Nov 23, 2022

Dennis Hanrahan of Spartan Capital Securities, LLC

DID DENNIS CHRISTOPHER HANRAHAN CAUSE YOU INVESTMENT LOSSES? Dennis Hanrahan Of Spartan Capital Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Dennis Hanrahan of Spartan Capital Securities, LLC? Dennis Hanrahan (CRD #3004868) who is currently registered with Spartan Capital Securities, LLC and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations.   Dennis Hanrahan Customer Complaints Dennis Hanrahan 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 Dennis Hanrahan’s 2 customer complaints was settled in favor of the investor. One of Dennis Hanrahan’s customer complaints was denied, and, to date, the customer has not taken any further action. Allegations Against Dennis Hanrahan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Misrepresentation and unsuitable investment recommendations. Unauthorized transactions in client’s account. Dennis Hanrahan’s Red Flags & Your Rights As An Investor Of course, Dennis Hanrahan 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 Hanrahan at Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Dennis Hanrahan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital 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 Spartan Capital Securities, LLC Due To Dennis Hanrahan If you have questions about Spartan Capital Securities, LLC and/or Dennis Hanrahan 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 15, 2022

David Cohen of Craft Capital Management LLC

DID DAVID MATTHEW COHEN CAUSE YOU INVESTMENT LOSSES? David Cohen Of Craft Capital Management LLC And Formerly With Spartan Capital Securities, LLC Has 5 Customer Complaints For Alleged Broker Misconduct Who is David Cohen of Craft Capital Management LLC? David Cohen (CRD #5858234) who is currently registered with Craft Capital Management LLC and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Craft Capital Management LLC, David Cohen was associated with Spartan Capital Securities, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Cohen Customer Complaints David Cohen has been the subject of 5 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Four of David Cohen’s 5 customer complaints were settled in favor of investors. One of David Cohen’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against David Cohen A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable trading in common and preferred stocks Excessive commissions, unauthorized trading, and failure to place stop loss order Unauthorized trading Excessive trading and improper use of margin account Misrepresentation of account value David Cohen Red Flags & Your Rights As An Investor Of course, David Cohen 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 Cohen at Craft Capital Management LLC and Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether David Cohen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Craft Capital Management LLC and Spartan Capital 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 Craft Capital Management LLC Due To David Cohen If you have questions about Craft Capital Management LLC, Spartan Capital Securities, LLC, and/or David Cohen 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 Cullen of Spartan Capital Securities

DID JOHN M. CULLEN CAUSE YOU INVESTMENT LOSSES? John Cullen Of Spartan Capital Securities Has 3 Customer Complaints For Alleged Broker Misconduct Who is John Cullen of Spartan Capital Securities? John Cullen (CRD #5062835) who is currently registered with Spartan Capital Securities and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations. John Cullen Customer Complaints John Cullen has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of John Cullen’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Spartan Capital Securities for investment losses caused by John Cullen’s alleged misconduct. Allegations Against John Cullen 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 John Cullen’s over concentration of certain investments in his account was an appropriate. Misrepresentation and unsuitable recommendations by John Cullen. John Cullen’s unsuitable investment recommendations and excessive trading. John Cullen Red Flags & Your Rights As An Investor Of course, John Cullen 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 Cullen at Spartan Capital Securities on alert to review carefully the activity and performance of their accounts and question whether John Cullen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Spartan Capital Securities Due To John Cullen If you have questions about Spartan Capital Securities and/or John Cullen 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

Stephen Sullivan of Spartan Capital Securities

DID STEPHEN JAMES SULLIVAN CAUSE YOU INVESTMENT LOSSES? Stephen Sullivan Of Spartan Capital Securities And Formerly With SW Financial, Worden Capital Management And Newbridge Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Stephen Sullivan of Spartan Capital Securities? Stephen Sullivan (CRD #3123249) who is currently registered with Spartan Capital Securities and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Spartan Capital Securities, Stephen Sullivan was associated with SW Financial, Worden Capital Management, Newbridge Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Stephen Sullivan set his own share regulatory problems.  In 2016, he consented to a 10 day suspension and $5,000 fine, without admitting or denying the allegations, by FINRA that he exercise discretion in clients accounts without obtaining prior written authorization from his customers to exercise discretion in their accounts or obtain approval from member firm to engage in discretionary trading. Stephen Sullivan Customer Complaints Stephen Sullivan has been the subject of 2 customer complaints that we know about. One of Stephen Sullivan’s 2 customer complaints was settled in favor of investors. One of Stephen Sullivan’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Stephen Sullivan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged Stephen Sullivan’s excessive trading, unauthorized trading, and unsuitable transactions were executed in account. Also alleged were fraud, negligence, breach of contract, and breach of fiduciary duty. Client alleged Stephen Sullivan’s unauthorized trade for 2,000 shares GDP. Stephen Sullivan Red Flags & Your Rights As An Investor Of course, Stephen Sullivan did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Stephen Sullivan at Spartan Capital Securities, SW Financial, Worden Capital Management, and Newbridge Securities on alert to review carefully the activity and performance of their accounts and question whether Stephen Sullivan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities, SW Financial, Worden Capital Management, and Newbridge Securities also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Spartan Capital Securities Due To Stephen Sullivan If you have questions about Spartan Capital Securities, SW Financial, Worden Capital Management, Newbridge Securities, and/or Stephen Sullivan and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Marc Reda of Spartan Capital Securities

DID MARC REDA CAUSE YOU INVESTMENT LOSSES? Marc Reda Of Spartan Capital Securities, LLC And Formerly With First Standard Financial Company And PHX Financial Has 12 Customer Complaints For Alleged Broker Misconduct Who is Marc Reda of Spartan Capital Securities, LLC? Marc Reda (CRD #2757330) 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, Marc Reda was associated with First Standard Financial Company, PHX Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Marc Reda Customer Complaints Marc Reda has been the subject of 12 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One arbitration award was entered against Spartan Capital Securities for Marc Reda’s alleged misconduct causing investors losses. Eight of Marc Reda’s 12 customer complaints were settled in favor of investors. Two of Marc Reda’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Spartan Capital Securities, LLC for investment losses caused by Marc Reda’s alleged misconduct. Marc Reda has had his own share of regulatory problems. He was sanctioned by FINRA and 2017 for allegedly exercising discretion, and customer’s accounts without written authorization from the customers and without having obtained his member firm’s approval to treat those accounts is discretionary. He also allegedly failed to disclose a federal tax lien filed against him in the amount of $575,101. Without admitting or denying the allegations Marc Reda consented to a suspension for 3 months and a $5000 fine. Allegations Against Marc Reda A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Marc Reda’s alleged Breach of Fiduciary Duty, Unsuitable recommendations. Client alleged that Marc Reda did not place two stop loss orders as agreed resulting in losses. Client alleged Marc Reda’s unauthorized trading and breach of fiduciary duty. Client contacted the firm and stated to the firm that certain transactions executed shortly after opening her account were unauthorized allegedly by Marc Reda. Client stated in an email forwarded to compliance that there was failure by Marc Reda allegedly to follow instructions, unauthorized trades, poor communication and over concentration of investments in his accounts. Customer claimed Marc Reda’s alleged unauthorized sale of Penn Octane shares. Inappropriate management of customer account by Marc Reda allegedly at the time, while charging excessive commissions. An email from customer was sent to Phoenix Financials’ operations department. The email stated to give a third party decision making authorization over customer’s account. It additionally alleged Marc Reda was trading without authorization. Customer forwarded an email to his broker Marc Reda allegedly stating he did not authorize the purchase of ALRM which were purchased in two blocks of 5000 shares. Marc Reda allegedly was a subject of the customer’s complaint against his member firm that asserted the following causes of action: unauthorized trading and churning. The client alleged that Marc Reda sold a security in his account and purchased another security without authorization. The following day customer wrote a letter rescinding his complaint against Mr. Reda. No time frame mentioned/associated with individual claimant in statement of claim (SOC). Allegations: alleging misrepresentation and unsuitable recommendations by Marc Reda. Marc Reda Red Flags & Your Rights As An Investor Of course, Marc Reda 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 Marc Reda at Spartan Capital Securities, LLC, First Standard Financial Company, and PHX Financial on alert to review carefully the activity and performance of their accounts and question whether Marc Reda has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities, LLC, First Standard Financial Company, and PHX Financial 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 Spartan Capital Securities, LLC Due To Marc Reda If you have questions about Spartan Capital Securities, LLC, First Standard Financial Company, PHX Financial, and/or Marc Reda 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 Pecoraro of Spartan Capital Securities

DID JAMES ROBERT PECORARO CAUSE YOU INVESTMENT LOSSES? James Pecoraro Of Spartan Capital Securities And Formerly With SW Financial, Primary Capital And Rockwell Global Capital Has 10 Customer Complaints For Alleged Broker Misconduct Who is James Pecoraro of Spartan Capital Securities? James Pecoraro (CRD #2440231) who is currently registered with Spartan Capital Securities and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Spartan Capital Securities, James Pecoraro was associated with SW Financial, Primary Capital, Rockwell Global Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Pecoraro has had his own share regulatory problems.  There are 5 regulatory events reported on his BrokerCheck report.  He was investigated by FINRA, and the states of Illinois, Colorado, and New Jersey.  Colorado suspended him for 3 years.  Illinois and New Jersey denied him a license to sell securities in those states.  FINRA suspended him for 30 days and fined him $10,000 for allegedly engaging in excessive trading activity in customer’s accounts. James Pecoraro Customer Complaints James Pecoraro has been the subject of 10 customer complaints that we know about. One of James Pecoraro’s 10 customer complaints resulted in an arbitration award in favor of the investor. Five of James Pecoraro’s 10 customer complaints were settled in favor of investors. Four of James Pecoraro’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against James Pecoraro A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Breach of fiduciary duty, Negligence, Reckless and/or Willful Misconduct, Gross Negligence, Breach of Contract allegedly by James Pecoraro. Claimant alleged James Pecoraro’s mishandling of his account. Client alleged James Pecoraro’s sale of security without permission, unsuitability of recommendations, and dissatisfaction with performance of recommendations. Customer alleged that James Pecoraro engaged in negligence, unsuitable investments, fraud, breach of fiduciary duty, unauthorized transactions and misrepresentation. James Pecoraro’s alleged poor performance. James Pecoraro’s alleged type change margin to cash. Unauthorized trades, commission and margin allegedly by James Pecoraro. James Pecoraro’s alleged unauthorized trading. Unauthorized trading, unsuitable securities, churning, fraud, and breach of fiduciary duty allegedly by James Pecoraro. Unauthorized trading allegedly by James Pecoraro. James Pecoraro Red Flags & Your Rights As An Investor Of course, James Pecoraro 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 Pecoraro at Spartan Capital Securities, SW Financial, Primary Capital, and Rockwell Global Capital on alert to review carefully the activity and performance of their accounts and question whether James Pecoraro has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities, SW Financial, Primary Capital, and Rockwell Global 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 Spartan Capital Securities Due To James Pecoraro If you have questions about Spartan Capital Securities, SW Financial, Primary Capital, Rockwell Global Capital, and/or James Pecoraro 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

Tariq Sales of Spartan Capital Securities

DID TARIQ MUHAMMED SALES CAUSE YOU INVESTMENT LOSSES? Tariq Sales Of Spartan Capital Securities And Formerly With Newbridge Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Tariq Sales of Spartan Capital Securities? Tariq Sales (CRD #2851440) who is currently registered with Spartan Capital Securities 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, Tariq Sales was associated with Newbridge Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Tariq Sales Customer Complaint Tariq Sales 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 breach of fiduciary duty; breach of contract and negligence. The customer complaint filed against Tariq Sales’ former employer Aegis Capital for investment losses caused by the alleged misconduct is pending as of the date of this report. Tariq Sales Red Flags & Your Rights As An Investor Of course, Tariq Sales 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 Tariq Sales at Spartan Capital Securities and Newbridge Securities on alert to review carefully the activity and performance of their accounts and question whether Tariq Sales has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities and Newbridge 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 Spartan Capital Securities Due To Tariq Sales If you have questions about Spartan Capital Securities, Newbridge Securities, and/or Tariq Sales 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

Kieran Loughran of Spartan Capital Securities

DID KIERAN JOHN LOUGHRAN CAUSE YOU INVESTMENT LOSSES? Kieran Loughran Of Spartan Capital Securities Has 5 Customer Complaints For Alleged Broker Misconduct Who is Kieran Loughran of Spartan Capital Securities? Kieran Loughran (CRD #2826208) who is currently registered with Spartan Capital Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Kieran Loughran Customer Complaints Kieran Loughran has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of Kieran Loughran’s 5 customer complaints were settled in favor of investors. One of Kieran Loughran’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Spartan Capital Securities for investment losses caused by Kieran Loughran’s alleged misconduct. Allegations Against Kieran Loughran A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged Kieran Loughran’s misrepresentation and over concentration of certain securities in an account. The client sent in an e-mail disputing a purchase allegedly by Kieran Loughran that resulted in a loss generating margin calls in the clients account. Kieran Loughran’s alleged Suitability, Unauthorized Trading, Negligence, Breach of Fiduciary Duty, and Misrepresentation to a customer. Suitability, unauthorized trading, negligence, breach of fiduciary duty, and misrepresentation allegedly by Kieran Loughran. Kieran Loughran allegedly made misrepresentations and unsuitable recommendations. Kieran Loughran Red Flags & Your Rights As An Investor Of course, Kieran Loughran 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 Kieran Loughran at Spartan Capital Securities on alert to review carefully the activity and performance of their accounts and question whether Kieran Loughran has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Spartan Capital Securities Due To Kieran Loughran If you have questions about Spartan Capital Securities and/or Kieran Loughran 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

Timothy Higgins formerly with Spartan Capital Securities

DID TIMOTHY PATRICK HIGGINS CAUSE YOU INVESTMENT LOSSES? Timothy Higgins Formerly With Spartan Capital Securities And Clark Dodge & Co. Has 9 Customer Complaints For Alleged Broker Misconduct Who is Timothy Higgins formerly with Spartan Capital Securities? Timothy Higgins (CRD #2282547) who was formerly registered with Spartan Capital Securities and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Spartan Capital Securities, Timothy Higgins was associated with Clark Dodge & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Timothy Higgins Customer Complaints Timothy Higgins has been the subject of 9 customer complaints that we know about. Eight of Timothy Higgins’ 6 customer complaints were settled in favor of investors. One of Timothy Higgins’ customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Timothy Higgins A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged unsuitable investment recommendations. Customer allege sales practice violations. Breach of Contract, Unsuitability, Excessive Trading, Unauthorized Trading. Customer alleged Timothy Higgins engaged in unauthorized trading. Timothy Higgins Red Flags & Your Rights As An Investor Of course, Timothy Higgins 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 Timothy Higgins at Spartan Capital Securities and Clark Dodge & Co. on alert to review carefully the activity and performance of their accounts and question whether Timothy Higgins has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities and Clark Dodge & Co. 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 Spartan Capital Securities Due To Timothy Higgins If you have questions about Spartan Capital Securities, Clark Dodge & Co., and/or Timothy Higgins 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

Michael Hill of SagePoint Financial

DID MICHAEL GLEN HILL CAUSE YOU INVESTMENT LOSSES? Michael Hill Of SagePoint Financial Has 5 Customer Complaints For Alleged Broker Misconduct Who is Michael Hill of SagePoint Financial? Timothy Higgins (CRD #2282547) who was formerly registered with Spartan Capital Securities and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Spartan Capital Securities, Timothy Higgins was associated with Clark Dodge & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Hill Customer Complaints Michael Hill has been the subject of 5 customer complaints that we know about. All of Michael Hill’s 5 customer complaints were settled in favor of investors. Allegations Against Michael Hill A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged that Michael Hill misrepresented the customer’s ability to roll over his Van Kampen UIT without reducing the number of shares owned. Client alleged Michael Hill misrepresented the REIT investment and did not explain that the investment was illiquid. Clients alleged Michael Hill’s REIT investments were not suitable. Clients alleged Michael Hill’s investments were unsuitable and misrepresented to them. Clients alleged Michael Hill’s investments were unsuitable and misrepresented to them. Michael Hill Red Flags & Your Rights As An Investor Of course, Michael Hill 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 Hill at SagePoint Financial on alert to review carefully the activity and performance of their accounts and question whether Michael Hill has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SagePoint Financial 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 SagePoint Financial Due To Michael Hill If you have questions about SagePoint Financial and/or Michael Hill 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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