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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Mar 2, 2022

Brian Booth formerly with Stifel, Nicolaus & Company

DID BRIAN ALAN BOOTH CAUSE YOU INVESTMENT LOSSES? Brian Booth Formerly With Stifel, Nicolaus & Company Has 2 Customer Complaints For Alleged Broker Misconduct Who is Brian Booth formerly with Stifel, Nicolaus & Company? Brian Booth (CRD #5811645) who was formerly registered with Stifel, Nicolaus & Company and located in Crown Point, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Brian Booth Customer Complaints Brian Booth 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 Brian Booth’s 2 customer complaints was settled in favor of investor. One of Brian Booth’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Brian Booth A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unauthorized trading in common and preferred stocks. Failure to advise customer of the tax consequences, penalties, and losses that would result from the surrender of a variable annuity. Brian Booth Red Flags & Your Rights As An Investor Of course, Brian Booth 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 Booth at Stifel, Nicolaus & Company on alert to review carefully the activity and performance of their accounts and question whether Brian Booth has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 Stifel, Nicolaus & Company Due To Brian Booth If you have questions about Stifel, Nicolaus & Company and/or Brian Booth 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

Brett Faulk of Stifel, Nicolaus & Company, Incorporated

DID BRETT BRIAN FAULK CAUSE YOU INVESTMENT LOSSES? Brett Faulk Of Stifel, Nicolaus & Company, Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct Who is Brett Faulk of Stifel, Nicolaus & Company, Incorporated? Brett Faulk (CRD #2130056) who is currently registered with Stifel, Nicolaus & Company, Incorporated and located in O’Fallon, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Brett Faulk Customer Complaints Brett Faulk 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 Brett Faulk’s customer complaints was denied and, to date, the customer has not taken any further action. One of Brett Faulk’s customer complaints resulted in Awards in favor of investor. Allegations Against Brett Faulk A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Account related negligence, unauthorized trading, failure to execute and failure to supervise. Financial advisor purchased high risk investments, which were unsuitable for customer. Brett Faulk Red Flags & Your Rights As An Investor Of course, Brett Faulk 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 Brett Faulk at Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Brett Faulk has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 Stifel, Nicolaus & Company, Incorporated Due To Brett Faulk If you have questions about Stifel, Nicolaus & Company, Incorporated and/or Brett Faulk 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 21, 2022

Asaf Glaich of Stifel, Nicolaus & Company

DID ASAF GLAICH CAUSE YOU INVESTMENT LOSSES? Asaf Glaich Of Stifel, Nicolaus & Company, Incorporated And Formerly With Merrill Lynch, Pierce, Fenner & Smith Incorporated Has A Customer Complaint For Alleged Broker Misconduct Who is Asaf Glaich of Stifel, Nicolaus & Company, Incorporated? Asaf Glaich (CRD #3241626) who is currently registered with Stifel, Nicolaus & Company, Incorporated and located in Sugarland, Texas is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Stifel, Nicolaus & Company, Incorporated, Asaf Glaich was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Asaf Glaich Customer Complaint Asaf Glaich 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 misrepresentations related to corporate debt investment.  Asaf Glaich’s customer complaint was denied and, to date, the customer has not taken any further action. Asaf Glaich Red Flags & Your Rights As An Investor Of course, Asaf Glaich 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 Asaf Glaich at Stifel, Nicolaus & Company, Incorporated and Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Asaf Glaich has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company, Incorporated and Merrill Lynch, Pierce, Fenner & Smith Incorporated 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, Incorporated Due To Asaf Glaich If you have questions about Stifel, Nicolaus & Company, Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Asaf Glaich 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 18, 2022

Anthony Carpenito of J.P. Morgan Securities LLC

DID ANTHONY NICHOLAS CARPENITO CAUSE YOU INVESTMENT LOSSES? Anthony Carpenito Of J.P. Morgan Securities LLC And Formerly With Stifel, Nicolaus & Company Has A Customer Complaint For Alleged Broker Misconduct Who is Anthony Carpenito of J.P. Morgan Securities LLC? Anthony Carpenito (CRD #5446992) who is currently registered with J.P. Morgan 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 J.P. Morgan Securities LLC, Anthony Carpenito was associated with Stifel, Nicolaus & Company and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Anthony Carpenito Customer Complaint Anthony Carpenito 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 misrepresentations regarding a variable annuity investment.  Anthony Carpenito’s customer complaint was denied and, to date, the customer has not taken any further action. Anthony Carpenito Red Flags & Your Rights As An Investor Of course, Anthony Carpenito 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 Carpenito at J.P. Morgan Securities LLC and Stifel, Nicolaus & Company on alert to review carefully the activity and performance of their accounts and question whether Anthony Carpenito has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities LLC and Stifel, Nicolaus & Company 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 LLC Due To Anthony Carpenito If you have questions about J.P. Morgan Securities LLC, Stifel, Nicolaus & Company and/or Anthony Carpenito 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 7, 2022

Adam Summers formerly with LaSalle St Securities, LLC

DID ADAM PETERSEN SUMMERS CAUSE YOU INVESTMENT LOSSES? Adam Summers Formerly With LaSalle St Securities, LLC, Wells Fargo Clearing Services, LLC And Stifel, Nicolaus & Company Has A Customer Complaint For Alleged Broker Misconduct Who is Adam Summers formerly with LaSalle St Securities, LLC? Adam Summers (CRD #5587343) 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, Adam Summers was associated with Wells Fargo Clearing Services, LLC, Stifel, Nicolaus & Company and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Adam Summers Customer Complaint And Terminations Adam Summers was terminated by the 2 brokerage firms, most recently by Wells Fargo Clearing Services, LLC.  He has also 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 related to unsuitable investment recommendations in an E Trade account.  The customer complaint filed against Adam Summers’ former employer Wells Fargo Clearing Services, LLC for investment losses caused by the alleged misconduct is pending as of the date of this report. Adam Summers Red Flags & Your Rights As An Investor Of course, Adam 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 Adam Summers at LaSalle St Securities, LLC, Wells Fargo Clearing Services, LLC, and Stifel, Nicolaus & Company on alert to review carefully the activity and performance of their accounts and question whether Adam 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 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 LaSalle St Securities, LLC Due To Adam Summers If you have questions about LaSalle St Securities, LLC, Wells Fargo Clearing Services, LLC, Stifel, Nicolaus & Company and/or Adam 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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Feb 7, 2022

Adam Wetli of Stifel, Nicolaus & Company, Incorporated

DID ADAM J. WETLI CAUSE YOU INVESTMENT LOSSES? Adam Wetli Of Stifel, Nicolaus & Company, Incorporated Has A Customer Complaint For Alleged Broker Misconduct Who is Adam Wetli of Stifel, Nicolaus & Company, Incorporated? Adam Wetli (CRD #6201087) who is currently registered with Stifel, Nicolaus & Company, Incorporated and located in Green Bay, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Adam Wetli Customer Complaint Adam Wetli 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 Adam Wetli made unauthorized trades in connection with variable annuity, common stock, and preferred stock transactions.  Adam Wetli’s customer complaint was denied and, to date, the customer has not taken any further action. Adam Wetli Red Flags & Your Rights As An Investor Of course, Adam Wetli did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Adam Wetli at Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Adam Wetli has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company, Incorporated 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, Incorporated Due To Adam Wetli If you have questions about Stifel, Nicolaus & Company, Incorporated and/or Adam Wetli 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

Lynn Faust of Stifel, Nicolaus & Company, Inc.

DID LYNN COOPER FAUST CAUSE YOU INVESTMENT LOSSES? Lynn Faust of Stifel, Nicolaus & Company, Inc. And Formerly With Raymond James & Associates Has 4 Customer Complaints For Alleged Broker Misconduct Who is Lynn Faust of Stifel, Nicolaus & Company, Inc.? Lynn Faust (CRD #729012) who is currently registered with Stifel Nicolaus & Company, Inc. and located in Greenville, South Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel Nicolaus & Company, Inc., Lynn Faust was associated with Raymond James Associates and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Lynn Faust Customer Complaints Lynn Faust has been the subject of 4 customer complaints that we know about. Two of Lynn Faust’s 4 customer complaints resulted in arbitration awards in favor of investors. One of Lynn Faust’s customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Raymond James Associates for investment losses caused by Lynn Faust’s alleged misconduct. Allegations Against Lynn Faust 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 Lynn Faust misrepresented Market Linked Notes. Client alleged investments made by Lynn Faust were misrepresented at the time of sale. Lynn Faust Red Flags & Your Rights As An Investor Of course, Lynn Faust 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 Lynn Faust at Stifel Nicolaus & Company, Inc. and Raymond James Associates on alert to review carefully the activity and performance of their accounts and question whether Lynn Faust has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel Nicolaus & Company, Inc. and Raymond James Associates 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, Inc. Due To Lynn Faust If you have questions about Stifel Nicolaus & Company, Inc., Raymond James Associates, and/or Lynn Faust 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

David Dewar of Stifel Nicolaus Company, Inc.

DID DAVID JOHN DEWAR CAUSE YOU INVESTMENT LOSSES? David Dewar Formerly With Stifel, Nicolaus & Company, Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is David Dewar formerly with Stifel, Nicolaus & Company, Inc.? David Dewar (CRD #66808) who was formerly registered with Stifel, Nicolaus & Company, Inc. and located in Lake Forest, Illinois is a subject of one of our many securities industry sales practice abuse investigations. David Dewar Customer Complaint David Dewar has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that the client alleges that registered representative was negligent and failed to advise client of material facts regarding a stock that declined in value. David Dewar’s customer complaint was denied and the customer did not take any further action. David Dewar Red Flags & Your Rights As An Investor Of course, David Dewar 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 Dewar at Stifel, Nicolaus & Company, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Dewar has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Stifel, Nicolaus & Company, Inc. Due To David Dewar If you have questions about Stifel, Nicolaus & Company, Inc. and/or David Dewar 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

Coleman Devlin of IFS Securities

DID COLEMAN JOSEPH DEVLIN CAUSE YOU INVESTMENT LOSSES? Coleman Joseph Devlin formerly with IFS Securities and Stifel, Nicolaus & Co., Inc. Has 18 Customer Complaints for Alleged Broker Misconduct Who is Coleman J. Devlin formerly with IFS Securities? Coleman Devlin (CRD #2317635) who was formerly registered with IFS Securities and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations.   Prior to IFS Securities, Coleman Devlin was associated with Stifel, Nicolaus & Company, Incorporated, and 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Coleman Devlin has had his share of regulatory problems with 2 suspensions by FINRA in 2003 and then again in 2017 for allegedly violating FINRA f/k/a NASD Conduct Rules.   Recently, he consented to a 30-day suspension and $5,000 fine for allegedly exercising discretion, and customer’s accounts without obtaining prior written authorization from the customers and without acceptance of the accounts as discretionary by his former employer, Stifel, Nicolaus & Company, Incorporated.  Years before, he had been suspended and fined $10,000 for recommending unsuitable and uncovered options trading to a customer and also exercising discretion in other clients’ accounts without prior written authority or acceptance of the account as discretionary by his employer.  It’s incredible that FINRA has allowed Coleman Devlin to continue to work in this industry. Stifel, Nicolaus & Co., Inc. Broker Misconduct In his career, Coleman Devlin has been the subject of 18 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Thirteen of those complaints occurred in connection with his employment at Stifel, Nicolaus & Company, Incorporated. Fourteen of Coleman Devlin’s 18 customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against Coleman Devlin’s former employer Stifel, Nicolaus & Company, Incorporated for investment losses caused by his alleged misconduct. Allegations Against Coleman Devlin A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleged that Coleman Devlin executed unauthorized transactions, recommended an unsuitable investment strategy, and made misstatements and omissions. The claimant alleged fraud, breach of contract, breach of fiduciary duty, and violation of the Maryland Securities Act. Claimants alleged that Coleman Devlin over-concentrated their accounts in a narrow segment of the market. Multiple clients alleged that Coleman Devlin made unsuitable and unauthorized transactions in their accounts.  Claimants alleged that Coleman Devlin over-concentrated their accounts in aggressive and speculative securities without their authorization. Multiple clients alleged that the transactions in their accounts were not authorized and not appropriate for their investment objectives or risk levels.   The client alleged that the financial advisor made unsuitable recommendations of high-risk and volatile stocks. The client alleged unauthorized trading and churning of his account. Customers alleged that Coleman Devlin made unauthorized trades and inappropriate investments resulting in excessive and unnecessary commissions in their accounts. Claimants alleged breach of contract, selling away, professional negligence, breach of fiduciary duty, violation of the Maryland Securities Act and for over $11.5 million in damages in a case that still pent Coleman Devlin Red Flags & Your Rights as An Investor Of course, Coleman Devlin 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 Coleman Devlin at IFS Securities and Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Coleman Devlin has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Stifel, Nicolaus & Company, Incorporated 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 IFS Securities And Stifel, Nicolaus & Co., Inc.  If you have questions about IFS Securities, Stifel, Nicolaus & Company, Incorporated and/or Coleman Devlin 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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