Mar 8, 2022

William Herf of RBC Capital Markets

DID WILLIAM REILLEY HERF CAUSE YOU INVESTMENT LOSSES? William Herf Of RBC Capital Markets And Formerly With Stifel Nicolaus & Company And B.C. Ziegler Has 3 Customer Complaints For Alleged Broker Misconduct Who is William Herf of RBC Capital Markets? William Herf (CRD #2978220) who is currently registered with RBC Capital Markets and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, William Herf was associated with Stifel Nicolaus & Company, B.C. Ziegler and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Herf Customer Complaints William Herf 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. One of William Herf’s 3 customer complaints was settled in favor of investors. Two of William Herf’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against William Herf 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 an investment recommended/sold to them by William Herf was unsuitable and outside their risk tolerance. Customer alleged that William Herf invested in high risk funds, which resulted in losses. The client alleged that William Herf failed to follow her instructions to liquidate her account in March 2020. William Herf Red Flags & Your Rights As An Investor Of course, William Herf 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 William Herf at RBC Capital Markets, Stifel Nicolaus & Company, and B.C. Ziegler on alert to review carefully the activity and performance of their accounts and question whether William Herf has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, Stifel Nicolaus & Company, and B.C. Ziegler 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 RBC Capital Markets Due To William Herf If you have questions about RBC Capital Markets, Stifel Nicolaus & Company, B.C. Ziegler, and/or William Herf 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

Ghazaleh Ebrahimi of Aegis Capital

DID GHAZALEH EBRAHIMI CAUSE YOU INVESTMENT LOSSES? Ghazaleh Ebrahimi Of Aegis Capital Corp. And Formerly With Stifel Nicolaus & Company, Inc. Has 5 Customer Complaints For Alleged Broker Misconduct Who is Ghazaleh Ebrahimi of Aegis Capital Corp.? Ghazaleh Ebrahimi (CRD #2873246) 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., Ghazaleh Ebrahimi was associated with Stifel Nicolaus & Company and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ghazaleh Ebrahimi Customer Complaints Ghazaleh Ebrahimi has been the subject of 5 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. All of Ghazaleh Ebrahimi’s 5 customer complaints were settled in favor of investors. Allegations Against Ghazaleh Ebrahimi 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 Ghazaleh Ebrahimi’s violation of standards of reasonable basis suitability (FINRA Rule 2310(b)) just and equitable principles of trade (FINRA Rule 2010; fraud, misleading statements, misleading omissions of material information; breach of fiduciary duty; negligent misrepresentation; negligence; breach of contract and warranty; third party beneficiary breach of contract; breach of the covenant of good faith and fair dealing; elder abuse; and aiding and abetting financial elder abuse. Claimants alleged Ghazaleh Ebrahimi’s breach of fiduciary duty; negligence; breach of contract; common law fraud and deceit; violations of FINRA rules 2310, 2210, 2110 , 2120 and 3010. Client verbally alleged that Ghazaleh Ebrahimi recommended an unsuitable investment in an inverse/leveraged ETF. Clients alleged that their investments made by Ghazaleh Ebrahimi in reverse convertible notes were unsuitable due to the fact that the investments’ recent market performance exhibited more volatility than the customer was willing to accept. Customer purchased reverse convertible bonds and claims that these investments allegedly recommended by Ghazaleh Ebrahimi were not suitable. Ghazaleh Ebrahimi Red Flags & Your Rights As An Investor Of course, Ghazaleh Ebrahimi 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 Ghazaleh Ebrahimi at Aegis Capital Corp. and Stifel Nicolaus & Company on alert to review carefully the activity and performance of their accounts and question whether Ghazaleh Ebrahimi has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp. and Stifel Nicolaus & Company 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 Aegis Capital Corp. Due To Ghazaleh Ebrahimi If you have questions about Aegis Capital Corp., Stifel Nicolaus & Company, and/or Ghazaleh Ebrahimi 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 Byrne of Stoever Glass & Company

DID JAMES THOMAS BYRNE CAUSE YOU INVESTMENT LOSSES? James Byrne Of Stoever Glass & Company And Formerly With Stifel Nicolaus & Company Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Byrne of Stoever Glass & Company? James Byrne (CRD #1607451) who is currently registered with Stoever Glass & Company and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stoever Glass & Company, James Byrne was associated with Stifel Nicolaus & Company and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Byrne Customer Complaints James Byrne 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.  Both of James Byrne’s 2 customer complaints were settled in favor of investors. Allegations Against James Byrne 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 she was sold energy bonds that were not aligned with her objectives allegedly by James Byrne. Claimants alleged James Byrne’s unsuitable investments, breach of fiduciary duty, and breach of contract. James Byrne Red Flags & Your Rights As An Investor Of course, James Byrne 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 Byrne at Stoever Glass & Company and Stifel Nicolaus & Company on alert to review carefully the activity and performance of their accounts and question whether James Byrne has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stoever Glass & Company and Stifel Nicolaus & Company 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 Stoever Glass & Company Due To James Byrne If you have questions about Stoever Glass & Company, Stifel Nicolaus & Company, and/or James Byrne 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 Iannarino Formerly With Stifel Nicolaus & Company, Private Client Services and BCG Securities

DID MICHAEL JOSEPH IANNARINO CAUSE YOU INVESTMENT LOSSES? Michael Iannarino Formerly With Stifel Nicolaus & Company , Private Client Services and BCG Securities Has 4 Customer Complaints For Alleged Broker Misconduct Who is Michael Iannarino formerly with Stifel Nicolaus & Company? Michael Iannarino (CRD #1258453) who was formerly registered with Stifel Nicolaus & Company and located in Columbus, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel Nicolaus & Company, Michael Iannarino was associated with Private Client Services, BCG Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Innarino has had his own regulatory problems.  Last year, FINRA barred him permanently from association with any member firm in any capacity for failure of supply documents and information requested by FINRA during its investigation of his potential recommendation and sale of promissory notes to individuals without firm approval.  He is also the subject of a cease-and-desist order for the sale of unregistered securities and acting as an unlicensed investment adviser in the State of Ohio. Michael Iannarino Customer Complaints Michael Iannarino has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Michael Iannarino’s 4 customer complaints was settled in favor of investors. Two of Michael Iannarino’s customers’ complaints were denied and the customers did not take any further action. There is currently one pending customer complaint filed against Private Client Services for investment losses caused by Michael Iannarino’s alleged misconduct.  Allegations Against Michael Iannarino A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:  Client complained that sell instructions were not followed allegedly by Michael Iannarino.  Ohio resident said that trades done in a discretionary account allegedly by Michael Iannarino were not authorized.  The claimants alleged the representative Michael Iannarino recommended an investment into an unregistered security through the use of promissory notes which he misrepresented as a safe low-risk investment with a specified or high return. Michael Iannarino Red Flags & Your Rights As An Investor Of course, Michael Iannarino 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 Iannarino at Stifel Nicolaus & Company, Private Client Services, and BCG Securities on alert to review carefully the activity and performance of their accounts and question whether Michael Iannarino has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel Nicolaus & Company, Private Client Services, and BCG 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 Stifel Nicolaus & Company Due To Michael Iannarino If you have questions about Stifel Nicolaus & Company, Private Client Services, BCG Securities, and/or Michael Iannarino 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

Andrew Bransky of Stifel Nicolaus & Company

DID ANDREW J BRANSKY CAUSE YOU INVESTMENT LOSSES? Andrew Bransky Of Stifel Nicolaus & Company And Formerly With B.C. Ziegler And Co Has 2 Customer Complaints For Alleged Broker Misconduct Who is Andrew Bransky of Stifel Nicolaus & Company? Andrew Bransky (CRD #2680736) who is currently registered with Stifel Nicolaus & Company and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel Nicolaus & Company, Andrew Bransky was associated with B.C. Ziegler And Co and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Andrew Bransky Customer Complaints Andrew Bransky 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 Andrew Bransky’s 2 customer complaints was settled in favor of investors. One of Andrew Bransky’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Andrew Bransky 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 Andrew Bransky recommended an unsuitable stock. The bonds that were sold to the client were sold in a private placement transaction, the counsel for the trust questions the suitability of the bonds allegedly made by Andrew Bransky. Andrew Bransky Red Flags & Your Rights As An Investor Of course, Andrew Bransky 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 Andrew Bransky at Stifel Nicolaus & Company and B.C. Ziegler And Co on alert to review carefully the activity and performance of their accounts and question whether Andrew Bransky has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel Nicolaus & Company and B.C. Ziegler And 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 Stifel Nicolaus & Company Due To Andrew Bransky If you have questions about Stifel Nicolaus & Company, B.C. Ziegler And Co, and/or Andrew Bransky 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 Barry of Stifel Nicolaus & Company

DID MICHAEL OWEN BARRY CAUSE YOU INVESTMENT LOSSES? Michael Barry Of Stifel Nicolaus & Company And Formerly With Sterne Agee & Leach and Sterne Agee Asset Management Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Barry of Stifel Nicolaus & Company? Michael Barry (CRD #2690041) who is currently registered with Stifel Nicolaus & Company and located in New Orleans, Louisiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel Nicolaus & Company, Michael Barry was associated with Sterne Agee & Leach, Sterne Agee Asset Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Barry Customer Complaint Michael Barry 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 fiduciary duty, misrepresentation and non-disclosure, negligence and gross negligence, and violation of Louisiana Securities Laws. The customer complaint filed against Michael Barry’s current employer Stifel Nicolaus & Company for investment losses caused by the alleged misconduct is pending as of the date of this report. Michael Barry Red Flags & Your Rights As An Investor Of course, Michael Barry 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 Barry at Stifel Nicolaus & Company, Sterne Agee & Leach, and Sterne Agee Asset Management on alert to review carefully the activity and performance of their accounts and question whether Michael Barry has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel Nicolaus & Company, Sterne Agee & Leach, and Sterne Agee Asset 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 Stifel Nicolaus & Company Due To Michael Barry If you have questions about Stifel Nicolaus & Company, Sterne Agee & Leach, Sterne Agee Asset Management, and/or Michael Barry 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

Matthew Perry of Stifel, Nicolaus & Company, Inc

DID MATTHEW ALEXANDER PERRY CAUSE YOU INVESTMENT LOSSES? Matthew Alexander Perry formerly with Stifel, Nicolaus & Company, Incorporated Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Matthew A. Perry formerly with Stifel, Nicolaus & Company, Incorporated? Matthew Perry (CRD #5985300) who was formerly registered with Stifel, Nicolaus & Company, Incorporated and located in Columbia, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel, Nicolaus & Company, Incorporated, Matthew Perry was associated with Wells Fargo Advisors, LLC both are investment brokerage firms with a history of customer complaints and securities industry regulatory problems. Stifel, Nicolaus & Company, Incorporated Broker Misconduct In his career, Matthew Perry has been the subject of 3customer complaints that we know about, all of those complaints were filed in the last two years to recover investment losses. All of Matthew Perry’s 3 customer complaints were settled in favor of investors. Allegations Against Matthew Perry A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged that the registered representative made unauthorized and unsuitable transactions in common and preferred stocks and options. Client alleged the transactions in July and August 2018 were not authorized. Customer alleged that the registered representative did not follow his stated goals and did not disclose the risk associated with options trading. Matthew Perry Red Flags & Your Rights As An Investor Of course, Matthew Perry 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 Matthew Perry at Stifel, Nicolaus & Company, Incorporated and Wells Fargo Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Matthew Perry has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company, Incorporated in such a short period 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 Stifel, Nicolaus & Company, Incorporated If you have questions about Stifel, Nicolaus & Company, Incorporated, Wells Fargo Advisors, LLC and/or Matthew Perry 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

Michael Fahsholtz Formally With Stifel, Nicolaus & Co.

UPDATED ON: December 4, 2020 DID MICHAEL ANTHONY FAHSHOLTZ CAUSE YOU INVESTMENT LOSSES? Michael Anthony Fahsholtz Has 8 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Michael Fahsholtz Formally With Stifel, Nicolaus & Co. Michael Fahsholtz (CRD# 2057306) who was registered with Stifel, Nicolaus & Co. and located in Wenatchee, Washington is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel, Nicolaus & Co. was associated with Wells Fargo Advisors and 8 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Stifel, Nicolaus & Co. Broker Misconduct In his career, Michael Fahsholtz has been the subject of 10 customer complaints that we know about, 8 of those complaints were filed in the last year to recover investment losses. Three of Michael Fahsholtz customer complaints were settled in favor of investors. There are currently 5 pending customer complaints filed against Michael Fahsholtz’s former employer Stifel, Nicolaus & Co. for investment losses caused by his alleged misconduct. Allegations Against Michael Fahsholtz A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:  Claimants alleged violation of the Washington Securities Act, breach of fiduciary duty, unsuitable investments, violation of FINRA rules, negligence and breach of contract. Claimants personal representative/authorized agent alleges churning and that registered representative mismanaged claimant’s accounts and made poor recommendations. Client alleges registered representative ought inappropriate stocks, bonds, and unit investment trusts. Claimants allege violation of federal securities laws, violation of Washington Securities Act, violation of Washington’s Consumer Protection Act, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence. Michael Fahsholtz Red Flags & Your Rights As An Investor Of course, 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 Fahsholtz at Stifel, Nicolaus & Co. on alert to review carefully the activity and performance of their accounts and question whether Michael Fahsholtz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Co. 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 Stifel, Nicolaus & Co. If you have questions about Stifel, Nicolaus & Co. and/or Michael Fahsholtz 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 or locally at 561-338-0037.

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Mar 4, 2022

Robert Sorensen of Allstate Financial Services

DID ROBERT ELIAS SORENSEN CAUSE YOU INVESTMENT LOSSES? Robert Sorensen Of Allstate Financial Services, Allstate Financial Advisors And Formerly With Stifel Nicolaus & Company And VALIC Financial Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Robert Sorensen of Allstate Financial Services? Robert Sorensen (CRD #5910732) who is currently registered with Allstate Financial Services,Allstate Financial Advisors and located in Chico, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Allstate Financial Services and Allstate Financial Advisors, Robert Sorensen was associated with Stifel Nicolaus & Company, VALIC Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Sorensen Customer Complaint Robert Sorensen 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 that representative, Robert Sorensen provided her with inaccurate information regarding the liquidation of assets from her Individual brokerage account to an American Funds mutual fund account. Specifically, she stated the representative told her there would be no tax consequences as a result of the liquidation and transfer. In addition, customer stated she was not informed that she would be assessed a sales load on the purchase of the new mutual funds. Robert Sorensen’s customer complaint was settled in favor of the investors. Robert Sorensen Red Flags & Your Rights As An Investor Of course, Robert Sorensen 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 Sorensen at Allstate Financial Services,Allstate Financial Advisors, Stifel Nicolaus & Company, and VALIC Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Robert Sorensen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Allstate Financial Services,Allstate Financial Advisors, Stifel Nicolaus & Company, and VALIC Financial 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 Allstate Financial Services Due To Robert Sorensen If you have questions about Allstate Financial Services,Allstate Financial Advisors, Stifel Nicolaus & Company, VALIC Financial Advisors, and/or Robert Sorensen 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 2, 2022

Brian Summers formerly with LaSalle St. Securities, LLC

DID BRIAN HOWARD SUMMERS CAUSE YOU INVESTMENT LOSSES? Brian Summers Formerly With LaSalle St. Securities, LLC, Wells Fargo Clearing Services, LLC And Stifel, Nicolaus & Company, Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct Who is Brian Summers formerly with LaSalle St. Securities, LLC? Brian Summers (CRD #1569354) who was formerly registered with LaSalle St. Securities, LLC and located in Frankfort, Illinois is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LaSalle St. Securities, LLC, Brian Summers was associated with Wells Fargo Clearing Services, LLC, Stifel, Nicolaus & Company, Incorporated and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brian Summers Customer Complaints Brian Summers has been the subject of 2 customer complaints that we know about, 1of those complaints were filed in the last year to recover investment losses. One of Brian Summers’ customer complaints resulted in an Award in favor of investor. There is currently 1 pending customer complaint filed against Brian Summers’ former employer Wells Fargo Clearing Services, LLC for investment losses caused by the alleged misconduct. Allegations Against Brian Summers A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Misrepresentation, breach of fiduciary duty, and accounts related negligence. Unsuitable investment recommendations. Brian Summers Red Flags & Your Rights As An Investor Of course, Brian Summers 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 Brian Summers at LaSalle St. Securities, LLC, Wells Fargo Clearing Services, LLC, and Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Brian Summers has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LaSalle St. Securities, LLC, Wells Fargo Clearing Services, LLC, and Stifel, Nicolaus & Company, Incorporated 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 LaSalle St. Securities, LLC Due To Brian Summers If you have questions about LaSalle St. Securities, LLC, Wells Fargo Clearing Services, LLC, Stifel, Nicolaus & Company, Incorporated, and/or Brian Summers 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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