Mar 7, 2022

Joseph Fuller of Arive Capital Markets

DID JOSEPH PATRICK FULLER CAUSE YOU INVESTMENT LOSSES? Joseph Fuller Of Arive Capital Markets And Formerly With Worden Capital Management, Joseph Stone Capital And Cape Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joseph Fuller of Arive Capital Markets? Joseph Fuller (CRD #5277097) who is currently registered with Arive Capital Markets and located in Bay Ridge, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Arive Capital Markets, Joseph Fuller was associated with Worden Capital Management, Joseph Stone Capital, Cape Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joseph Fuller Customer Complaints Joseph Fuller has been the subject of 2 customer complaints that we know about. One of Joseph Fuller’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 Joseph Fuller’s alleged misconduct. Allegations Against Joseph Fuller 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 Joseph Fuller’s failure to follow instructions resulting in damages. The claimants’ counsel alleged the following actions: churning, negligence & unsuitability, failure to supervise, unauthorized trading, breach of fiduciary duty, breach of contract, unjust enrichment, negligent misrepresentation and omissions, lost opportunity damages, and punitive damages. Joseph Fuller Red Flags & Your Rights As An Investor Of course, Joseph Fuller 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 Joseph Fuller at Arive Capital Markets, Worden Capital Management, Joseph Stone Capital, and Cape Securities on alert to review carefully the activity and performance of their accounts and question whether Joseph Fuller has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arive Capital Markets, Worden Capital Management, Joseph Stone Capital, and Cape 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 Arive Capital Markets Due To Joseph Fuller If you have questions about Arive Capital Markets, Worden Capital Management, Joseph Stone Capital, Cape Securities, and/or Joseph Fuller 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

Fernely Filpo of J.P. Morgan Securities

DID FERNELY FILPO CAUSE YOU INVESTMENT LOSSES? Fernely Filpo Of J.P. Morgan Securities And Formerly With J.H. Darbie & Co. And Spartan Capital Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Fernely Filpo of J.P. Morgan Securities? Fernely Filpo (CRD #6434495) who is currently registered with J.P. Morgan Securities and located in Flushing, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to J.P. Morgan Securities, Fernely Filpo was associated with J.H. Darbie & Co., Spartan Capital Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Fernely Filpo Customer Complaint Fernely Filpo 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 suitability of an equity investment. The customer complaint filed against Fernely Filpo’s former employer Spartan Capital Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Fernely Filpo Red Flags & Your Rights As An Investor Of course, Fernely Filpo 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 Fernely Filpo at J.P. Morgan Securities, J.H. Darbie & Co., and Spartan Capital Securities on alert to review carefully the activity and performance of their accounts and question whether Fernely Filpo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities, J.H. Darbie & Co., and Spartan Capital 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 J.P. Morgan Securities Due To Fernely Filpo If you have questions about J.P. Morgan Securities, J.H. Darbie & Co., Spartan Capital Securities, and/or Fernely Filpo 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

Anthony Shelby of Spartan Capital Securities

DID ANTHONY B. SHELBY CAUSE YOU INVESTMENT LOSSES? Anthony Shelby Of Spartan Capital Securities And Formerly With National Securities, Laidlaw & Company (UK) And Legend Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Anthony Shelby of Spartan Capital Securities? Anthony Shelby (CRD #6110694) 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, Anthony Shelby was associated with National Securities, Laidlaw & Company (UK), Legend Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Anthony Shelby Customer Complaint Anthony Shelby 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 unsuitability, breach of fiduciary duty. The customer complaint filed against Anthony Shelby’s current employer Legend Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Anthony Shelby Red Flags & Your Rights As An Investor Of course, Anthony Shelby 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 Anthony Shelby at Spartan Capital Securities, National Securities, Laidlaw & Company (UK), and Legend Securities on alert to review carefully the activity and performance of their accounts and question whether Anthony Shelby 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, Laidlaw & Company (UK), and Legend 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 Anthony Shelby If you have questions about Spartan Capital Securities, National Securities, Laidlaw & Company (UK), Legend Securities, and/or Anthony Shelby 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 8, 2022

Ahmad Maklouf of Spartan Capital Securities, LLC

DID AHMAD MOHAMED MAKLOUF CAUSE YOU INVESTMENT LOSSES? Ahmad Maklouf Of Spartan Capital Securities, LLC And Formerly With Worden Capital Management LLC And Legend Securities, Inc. Has  4 Customer Complaints For Alleged Broker Misconduct Who is Ahmad Maklouf of Spartan Capital Securities, LLC? Ahmad Maklouf (CRD #6092943) 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, Ahmad Maklouf was associated with Worden Capital Management LLC, Legend Securities, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ahmad Maklouf Customer Complaints Ahmad Maklouf has been the subject of 4 customer complaints that we know about, all 4 of those complaints were filed in the last year to recover investment losses. One of Ahmad Maklouf’s 4 customer complaints was settled in favor of investors. There are currently 3 pending customer complaints filed against Ahmad Maklouf’s current and former employers Spartan Capital Securities, LLC, Worden Capital Management LLC, and Legend Securities, Inc. for investment losses caused by the alleged misconduct. Allegations Against Ahmad Maklouf A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Customer alleged unsuitable investment recommendations resulting in overconcentration and certain securities and excessive trading of customer’s account. Two customers, in separate arbitration proceedings, alleged, churning, quantitative unsuitable investment recommendations, breaches fiduciary duty, breach of contract and violations of FINRA Rule 2010. Customer alleged misrepresentations and unsuitable investment recommendations. Ahmad Maklouf Red Flags & Your Rights As An Investor Of course,  Ahmad Maklouf 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 Ahmad Maklouf at Spartan Capital Securities, LLC, Worden Capital Management LLC, and Legend Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Ahmad Maklouf has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities, LLC, Worden Capital Management LLC, and Legend Securities, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Spartan Capital Securities, LLC Due To Ahmad Maklouf If you have questions about Spartan Capital Securities, LLC, Worden Capital Management LLC, Legend Securities, Inc., and/or Ahmad Maklouf 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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Jan 20, 2022

Albert Foronda of Spartan Capital Securities, LLC

DID ALBERT FORONDA CAUSE YOU INVESTMENT LOSSES? Albert Foronda of Spartan Capital Securities, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Albert Foronda of Spartan Capital Securities, LLC? Albert Foronda (CRD #5737620) 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, Albert Foronda was associated with Worden Capital Management and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Albert Foronda Broker Misconduct In his career, Albert Foronda has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. Two of Albert Foronda’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Legend Securities and Worden Capital Management for investment losses caused by Albert Foronda’s alleged misconduct. Albert Foronda has had his own regulatory problems. In January 2020, he consented to the sanctions and entry of findings that he effected unauthorized transactions in customers’ accounts. Albert Foronda was suspended for 45 days and fined $7,500. Allegations Against Albert Foronda A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Allegations of unsuitability, excessive trading, negligence. Breach of Fiduciary Duty, breach of contract, negligence. Customer alleged that a transaction made in his account wasn’t authorized. Albert Foronda Red Flags & Your Rights As An Investor Of course, Albert Foronda 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 Albert Foronda at Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Albert Foronda has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Spartan Capital Securities, LLC which 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 Spartan Capital Securities, LLC If you have questions about Spartan Capital Securities, LLC and/or Albert Foronda 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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Jan 20, 2022

Patrick Perugino of Craft Capital Management, LLC

DID PATRICK A. PERUGINO CAUSE YOU INVESTMENT LOSSES? Patrick A. Perugino Of Craft Capital Management, LLC And Formally with Spartan Capital Securities, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Patrick A. Perugino with Craft Capital Management, LLC? Patrick Perugino (CRD #6363411) 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, Patrick Perugino was associated with Spartan Capital Securities, LLC, Allied Millennial Partners LLC, David Lerner Associates, Inc., and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Spartan Capital Securities, LLC.  And David Lerner Associates, Inc. Broker Misconduct In his career, Patrick Perugino has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. One of the customer complaints was denied by Spartan Capital Securities as unfounded. There is currently 1 pending customer complaints filed against Patrick Perugino’s former employer, David Lerner Associates, Inc. for investment losses caused by his alleged misconduct. Allegations Against Patrick Perugino A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Clients claimed the money was missing from their Spartan Capital Securities, LLC account; the firm investigated and denied the claim. Claimant alleged unauthorized trading in exchange-traded funds, at David Lerner Associates, Inc. Patrick Perugino Red Flags & Your Rights as An Investor Of course, Patrick Perugino 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 that should put all current and former customers of Patrick Perugino at Craft Capital Management, LLC, Spartan Capital Securities, LLC, Allied Millennial Partners LLC, and David Lerner Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Patrick Perugino has engaged in any stockbroker misconduct that may have caused them investment losses. The number of customer complaints at Spartan Capital Securities, LLC, and David Lerner Associates, Inc. also raises questions about 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, Spartan Capital Securities, LLC And David Lerner Associates, Inc. If you have questions about Craft Capital Management, LLC, Spartan Capital Securities, LLC, Allied Millennial Partners LLC, David Lerner Associates, Inc. and/or Patrick Perugino 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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Jan 20, 2022

Joseph Kelly of Spartan Capital Securities, LLC

DID JOSEPH KELLY CAUSE YOU INVESTMENT LOSSES? Joseph Kelly with Spartan Capital Securities, LLC Has 3 Customer Complaints for Alleged Broker Misconduct Who is Joseph Kelly with Spartan Capital Securities, LLC? Joseph Kelly (CRD #4560737) 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, Joseph Kelly was associated with PHX Financial, Inc. and National Securities Corporation, and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Spartan Capital Securities, LLC Broker Misconduct In his career, Joseph Kelly has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. One of Joseph Kelly’s 3 customer complaints was settled in favor of investors. There are currently 2 pending customer complaints filed against Joseph Kelly’s current employer Spartan Capital Securities, LLC for investment losses caused by his alleged misconduct. Allegations Against Joseph Kelly A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged in the arbitration proceeding that Joseph Kelly made unsuitable investment recommendations and misrepresentations. The customer alleged that Joseph Kelly engaged in churning his account and unsuitable transactions. The claimant alleged misrepresentations and excessive trading. Joseph Kelly Red Flags & Your Rights as An Investor Of course, Joseph Kelly 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 Joseph Kelly at Spartan Capital Securities, LLC, PHX Financial, Inc. and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Joseph Kelly has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Spartan Capital Securities, LLC about Joseph Kelly 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 Spartan Capital Securities, LLC If you have questions about Spartan Capital Securities, LLC, PHX Financial, Inc., National Securities Corporation, and/or Joseph Kelly 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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Jan 20, 2022

Yann Faho of Aegis Capital Corp

DID YANN C. FAHO CAUSE YOU INVESTMENT LOSSES? Yann C. Faho with Aegis Capital Corp. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Yann C. Faho with Aegis Capital Corp.? Yann Faho (CRD #5397543) who is currently registered with Aegis Capital Corp. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Aegis Capital Corp., Yann Faho was associated with Spartan Capital Securities, LLC and 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Aegis Capital Corp. Broker Misconduct In his career, Yann Faho has been the subject of 2 customer complaints that we know about, both of those complaints were filed against Ageist Capital Corp. in the last year to recover investment losses. Both customer complaints filed against Yann Faho’s current employer Aegis Capital Corp. for investment losses caused by his alleged misconduct are pending. Allegations Against Yann Faho A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleges unauthorized trading, churning, breach of fiduciary duty, breach of contract, and unsuitable investment recommendations relating to common and preferred stock transactions. The claimant alleges unidentified stockbroker misconduct in the management of his accounts. Yann Faho Red Flags & Your Rights as An Investor Of course, Yann Faho 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 that should put all current and former customers of Yann Fahoat Aegis Capital Corp. and Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Yann Fahohas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp. about Yann Faho also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Aegis Capital Corp. If you have questions about Aegis Capital Corp., Spartan Capital Securities, LLC, and/or Yann Faho 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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