconduct Who is David Givnish of LPL Financial LLC? David Givnish (CRD #2435299) who is currently registered with LPL Financial LLC and located in Carefree, Arizona is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, David Givnish was associated with National Planning Corporation and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Givnish Customer Complaint David Givnish 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 related to universal life insurance policy. David Givnish’s customer complaint was denied and, to date, the customer has not taken any further action. David Givnish Red Flags & Your Rights As An Investor Of course, David Givnish 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 Givnish at LPL Financial LLC and National Planning Corporation on alert to review carefully the activity and performance of their accounts and question whether David Givnish has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and National Planning 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 LPL Financial LLC Due To David Givnish If you have questions about LPL Financial LLC, National Planning Corporation and/or David Givnish 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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Sep 27, 2022

Damian Bell of International Assets Advisory, LLC

As a client, you place your money in the hands of a broker that you can trust. This is why it’s critical to understand everything there is to know about the person handling your money. This data may assist you in deciding whether or not to deal with a specific broker. We may be able to assist you in addressing any concerns or issues you have if you believe Damian Bell has caused you financial harm. DID DAMIAN MARLON BELL CAUSE YOU INVESTMENT LOSSES? Damian Bell Of International Assets Advisory, LLC And Formerly With WFG Investments, Inc. Has 11 Customer Complaints For Alleged Broker Misconduct Who is Damian Bell of International Assets Advisory, LLC? Damian Bell (CRD #2348521) who is currently registered with International Assets Advisory, LLC and located in Daphne, Alabama is a subject of one of our many securities industry sales practice abuse investigations.  Prior to International Assets Advisory, LLC, Damian Bell was associated with WFG Investments, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Damian Bell Customer Complaints Damian Bell has been the subject of 11 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Three of Damian Bell’s 11 customer complaints were settled in favor of investors. Six of Damian Bell’s customer complaints were denied and, to date, the customers have not taken any further action. There are currently 2 pending customer complaints filed against Damian Bell’s former employer WFG Investments, Inc. for investment losses caused by the alleged misconduct. Allegations Against Damian Bell A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendations related to corporate debt and mutual funds. Failure to conduct a reasonable investigation, misrepresentation, unsuitable investment recommendations, and breach of fiduciary duty related to a private placement investment. Unsuitable investment recommendations and failure to disclose fees related to mutual funds. Unsuitable investment recommendation to purchase a Morgan Stanley exchange traded note. Failure to conduct due diligence on alternative investment in breach of fiduciary duty related to a private placement investment. Negligence, unsuitable recommendations and breach of fiduciary duty related to a direct investment in a private placement. Breach of contract and violation of state securities statutes in connection with alternative investments. Damian Bell Red Flags & Your Rights As An Investor Of course, Damian Bell 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 Damian Bell at International Assets Advisory, LLC and WFG Investments, Inc. on alert to review carefully the activity and performance of their accounts and question whether Damian Bell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at International Assets Advisory, LLC and WFG Investments, 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 International Assets Advisory, LLC Due To Damian Bell If you have questions about International Assets Advisory, LLC, WFG Investments, Inc., and/or Damian Bell 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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Jul 26, 2022

Clement Chichester formerly with Western International Securities, Inc.

It’s critical for everyone to understand as much as possible about the people with whom they entrust their money. There are a variety of resources where you can learn more about a person’s background, including past employment history, regulatory disciplinary actions, and consumer complaints. If you have questions regarding Clement Chichester or investment losses you’ve suffered, this important information might be of interest to you. We’ll do everything we can to respond to your inquiries. DID CLEMENT LANCELOT CHICHESTER CAUSE YOU INVESTMENT LOSSES? Clement Chichester Formerly With Western International Securities, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Clement Chichester formerly with Western International Securities, Inc.? Clement Chichester (CRD #1255275) who was formerly registered with Western International Securities, Inc. and located in Westlake Village, California is a subject of one of our many securities industry sales practice abuse investigations. Clement Chichester Customer Complaints Clement Chichester has been the subject of 3 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Two of Clement Chichester’s 3 customer complaints were settled in favor of investors. One of Clement Chichester’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Clement Chichester A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendations of private placements and nontraded REITs. Breach of fiduciary duty, unsuitable investment recommendations and strategies combined with material misrepresentations and omissions related to direct investments. Failure to explain variable annuity transaction. Clement Chichester Red Flags & Your Rights As An Investor Of course, Clement Chichester 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 Clement Chichester at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Clement Chichester 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 Clement Chichester If you have questions about Western International Securities, Inc. and/or Clement Chichester 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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Jun 27, 2022

Carter Mansbach of National Securities Corporation

DID CARTER DAVID MANSBACH CAUSE YOU INVESTMENT LOSSES? Carter Mansbach Of National Securities Corporation And Formerly With Investacorp, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Carter Mansbach of National Securities Corporation? Carter Mansbach (CRD #2275878) who is currently registered with 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 National Securities Corporation, Carter Mansbach was associated with Investacorp, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Carter Mansbach Customer Complaints Carter Mansbach has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Carter Mansbach’s customer complaints was denied and, to date, the customer has not taken any further action.  There is currently 1 pending customer complaint filed against Carter Mansbach’s current employer National Securities Corporation for investment losses caused by the alleged misconduct. Allegations Against Carter Mansbach A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Excessive trading. Misrepresentations and unsuitable investment recommendations regarding over-the-counter stocks. Carter Mansbach Red Flags & Your Rights As An Investor Of course, Carter Mansbach 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 Carter Mansbach at National Securities Corporation and Investacorp, Inc. on alert to review carefully the activity and performance of their accounts and question whether Carter Mansbach has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Securities Corporation and Investacorp, 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 National Securities Corporation Due To Carter Mansbach If you have questions about National Securities Corporation, Investacorp, Inc., and/or Carter Mansbach 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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Jun 27, 2022

Christopher Barletta Formerly With National Securities

DID CHRISTOPHER JOHN BARLETTA CAUSE YOU INVESTMENT LOSSES? Christopher Barletta Formerly With National Securities And Aegis Capital Has 2 Customer Complaints For Alleged Broker Misconduct Who is Christopher Barletta formerly with National Securities? Christopher Barletta (CRD #2690600) who was formerly registered with National Securities and located in Jupiter, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to National Securities, Christopher Barletta was associated with Aegis Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Christopher Barletta Customer Complaints Christopher Barletta has been the subject of 2 customer complaints that we know about.  Both of Christopher Barletta’s 2 customer complaints was settled in favor of investors. Allegations Against Christopher Barletta 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 misrepresentation, unsuitability, and excessive trading by Christopher Barletta. Customer alleged churning, misrepresentation and fraud by Christopher Barletta. Christopher Barletta Red Flags & Your Rights As An Investor Of course, Christopher Barletta 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 Christopher Barletta at National Securities and Aegis Capital on alert to review carefully the activity and performance of their accounts and question whether Christopher Barletta has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Securities and Aegis Capital 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 Christopher Barletta If you have questions about National Securities, Aegis Capital, and/or Christopher Barletta 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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Jun 27, 2022

Alejandro Gonzalez of UBS Financial Services Inc.

DID ALEJANDRO GONZALEZ CAUSE YOU INVESTMENT LOSSES? Alejandro Gonzalez Of UBS Financial Services Inc. And Formerly With EFG Capital International Has A Customer Complaint For Alleged Broker Misconduct Who is Alejandro Gonzalez of UBS Financial Services Inc.? Alejandro Gonzalez (CRD #6961543) who is currently registered with UBS Financial Services Inc. and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services Inc., Alejandro Gonzalez was associated with EFG Capital International and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Alejandro Gonzalez Customer Complaint Alejandro Gonzalez 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 that Alejandro Gonzalez engaged in unauthorized trading and disbursements.Alejandro Gonzalez’s customer complaint was settled in favor of the investors. Alejandro Gonzalez Red Flags & Your Rights As An Investor Of course, Alejandro Gonzalez 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 Alejandro Gonzalez at UBS Financial Services Inc. and EFG Capital International on alert to review carefully the activity and performance of their accounts and question whether Alejandro Gonzalez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. and EFG Capital International 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 UBS Financial Services Inc. Due To Alejandro Gonzalez If you have questions about UBS Financial Services Inc., EFG Capital International and/or Alejandro Gonzalez 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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Jun 27, 2022

Aaron Jasper of Mutual Securities, Inc.

It’s critical for everyone to understand as much about the people with whom they entrust their money as possible. There are several sources where you may discover more about someone’s background, including their prior employment history, regulatory enforcement actions, and client complaints. Aaron Jasper‘s involvement with your investments may raise concerns about his conduct, as well as any potential losses. We’ll do everything we can to address your potential questions. DID AARON T. JASPER CAUSE YOU INVESTMENT LOSSES? Aaron Jasper Of Mutual Securities, Inc. And Formerly With National Financial Services LLC Has 4 Customer Complaints For Alleged Broker Misconduct Who is Aaron Jasper of Mutual Securities, Inc.? Aaron Jasper (CRD #5016734) who is currently registered with Mutual Securities, Inc. and located in Camarillo, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Mutual Securities, Inc., Aaron Jasper was associated with National Financial Services LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Aaron Jasper Customer Complaints Aaron Jasper has been the subject of 4 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. There are currently 4 pending customer complaints filed against Aaron Jasper’s current employer Mutual Securities, Inc. for investment losses caused by the alleged misconduct. Allegations Against Aaron Jasper A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Customer alleged breach of contract, breach of fiduciary duty, negligence, misrepresentations and omissions in connection with managed accounts at Mutual Securities, Inc. Two customer alleged various violations of federal and state securities laws, and FINRA rules relating to stocks, including penny stocks, in her accounts at Mutual Securities, Inc. in 2 federal court actions. Another customer alleged various violations of federal and state securities laws, and FINRA rules in a FINRA arbitration. Aaron Jasper Red Flags & Your Rights As An Investor Of course, Aaron Jasper 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 Aaron Jasper at Mutual Securities, Inc. and National Financial Services LLC on alert to review carefully the activity and performance of their accounts and question whether Aaron Jasper has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Mutual Securities, Inc. and National Financial Services LLC 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 Mutual Securities, Inc. Due To Aaron Jasper If you have questions about Mutual Securities, Inc., National Financial Services LLC, and/or Aaron Jasper 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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