Mar 8, 2022

Scott Dorer of Securities America

DID SCOTT DORER CAUSE YOU INVESTMENT LOSSES? Scott Dorer Of Securities America, Inc., Managed Money Concepts Has A Customer Complaint For Alleged Broker Misconduct Who is Scott Dorer of Securities America, Inc.? Scott Dorer (CRD #1561880) who is currently registered with Securities America, Inc., Managed Money Concepts and located in Lansing, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Scott Dorer Customer Complaint Scott Dorer 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 breach of contract; breach of fiduciary duty; and breach of duty of good faith, loyalty and fair dealing relating to the withdrawal of funds from advisory account. The customer complaint filed against Scott Dorer’s current employer Securities America for investment losses caused by the alleged misconduct is pending as of the date of this report. Scott Dorer Red Flags & Your Rights As An Investor Of course, Scott Dorer 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 Scott Dorer at Securities America, Inc. and Managed Money Concepts on alert to review carefully the activity and performance of their accounts and question whether Scott Dorer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America, Inc. and Managed Money Concepts 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 Securities America, Inc. Due To Scott Dorer If you have questions about Securities America, Inc., Managed Money Concepts, and/or Scott Dorer 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 8, 2022

James Hager of Securities America

DID JAMES LESTER HAGER JR CAUSE YOU INVESTMENT LOSSES? James Hager Of Securities America, Securities America Advisors And Formerly With Woodbury Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Hager of Securities America? James Hager (CRD #2892679) who is currently registered with Securities America, Securities America Advisors and located in Cary, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securities America and Securities America Advisors, James Hager was associated with Woodbury Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Hager Customer Complaints James Hager 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 James Hager’s 2 customer complaints was settled in favor of investors.  One of James Hager’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against James Hager A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Hager’s alleged breach of fiduciary duty, breach of contract, negligence, negligent supervision with regard to the sale of REITs. Client alleged James Hager misrepresented the features and benefits of an Allianz annuity purchased. James Hager Red Flags & Your Rights As An Investor Of course, James Hager 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 James Hager at Securities America, Securities America Advisors and Woodbury Financial Services on alert to review carefully the activity and performance of their accounts and question whether James Hager has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America, Securities America Advisors and Woodbury Financial 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 Securities America Due To James Hager If you have questions about Securities America, Securities America Advisors, Woodbury Financial Services, and/or James Hager 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 8, 2022

John O’Hagan of Securities America

DID JOHN JOSEPH O’HAGAN CAUSE YOU INVESTMENT LOSSES? John O’Hagan Of Securities America And Formerly With KMS Financial Services And Purshe Kaplan Sterling Investments Has 2 Customer Complaints For Alleged Broker Misconduct Who is John O’Hagan of Securities America? John O’Hagan (CRD #1754256) who is currently registered with Securities America and located in Bethlehem, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securities America, John O’Hagan was associated with KMS Financial Services, Purshe Kaplan Sterling Investments and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John O’Hagan Customer Complaints John O’Hagan 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 John O’Hagan’s 2 customer complaints was settled in favor of investors. One of John O’Hagan’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against John O’Hagan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client and John O’Hagan allegedly were negotiating advisory fee and that he wanted to terminate the agreement and self manage.  John O’Hagan sold all positions and closed the account. Client alleged that he did not request sale of positions and only wanted to terminate his advisory agreement. Client sent text messages to John O’Hagan alleging that stop losses requested were not put in place on their holdings. Also questioned quality of specific stock picks and size of individual holdings. John O’Hagan Red Flags & Your Rights As An Investor Of course, John O’Hagan 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 John O’Hagan at Securities America, KMS Financial Services and Purshe Kaplan Sterling Investments on alert to review carefully the activity and performance of their accounts and question whether John O’Hagan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America, KMS Financial Services and Purshe Kaplan Sterling Investments 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 Securities America Due To John O’Hagan If you have questions about Securities America, KMS Financial Services, Purshe Kaplan Sterling Investments, and/or John O’Hagan 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 8, 2022

Luann Chapmangatts of Securities America

DID LUANN CHAPMANGATTS CAUSE YOU INVESTMENT LOSSES? Luann Chapmangatts Of Securities America, Securities America Advisors And Formerly With LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Luann Chapmangatts of Securities America? Luann Chapmangatts (CRD #2456294) who is currently registered with Securities America, Securities America Advisors and located in Grapevine, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securities America, Securities America Advisors, Luann Chapmangatts was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Luann Chapmangatts Customer Complaint Luann Chapmangatts has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were the plaintiff alleges that the representative mishandled beneficiary change forms and made misrepresentations when the change forms were received causing the plaintiff to lose one half of the inheritance at issue. Allegations include breach of fiduciary duty, negligent undertaking, negligent representation and gross negligence. The customer complaint filed against LPL Financial and Securities America for investment losses caused by the alleged misconduct is pending as of the date of this report. Luann Chapmangatts Red Flags & Your Rights As An Investor Of course, Luann Chapmangatts 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 Luann Chapmangatts at Securities America, Securities America Advisors and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Luann Chapmangatts has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America, Securities America Advisors and LPL Financial 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 Securities America Due To Luann Chapmangatts If you have questions about Securities America, Securities America Advisors, LPL Financial, and/or Luann Chapmangatts 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 8, 2022

Craig Senn of Securities America

DID CRAIG SMITH SENN CAUSE YOU INVESTMENT LOSSES? Craig Senn Of Securities America, Securities America Advisors Has 4 Customer Complaints For Alleged Broker Misconduct Who is Craig Senn of Securities America? Craig Senn (CRD #866245) who is currently registered with Securities America, Securities America Advisors and located in Mendota Heights, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Craig Senn Customer Complaints Craig Senn has been the subject of 4 customer complaints that we know about. One of Craig Senn’s 4 customer complaints was settled in favor of investors. Three of Craig Senn’s customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against Craig Senn A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged that two ING variable annuities were sold with an income rider by Craig Senn, however, the contracts were not issued with the income rider discussed. Customer also alleges the contracts were not delivered to him. Customer alleged Craig Senn failed to place trades to reallocate funds in an ING variable annuity. The client alleged that Craig Senn’s recommendation to purchase a variable annuity was not suitable. The complaint alleged that in the sale of Allianz Vision variable annuities, Craig Senn misrepresented the tax benefit of using a tax deferred annuity within a 401(k) plan, and that he misrepresented that the product guaranteed a 7% return and certain guarantees locking in values on the contract anniversary dates, and that participants did not receive policies or account statements for approximately one year. The complaint also alleges that in four contracts, employees instructed that funds be exchanged from a money market subaccount to various other subaccounts, and that Allianz rebalanced each contract entirely back to the money market. Craig Senn Red Flags & Your Rights As An Investor Of course, Craig Senn 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 Craig Senn at Securities America and Securities America Advisors on alert to review carefully the activity and performance of their accounts and question whether Craig Senn has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America and Securities America Advisors 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 Securities America Due To Craig Senn If you have questions about Securities America, Securities America Advisors, and/or Craig Senn 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 7, 2022

Julia Miller of Securities America

DID JULIA BROWNLEE MILLER CAUSE YOU INVESTMENT LOSSES? Julia Miller Of Securities America And Securities America Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Julia Miller of Securities America? Julia Miller (CRD #5592071) who is currently registered with Securities America, Securities America Advisors and located in Sarasota, Florida is a subject of one of our many securities industry sales practice abuse investigations. Julia Miller Customer Complaint Julia Miller 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 claimants alleged that the representative (Miller) was assigned to their account and claimed that the account held unsuitable investments in REITs, annuities and certain speculative companies which were recommended to them by another individual (St. George). Allegations against all respondents include unsuitability, misrepresentation, fraud, breach of fiduciary duty and breach of contract. Julia Miller’s customer complaint was settled in favor of the investors. Julia Miller Red Flags & Your Rights As An Investor Of course, Julia Miller 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 Julia Miller at Securities America and Securities America Advisors on alert to review carefully the activity and performance of their accounts and question whether Julia Miller has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America and Securities America Advisors 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 Securities America Due To Julia Miller If you have questions about Securities America, Securities America Advisors, and/or Julia Miller 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 7, 2022

Adam Henley of Securities America

DID ADAM DAVID HENLEY CAUSE YOU INVESTMENT LOSSES? Adam Henley Of Securities America And Securities America Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Adam Henley of Securities America? Adam Henley (CRD #4407698) who is currently registered with Securities America, Securities America Advisors and located in Jeffersonville, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Adam Henley Customer Complaint Adam Henley has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that after briefly discussing the possibility of generating a monthly income plan, Adam Henley placed unauthorized trades within the client’s account which resulted in a loss to his portfolio. Adam Henley’s customer complaint was denied and, to date, the customer has not taken any further action. Adam Henley Red Flags & Your Rights As An Investor Of course, Adam Henley 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 Adam Henley at Securities America and Securities America Advisors on alert to review carefully the activity and performance of their accounts and question whether Adam Henley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America and Securities America Advisors 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 Securities America Due To Adam Henley If you have questions about Securities America, Securities America Advisors, and/or Adam Henley and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 4, 2022

Robert Kasten of Securities America, Inc

DID ROBERT WILLIAM KASTEN CAUSE YOU INVESTMENT LOSSES? Robert William Kasten with Securities America, Inc., Formerly First Allied Securities, Inc. Has 3 Customer Complaints for Alleged Broker Misconduct In the Past Year Who is Robert W. Kasten with Securities America, Inc.? Robert Kasten (CRD #1009160) who is currently registered with Securities America, Inc. and located in League City, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securities America, Inc., Robert Kasten was associated with First Allied Securities, Inc. and 12 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. First Allied Securities, Inc. Broker Misconduct In his career, Robert Kasten has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. All of the complaints filed against Robert Kasten’s former employer First Allied Securities, Inc. for investment losses caused by his alleged misconduct are currently pending. Allegations Against Robert Kasten A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege the financial advisor improperly solicited an investment in an unapproved outside securities transaction.  The product type is identified as a direct investment DPP & LP interests. The claimant alleges her financial advisors improperly solicited an investment in an unapproved outside securities transaction that was unsuitable, fraudulent, and in breach of the financial advisor’s fiduciary duty. Robert Kasten Red Flags & Your Rights as An Investor Of course, Robert Kasten did not admit to any of the allegations.  In fact, he claims were not even an advisor with respect to one of the complaints.  Notwithstanding, his former employer reported the complaint as against him. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Robert Kasten at Securities America, Inc. and First Allied Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Robert Kasten has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Allied Securities, Inc. 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 Securities America, Inc. And First Allied Securities, Inc. If you have questions about Securities America, Inc., First Allied Securities, Inc., and/or Robert Kasten and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 4, 2022

Thomas Zitzmann of Securities America

DID THOMAS ZITZMANN CAUSE YOU INVESTMENT LOSSES? Thomas Zitzmann Of Securities America And Formerly With KMS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Thomas Zitzmann of Securities America? Thomas Zitzmann (CRD #4603874) who is currently registered with Securities America and located in Anchorage, Alaska is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securities America, Thomas Zitzmann was associated with KMS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Thomas Zitzmann Customer Complaint Thomas Zitzmann 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. Client was frustrated about delays associated with transferring assets from Nassau RE to Pershing. The customer complaint filed against Thomas Zitzmann’s former employer KMS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Thomas Zitzmann Red Flags & Your Rights As An Investor Of course, Thomas Zitzmann 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 Thomas Zitzmann at Securities America and KMS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Thomas Zitzmann has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America and KMS Financial Services 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 Securities America Due To Thomas Zitzmann If you have questions about Securities America, KMS Financial Services, and/or Thomas Zitzmann and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Feb 23, 2022

Benjamin Hoehler of Securities America, Inc.

DID BENJAMIN HOEHLER CAUSE YOU INVESTMENT LOSSES? Benjamin Hoehler Of Securities America, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Benjamin Hoehler of Securities America, Inc.? Benjamin Hoehler (CRD #5159652) who is currently registered with Securities America, Inc. and located in Louisville, Kentucky is a subject of one of our many securities industry sales practice abuse investigations. Benjamin Hoehler Customer Complaint Benjamin Hoehler has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unsuitable and misrepresentations regarding mutual fund investments. Benjamin Hoehler’s customer complaint was settled in favor of the investors.  Benjamin Hoehler Red Flags & Your Rights As An Investor Of course, Benjamin Hoehler 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 Benjamin Hoehler at Securities America, Inc. on alert to review carefully the activity and performance of their accounts and question whether Benjamin Hoehler has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America, Inc. 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 Securities America, Inc. Due To Benjamin Hoehler If you have questions about Securities America, Inc. and/or Benjamin Hoehler 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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