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

Eugene Glabik Formerly With Spartan Capital Securities

DID EUGENE ANTHONY GLABIK CAUSE YOU INVESTMENT LOSSES? Eugene Glabik Formerly With Spartan Capital Securities, Paulson Investment Company and Worden Capital Management Has A Customer Complaint For Alleged Broker Misconduct Who is Eugene Glabik formerly with Spartan Capital Securities? Eugene Glabik (CRD #2757205) who was formerly 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, Eugene Glabik was associated with Paulson Investment Company, Worden Capital Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Eugene Glabik Customer Complaint Eugene Glabik 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 alleged negligence and unsuitability, failure to supervise, breach of fiduciary duty, breach of contract, and negligent misrepresentation and omissions. The customer complaint filed against Eugene Glabik’s former employer Worden Capital Management for investment losses caused by the alleged misconduct is pending as of the date of this report. Eugene Glabik Red Flags & Your Rights As An Investor Of course, Eugene Glabik 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 Eugene Glabik at Spartan Capital Securities, Paulson Investment Company, and Worden Capital Management on alert to review carefully the activity and performance of their accounts and question whether Eugene Glabik has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities, Paulson Investment Company, and Worden Capital Management 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 Eugene Glabik If you have questions about Spartan Capital Securities, Paulson Investment Company, Worden Capital Management, and/or Eugene Glabik 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

Juan Alejos Formerly With Spartan Capital Securities

DID JUAN C. ALEJOS CAUSE YOU INVESTMENT LOSSES? Juan Alejos Formerly With Spartan Capital Securities Has 5 Customer Complaints For Alleged Broker Misconduct Who is Juan Alejos formerly with Spartan Capital Securities? Juan Alejos (CRD #4108723) who was formerly 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. Juan Alejos has been the subject of several regulatory investigations, including, FINRA, and its predecessor, NASD, states of Illinois and Utah.  Most recent regulatory investigation by FINRA resulted in a permanent bar association with any member firm in any capacity for failure to respond to FINRA’s request for information. Juan Alejos Customer Complaints Juan Alejos 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. Two of Juan Alejos’ 5 customer complaints were settled in favor of investors. One of Juan Alejos’ customers’ complaints was denied and, to date, the customers had not taken any further action. There are currently two pending customer complaints filed against Spartan Capital Securities for investment losses caused by Juan Alejos’ alleged misconduct. Allegations Against Juan Alejos 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 unauthorized trading by Juan Alejos. Customer alleged that Juan Alejos’ purchase of 2000 shares of CSUN was unauthorized. Customer asserts that Juan Alejos’ alleged purchase of 2000 shares China Development Group was unauthorized. Unsuitable investment recommendations allegedly made by Juan Alejos. Juan Alejos Red Flags & Your Rights As An Investor Of course, Juan Alejos 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 Juan Alejos at Spartan Capital Securities on alert to review carefully the activity and performance of their accounts and question whether Juan Alejos 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 Juan Alejos If you have questions about Spartan Capital Securities and/or Juan Alejos 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

Pratul Agnihotri Of SW Financial

DID PRATUL VICTOR AGNIHOTRI CAUSE YOU INVESTMENT LOSSES? Pratul Agnihotri Formerly With SW Financial, Spartan Capital Securities, Aegis Capital Has 3 Customer Complaints For Alleged Broker Misconduct Who is Pratul Agnihotri of SW Financial? Pratul Agnihotri (CRD #4031797) who is currently registered with SW Financial and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to SW Financial, Pratul Agnihotri was associated with Aegis Capital, Spartan Capital Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Pratul Agnihotri has also been the subject of a FINRA investigation which resulted in a 12 month suspension and the $7,500 fine for allegedly engaging in outside business activities without notifying his employer in violation of the FINRA code of conduct. Pratul Agnihotri Customer Complaints Pratul Agnihotri has been the subject of 3 customer complaints that we know about. One of Pratul Agnihotri’s 3 customer complaints was settled in favor of investors. One of Pratul Agnihotri’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against Aegis Capital for investment losses caused by Pratul Agnihotri’s alleged misconduct. Allegations Against Pratul Agnihotri 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 Pratul Agnihotri engaged in unauthorized trading. Claimant alleged Pratul Agnihotri’s unauthorized trading, failure to follow instructions, negligence, selling away, breach of fiduciary duty. Claimant alleged Pratul Agnihotri engaged in unauthorized trading, excessive commissions. Pratul Agnihotri Red Flags & Your Rights As An Investor Of course, Pratul Agnihotri 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 Pratul Agnihotri at SW Financial, Aegis Capital, and Spartan Capital Securities on alert to review carefully the activity and performance of their accounts and question whether Pratul Agnihotri has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SW Financial, Aegis Capital, and 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 SW Financial Due To Pratul Agnihotri If you have questions about SW Financial, Aegis Capital, Spartan Capital Securities, and/or Pratul Agnihotri 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

Eric Baron of Spartan Capital Securities

DID ERIC SCOTT BARON CAUSE YOU INVESTMENT LOSSES? Eric Baron Of Spartan Capital Securities And Formerly With Laidlaw Company (UK) Ltd. and SW Financial Has 4 Customer Complaints For Alleged Broker Misconduct Who is Eric Baron of Spartan Capital Securities? Eric Baron (CRD #2758724) 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, Eric Baron was associated with Laidlaw Company (UK) Ltd., SW Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Eric Baron Customer Complaints Eric Baron has been the subject of 4 customer complaints that we know about.  All of Eric Baron’s 4 customer complaints were settled in favor of investors. Allegations Against Eric Baron A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Eric Baron allegedly engaged in churning and made unsuitable investment recommendations. Churning, negligence, unsuitability, unauthorized trading, breach of contract allegedly by Eric Baron. Claimant alleged excessive trading and unsuitable transactions, negligence, breach of contract and fiduciary duty by Eric Baron. Eric Baron Red Flags & Your Rights As An Investor Of course, Eric Baron 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 Eric Baron at Spartan Capital Securities, Laidlaw Company (UK) Ltd., and SW Financial on alert to review carefully the activity and performance of their accounts and question whether Eric Baron has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities, Laidlaw Company (UK) Ltd., and SW 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 Due To Eric Baron If you have questions about Spartan Capital Securities, Laidlaw Company (UK) Ltd., SW Financial, and/or Eric Baron 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

Gregory Patrick of Spartan Capital Securities

DID GREGORY PAUL PATRICK CAUSE YOU INVESTMENT LOSSES? Gregory Patrick Of Spartan Capital Securities And Formerly With National Securities, Garden State Securities And Garden State Investment Advisory Services and Has A Customer Complaint For Alleged Broker Misconduct Who is Gregory Patrick of Spartan Capital Securities? Gregory Patrick (CRD #5607936) 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, Gregory Patrick was associated with National Securities, Garden State Securities, Garden State Investment Advisory Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gregory Patrick Customer Complaint Gregory Patrick 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 and unsuitable recommendations. The customer complaint filed against Gregory Patrick’s current employer Spartan Capital Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Gregory Patrick Red Flags & Your Rights As An Investor Of course, Gregory Patrick 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 Gregory Patrick at Spartan Capital Securities, National Securities, Garden State Securities, and Garden State Investment Advisory Services on alert to review carefully the activity and performance of their accounts and question whether Gregory Patrick has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities, National Securities, Garden State Securities, and Garden State Investment Advisory 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 Spartan Capital Securities Due To Gregory Patrick If you have questions about Spartan Capital Securities, National Securities, Garden State Securities, Garden State Investment Advisory Services, and/or Gregory Patrick 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

Troy Orlando of Joseph Stone Capital

DID TROY ALLEN ORLANDO CAUSE YOU INVESTMENT LOSSES? Troy Orlando Of Joseph Stone Capital And Formerly With Worden Capital Management, Spartan Capital Securities And J.H. Darbie & Co. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Troy Orlando of Joseph Stone Capital? Troy Orlando (CRD #6055474) who is currently registered with Joseph Stone Capital and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Joseph Stone Capital, Troy Orlando was associated with Worden Capital Management, Spartan Capital Securities, J.H. Darbie & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Troy Orlando Customer Complaints Troy Orlando has been the subject of 2 customer complaints that we know about. One of Troy Orlando’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Spartan Capital Securities for investment losses caused by Troy Orlando’s alleged misconduct. Allegations Against Troy Orlando A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Troy Orlando’s unauthorized trades and use of margin. Negligence, Unsuitability, Breach of Fiduciary Duty, Breach of Contract, Negligent Misrepresentation and Omission by Troy Orlando. Troy Orlando Red Flags & Your Rights As An Investor Of course, Troy Orlando 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 Troy Orlando at Joseph Stone Capital, Worden Capital Management, Spartan Capital Securities, and J.H. Darbie & Co. on alert to review carefully the activity and performance of their accounts and question whether Troy Orlando has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Joseph Stone Capital, Worden Capital Management, Spartan Capital Securities, and J.H. Darbie & 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 Joseph Stone Capital Due To Troy Orlando If you have questions about Joseph Stone Capital, Worden Capital Management, Spartan Capital Securities, J.H. Darbie & Co., and/or Troy Orlando 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

Arthur McQuaide of Spartan Capital Securities

DID ARTHUR BRUCE MCQUAIDE CAUSE YOU INVESTMENT LOSSES? Arthur McQuaide Of Spartan Capital Securities And Formerly With Southeast Investments N.C. Has A Customer Complaint For Alleged Broker Misconduct Who is Arthur McQuaide of Spartan Capital Securities? Arthur McQuaide (CRD #4581876) 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, Arthur McQuaide was associated with Southeast Investments N.C. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Arthur McQuaide Customer Complaint Arthur McQuaide 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 alleged misrepresentation and unsuitable recommendations. The customer complaint filed against Arthur McQuaide’s current employer Spartan Capital Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Arthur McQuaide Red Flags & Your Rights As An Investor Of course, Arthur McQuaide 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 Arthur McQuaide at Spartan Capital Securities and Southeast Investments N.C. on alert to review carefully the activity and performance of their accounts and question whether Arthur McQuaide has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities and Southeast Investments N.C. 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 Arthur McQuaide If you have questions about Spartan Capital Securities, Southeast Investments N.C., and/or Arthur McQuaide 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

Robert Tractenberg of Spartan Capital Securities

DID ROBERT TRACTENBERG CAUSE YOU INVESTMENT LOSSES? Robert Tractenberg Formerly With Spartan Capital Securities, LLC Has 5 Customer Complaints For Alleged Broker Misconduct Who is Robert Tractenberg formerly with Spartan Capital Securities, LLC? Robert Tractenberg (CRD #1619275) who was formerly 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. Robert Tractenberg Customer Complaints Robert Tractenberg 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. One arbitration award was entered against Spartan Capital Securities, LLC for Robert Tractenberg’s alleged misconduct causing investors losses. One of Robert Tractenberg’s customer complaints was settled in favor of investors. Two of Robert Tractenberg’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 Robert Tractenberg’s alleged misconduct. Allegations Against Robert Tractenberg 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 Robert Tractenberg made unsuitable investment recommendations, engaged in unauthorized trading, breach of fiduciary duty and made misrepresentation resulting in damages. Claimant alleged Robert Tractenberg’s misrepresentation and unsuitable recommendations. Client alleged Robert Tractenberg’s unsuitable transactions in his account. Robert Tractenberg Red Flags & Your Rights As An Investor Of course, Robert Tractenberg 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 Robert Tractenberg at Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Robert Tractenberg 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 Robert Tractenberg If you have questions about Spartan Capital Securities, LLC and/or Robert Tractenberg 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

Samuel Girgiss of Spartan Capital Securities

DID SAMUEL GIRGISS CAUSE YOU INVESTMENT LOSSES? Samuel Girgiss Of Spartan Capital Securities And Formerly With Legend Securities And Worden Capital Management Has 2 Customer Complaints For Alleged Broker Misconduct Who is Samuel Girgiss of Spartan Capital Securities? Samuel Girgiss (CRD #6088898) 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, Samuel Girgiss was associated with Legend Securities, Worden Capital Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Samuel Girgiss Customer Complaints Samuel Girgiss 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 Samuel Girgiss’ 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Spartan Capital Securities for investment losses caused by Samuel Girgiss’ alleged misconduct. Allegations Against Samuel Girgiss A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Samuel Girgiss’ alleged churning, unsuitable recommendations, breach of fiduciary duty, fraud, breach of contract, and negligent supervision. Client alleged Samuel Girgiss made misrepresentations and unsuitable recommendations. Samuel Girgiss Red Flags & Your Rights As An Investor Of course, Samuel Girgiss 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 Samuel Girgiss at Spartan Capital Securities, Legend Securities, and Worden Capital Management on alert to review carefully the activity and performance of their accounts and question whether Samuel Girgiss has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities, Legend Securities, and Worden Capital Management 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 Samuel Girgiss If you have questions about Spartan Capital Securities, Legend Securities, Worden Capital Management, and/or Samuel Girgiss 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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