FREE INITIAL CONSULTATION WITH ATTORNEYS WHO CAN HANDLE YOUR SECURITIES, COMMODITIES AND INVESTMENT PROBLEMS

The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities, commodities and investment law matters and constantly strives to secure the most favorable possible result. Mr. Pearce provides a complete review of your case and fully explains your legal options. The firm works to ensure that you have all of the information necessary to make a sound decision before any action is taken in your case.

For dedicated representation by a law firm with substantial experience in all kinds of securities, commodities and investment disputes, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail. We may also be able to arrange a meeting with you at offices located in Boca Raton, Fort Lauderdale, Miami and West Palm Beach, Florida and elsewhere.

Mar 21, 2023

Kristin Jackson of Pruco Securities, LLC

DID KRISTIN PENNOCK JACKSON CAUSE YOU INVESTMENT LOSSES? Kristin Jackson Of Pruco Securities, LLC And Formerly With Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Kristin Jackson Customer Complaint Kristin Jackson has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for failure to fully disclose all the facts regarding the replacement of her policy. Pruco Securities settle the customer complaint in favor of the investor. Kristin Jackson Red Flags & Your Rights As An Investor Of course, Kristin Jackson 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 Kristin Jackson at Pruco Securities, LLC and Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Kristin Jackson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities, LLC and Edward Jones 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Pruco Securities, LLC Due To Kristin Jackson If you have questions about Pruco Securities, LLC, Edward Jones and/or Kristin Jackson and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 21, 2023

Kurt Chase of Cetera Investment Services LLC

DID KURT E CHASE CAUSE YOU INVESTMENT LOSSES? Kurt Chase Of Cetera Investment Services LLC Has 2 Customer Complaints For Alleged Broker Misconduct Kurt Chase Customer Complaints Kurt Chase has been the subject of 2 customer complaints that we know about to recover investment losses. Both customer complaints were denied by Cetera Investment Services and, to date, the customers have not taken any further action. Allegations Against Kurt Chase A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Kurt Chase Red Flags & Your Rights As An Investor Of course, Kurt Chase 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 Kurt Chase at Cetera Investment Services LLC on alert to review carefully the activity and performance of their accounts and question whether Kurt Chase has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Investment Services 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Cetera Investment Services LLC Due To Kurt Chase If you have questions about Cetera Investment Services LLC and/or Kurt Chase and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 21, 2023

Kirk Pickell of Janney Montgomery Scott LLC

DID KIRK EDWARD PICKELL CAUSE YOU INVESTMENT LOSSES? Kirk Pickell Of Janney Montgomery Scott LLC Has 2 Customer Complaints For Alleged Broker Misconduct Kirk Pickell Customer Complaints Kirk Pickell has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by Janney Montgomery Scott in favor of the investor. Kirk Pickell’s former employer denied the other customer complaint and a customer took no further action. Allegations Against Kirk Pickell A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Kirk Pickell Red Flags & Your Rights As An Investor Of course, Kirk Pickell 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 Kirk Pickell at Janney Montgomery Scott LLC on alert to review carefully the activity and performance of their accounts and question whether Kirk Pickell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Janney Montgomery Scott 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Janney Montgomery Scott LLC Due To Kirk Pickell If you have questions about Janney Montgomery Scott LLC and/or Kirk Pickell and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 21, 2023

Kevin McWilliams of SEI Investments Distribution Co.

DID KEVIN PETER MCWILLIAMS CAUSE YOU INVESTMENT LOSSES? Kevin McWilliams Of SEI Investments Distribution Co. And Formerly With Lincoln Investment, Has A Customer Complaint For Alleged Broker Misconduct Kevin McWilliams Customer Complaint Kevin McWilliams has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for the unsuitable investment recommendation of FS Investment Corporation III. LPL Financial settled the customer dispute in favor of the investor. Kevin McWilliams Red Flags & Your Rights As An Investor Of course, Kevin McWilliams did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kevin McWilliams at SEI Investments Distribution Co. and Lincoln Investment on alert to review carefully the activity and performance of their accounts and question whether Kevin McWilliams has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SEI Investments Distribution Co. and Lincoln Investment 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At SEI Investments Distribution Co. Due To Kevin McWilliams If you have questions about SEI Investments Distribution Co., Lincoln Investment and/or Kevin McWilliams and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 20, 2023

Kevin McCoy, II of Cetera Investment Services LLC

DID KEVIN MEREDITH MCCOY II CAUSE YOU INVESTMENT LOSSES? Kevin McCoy, II Of Cetera Investment Services LLC And Formerly With LPL Financial LLC Has 5 Customer Complaints For Alleged Broker Misconduct Kevin McCoy, II Customer Complaints Kevin McCoy, II has been the subject of 5 customer complaints that we know about to recover investment losses. One of the customer complaints was settled by LPL Financial in favor of the investor. The brokerage firm denied the other four customer complaints, and to date, the customers have not taken any further action. Allegations Against Kevin McCoy, II A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Kevin McCoy, II Red Flags & Your Rights As An Investor Of course, Kevin McCoy, II did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kevin McCoy, II at Cetera Investment Services LLC and LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Kevin McCoy, II has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Investment Services LLC and LPL Financial 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Cetera Investment Services LLC Due To Kevin McCoy, II If you have questions about Cetera Investment Services LLC, LPL Financial LLC and/or Kevin McCoy, II and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 20, 2023

Kevin Pasha of J.P. Morgan Securities LLC

DID KEVIN KHADIMALLY PASHA CAUSE YOU INVESTMENT LOSSES? Kevin Pasha Of J.P. Morgan Securities LLC And Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Kevin Pasha Customer Complaint Kevin Pasha has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for unsuitable investment recommendations related to a mutual fund investment. The customer complaint was denied by J.P. Morgan securities and, to date, the customer has not taken any further action. Kevin Pasha Red Flags & Your Rights As An Investor Of course, Kevin Pasha did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kevin Pasha at J.P. Morgan Securities LLC and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Kevin Pasha has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities LLC 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At J.P. Morgan Securities LLC Due To Kevin Pasha If you have questions about J.P. Morgan Securities LLC, Morgan Stanley and/or Kevin Pasha and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 19, 2023

What is a Broker CRD Number?

CRD, or Central Registration Depository, is a comprehensive database maintained by FINRA of all registered securities professionals and firms, providing an invaluable resource for investors. Investors can use a CRD number to access information about any broker or investment advisor, including their employment history, qualifications, examinations taken and passed, licenses held, disciplinary actions and more. Brokers and brokerage firms must register with the Financial Industry Regulatory Authority (FINRA) before they can legally sell securities in the United States. By maintaining a registration system, FINRA can better monitor and record the activities of registered brokers. These registrations are also open to the public, so investors can review the backgrounds of potential brokers before entrusting them with their money. You can look up your broker and brokerage firm by using their unique CRD (Central Registration Depository) number. What Is a Broker CRD Number? CRD stands for the Central Registration Depository. CRD numbers are unique identification numbers assigned by FINRA to registered brokers and brokerage firms. You can use the CRD number to look up a broker or brokerage firm’s disciplinary history, qualifications and other detailed information. Investment Losses? Let’s Talk. or, give us a ring at 800-732-2889. Central Registration Depository (CRD) & FINRA FINRA manages the Central Registration Depository (CRD) program. This program covers the licensing and registration of individuals and firms in the securities industry in the United States. When a broker or firm registers with FINRA, the regulator assigns them a CRD number. Investors can use a broker’s CRD number to check that broker’s work history and disciplinary record using BrokerCheck.  A broker’s profile on BrokerCheck will contain useful information for investors. On any given profile, investors can find information related to Complaints and regulatory actions are called “disclosures,” and investors can see details about each one using BrokerCheck. If the claim was settled, BrokerCheck displays the settlement along with the claimed allegations and the broker’s response, if any. Why It’s Important to Investigate a Potential Broker An investment broker is responsible for handling a significant portion of your assets. For that reason, you should learn as much about them as possible before giving them control. Doing your research before handing over your money can save you time and stress in the long run by helping you avoid unscrupulous brokers. If a broker’s disclosure history shows several complaints, each of which the broker denies, you can make the decision to move on or bring up your concerns. In any case, having more information about your broker’s past allows you to make a smarter decision about who is managing your money. How to Find a Broker’s CRD Number Before engaging a broker, you have the legal right to request their CRD number. If a broker refuses to provide this information to you, stop and find another broker to work with. Any broker unwilling to give you their CRD number likely has something to hide and is probably not someone with whom you want to invest. While asking your broker directly is the fastest way to get their CRD number, the information materials and agreement you receive before engaging your broker will likely contain this information as well. Regardless of how you obtain it, searching your broker’s CRD number is an important step when hiring a broker. How to Do a FINRA BrokerCheck CRD Number Search Finding information about a broker or firm in the past used to be a hassle. Fortunately, BrokerCheck makes it easy to research a broker with whom you want to invest. After visiting the BrokerCheck website, there are a few things you can do to check out a broker or firm. Search by CRD Number, Broker, or Firm Name Using the “Individual” or “Firm” search options, you can search for your broker by CRD number or name. Because many brokers may have the same or similar names, using a CRD number ensures that you find the right BrokerCheck report. You can also search for a specific brokerage firm using its CRD number or name. Doing so will return a report with much the same information as a broker search. Additionally, you can see a list of the direct owners and executive officers of the firm and information about when the firm was established. Examine Your Broker’s Employment History and Experience In the “Previous Registrations” section of the BrokerCheck report, you can see a chronological list of the firms with which the broker was previously registered. If you are concerned about gaps in employment or short tenures, you can discuss them with your broker. Check Your Broker’s Licenses and Exam History BrokerCheck also provides a comprehensive list of the examinations and licenses your broker has obtained. In addition to FINRA registration, your broker may have broker or financial adviser registrations in other states. The “Examinations” section shows you the date and type of exam your broker passed. If you are interested in a specific type of security or curious about the broker’s overall certification status, you can check that there. Read Through Any Disclosures BrokerCheck disclosures cover not only customer disputes and disciplinary actions but employment terminations, bankruptcy filings, and criminal and civil proceedings as well. If a broker was the subject of a court-ordered lien or other debt, it will show up with the other disclosures. This is the most important section to review while researching your broker. If there are no disclosures, then you’re good to go. If there are, however, then you should read through them carefully to decide whether to find another broker. Just because a customer dispute is filed does not mean that the broker engaged in wrongdoing. In many cases, the claim may not even reference the individual broker directly even if it shows up in the BrokerCheck report. Essentially, the existence of one or more disclosures does not automatically mean that the broker is bad. You should review and follow up on any disclosures you are concerned about. Do You Need a FINRA Attorney? If you’ve lost money and believe you are a...

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Mar 19, 2023

Kevin Gates of NYLife Securities LLC

DID KEVIN DOUGLAS GATES CAUSE YOU INVESTMENT LOSSES? Kevin Gates Of NYLife Securities LLC Has 2 Customer Complaints For Alleged Broker Misconduct Kevin Gates Customer Complaints Kevin Gates has been the subject of 2 customer complaints that we know about to recover investment losses. Both of the customer complaints were denied by Kevin Gates’ employer. To date, the customers have not filed any arbitration proceeding or taken any further action to recover their alleges losses. Allegations Against Kevin Gates A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Kevin Gates Red Flags & Your Rights As An Investor Of course, Kevin Gates did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kevin Gates at NYLife Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Kevin Gates has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLife 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At NYLife Securities LLC Due To Kevin Gates If you have questions about NYLife Securities LLC and/or Kevin Gates and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 19, 2023

Kevin Butler of Morgan Stanley

DID KEVIN ANTHONY BUTLER CAUSE YOU INVESTMENT LOSSES? Kevin Butler Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Kevin Butler Customer Complaint Kevin Butler has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for erroneous trading, execution errors, failure to properly execute a trade and negligent management in a FINRA arbitration proceeding. The arbitrators entered an award against Morgan Stanley and Mr. Butler jointly and severally totaling over $165,000. Kevin Butler Red Flags & Your Rights As An Investor Of course, Kevin Butler did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kevin Butler at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Kevin Butler has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Kevin Butler If you have questions about Morgan Stanley and/or Kevin Butler and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 19, 2023

Ketan Patel of Allstate Financial Services, LLC

DID KETAN CHHAGANLAL PATEL CAUSE YOU INVESTMENT LOSSES? Ketan Patel Of Allstate Financial Services, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Ketan Patel Customer Complaints Ketan Patel has been the subject of 3 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled by Allstate Financial Services and Metlife in favor of the investors. The other customer complaint was denied and to date, the customer has not taken any further action. Allegations Against Ketan Patel A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Ketan Patel Red Flags & Your Rights As An Investor Of course, Ketan Patel 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 Ketan Patel at Allstate Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Ketan Patel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Allstate Financial Services, 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Allstate Financial Services, LLC Due To Ketan Patel If you have questions about Allstate Financial Services, LLC and/or Ketan Patel 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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