Feb 18, 2022

Artemio Mercado of Wells Fargo Clearing Services, LLC

DID ARTEMIO F. MERCADO CAUSE YOU INVESTMENT LOSSES? Artemio Mercado Of Wells Fargo Clearing Services, LLC And Formerly With J.P. Morgan Securities LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Artemio Mercado of Wells Fargo Clearing Services, LLC? Artemio Mercado (CRD #2884434) who is currently registered with Wells Fargo Clearing Services, LLC and located in Hallandale, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Wells Fargo Clearing Services, LLC, Artemio Mercado was associated with J.P. Morgan Securities LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Artemio Mercado Customer Complaints Artemio Mercado has been the subject of 2 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Both of Artemio Mercado’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Artemio Mercado A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Failure to advise customer about investment risks using this strategy involving margin and concentrated equity positions. Mismanagement of managed account. Artemio Mercado Red Flags & Your Rights As An Investor Of course, Artemio Mercado 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 Artemio Mercado at Wells Fargo Clearing Services, LLC and J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Artemio Mercado has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC and J.P. Morgan 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 Wells Fargo Clearing Services, LLC Due To Artemio Mercado If you have questions about Wells Fargo Clearing Services, LLC, J.P. Morgan Securities LLC and/or Artemio Mercado 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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Jan 20, 2022

Charles Christiansen of Wells Fargo Clearing Services

DID CHARLES WINSTON CHRISTIANSEN CAUSE YOU INVESTMENT LOSSES? Charles Christiansen of Wells Fargo Clearing Services Has 2 Customer Complaints for Alleged Broker Misconduct Who is Charles Christiansen of Wells Fargo Clearing Services? Charles Christiansen (CRD #816900) who is currently registered with Wells Fargo Clearing Services and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations. Charles Christiansen Customer Complaints Charles Christiansen has been the subject of 2 customer complaints that we know about. One of Charles Christiansen’s 2 customer complaints resulted in an arbitration award in favor of the investors. One of Charles Christiansen’s 2 customer complaints was settled in favor of investors for $1,750,000. Allegations Against Charles Christiansen A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Charles Christiansen’s alleged failure to supervise financial advisor’s handling of accounts. The claimant alleges that the branch manager failed to supervise Charles Christiansen the FA managing the Claimant’s accounts. Charles Christiansen Red Flags & Your Rights as An Investor Of course, Charles Christiansen 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 Charles Christiansen at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Charles Christiansen has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Wells Fargo Clearing Services 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 Wells Fargo Clearing Services Due to Charles Christiansen If you have questions about Wells Fargo Clearing Services and/or Charles Christiansen 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

Gordon Bryan of Ameriprise Financial Services, LLC

DID GORDON LEONARD BRYAN CAUSE YOU INVESTMENT LOSSES? Gordon Bryan of Ameriprise Financial Services, LLC And Formerly With Wells Fargo Clearing Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Gordon Bryan of Ameriprise Financial Services, LLC? Gordon Bryan (CRD #1292315) who is currently registered with Ameriprise Financial Services, LLC and located in Terre Haute, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, LLC, Gordon Bryan was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gordon Bryan Customer Complaints Gordon Bryan has been the subject of 3 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. Two of Gordon Bryan’s 3 customer complaints were settled in favor of investors. One of Gordon Bryan’s customers’ complaints was denied and the customers did not take any further action. Allegations Against Gordon Bryan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleges misrepresentation of sales charges on variable annuity purchases by Gordon Bryan. Clients complained that Gordon Bryan allegedly provided incorrect information regarding available assets and that advisory assets were excessively traded for fees. Gordon Bryan Red Flags & Your Rights As An Investor Of course, Gordon Bryan 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 Gordon Bryan at Ameriprise Financial Services, LLC and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Gordon Bryan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC and Wells Fargo Clearing Services 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 Ameriprise Financial Services, LLC Due To Gordon Bryan If you have questions about Ameriprise Financial Services, LLC, Wells Fargo Clearing Services, and/or Gordon Bryan 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

James Alioto of Raymond James Associates

DID JAMES FREDERICK ALIOTO CAUSE YOU INVESTMENT LOSSES? James Alioto of Raymond James Associates and Formerly with Wells Fargo Clearing Services Has A Customer Complaint for Alleged Broker Misconduct Who is James Alioto of Raymond James Associates? James Alioto (CRD #827086) who is currently registered with Raymond James Associates and located in Waukesha, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Associates, James Alioto was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Alioto Customer Complaint James Alioto 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 client complained that a purchase was transacted in her account without her knowledge or approval. James Alioto’s customer complaint was denied and the customers did not take any further action. James Alioto Red Flags & Your Rights as An Investor Of course, James Alioto 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 James Alioto at Raymond James Associates and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether James Alioto has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Raymond James Associates and Wells Fargo Clearing Services also raises questions about the brokerage firm 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 Raymond James Associates Due to James Alioto If you have questions about Raymond James Associates, Wells Fargo Clearing Services, and/or James Alioto 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

Patricia Bebber of Wells Fargo Clearing Services, LLC

DID PATRICIA MARIANNE BEBBER CAUSE YOU INVESTMENT LOSSES? Patricia Bebber of Wells Fargo Clearing Services, LLC And Formerly With Credit Suisse Securities (USA) Has One Customer Complaint For Alleged Broker Misconduct Who is Patricia Bebber of Wells Fargo Clearing Services, LLC? Patricia Bebber (CRD #1355026) who is currently registered with Wells Fargo Clearing Services, LLC and located in Coral Gables, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Patricia Bebber was associated with Credit Suisse Securities (USA) and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Patricia Bebber Customer Complaint Patricia Bebber 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 the client verbally complained that the financial advisor failed to take appropriate action to prevent him from depleting his assets through speculative transactions and unsustainable withdrawals. Patricia Bebber’s customer complaint was settled in favor of the investors. Patricia Bebber Red Flags & Your Rights As An Investor Of course, Patricia Bebber 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 Patricia Bebber at Wells Fargo Clearing Services, LLC and Credit Suisse Securities (USA) on alert to review carefully the activity and performance of their accounts and question whether Patricia Bebber has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC and Credit Suisse Securities (USA) 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 Wells Fargo Clearing Services, LLC Due To Patricia Bebber If you have questions about Wells Fargo Clearing Services, LLC, Credit Suisse Securities (USA), and/or Patricia Bebber 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

Russell Blum of International Assets Advisory, LLC

DID RUSSELL SCOTT BLUM CAUSE YOU INVESTMENT LOSSES? Russell Blum of International Assets Advisory, LLC, International Assets Investment Management And Formerly With SunTrust Investment Services, SunTrust Advisory Services and Wells Fargo Clearing Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Russell Blum of International Assets Advisory, LLC? Russell Blum (CRD #1276754) who is currently registered with International Assets Advisory, LLC, International Assets Investment Management and located in Vero Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to International Assets Advisory, LLC, International Assets Investment Management, Russell Blum was associated with SunTrust Investment Services, SunTrust Advisory Services, Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Russell Blum Customer Complaints Russell Blum has been the subject of 3 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of Russell Blum’s 3 customer complaints was settled in favor of investors. One of Russell Blum’s customers complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against SunTrust Investment Services for investment losses caused by Russell Blum’s alleged misconduct. Allegations Against Russell Blum A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleges Russell Blum over-concentrated her portfolio in unsuitable investments. Claimant alleges that investment recommendations allegedly made by Russell Blum over-concentrated his account in oil and gas stocks and low-priced speculative securities which were misrepresented and unsuitable. Client stated that following representative’s reasoning resulted in his holding investments which resulted in losses to his accounts allegedly by Russell Blum. Russell Blum Red Flags & Your Rights As An Investor Of course, Russell Blum 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 Russell Blum at International Assets Advisory, LLC, International Assets Investment Management, SunTrust Advisory Services, SunTrust Investment Services, and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Russell Blum has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at International Assets Advisory, LLC, International Assets Investment Management, SunTrust Advisory Services, SunTrust Investment Services, and Wells Fargo Clearing Services 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 International Assets Advisory, LLC Due To Russell Blum If you have questions about International Assets Advisory, LLC, International Assets Investment Management, SunTrust Advisory Services, SunTrust Investment Services, Wells Fargo Clearing Services, and/or Russell Blum 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

Paul Akre of Merrill Lynch

DID PAUL ANTHONY AKRE CAUSE YOU INVESTMENT LOSSES? Paul Akre Formerly with Merrill Lynch Pierce Fenner Smith Has 2 Customer Complaints for Alleged Broker Misconduct Who is Paul Akre formerly with Merrill Lynch Pierce Fenner Smith? Paul Akre (CRD #1068145) who was formerly registered with Merrill Lynch Pierce Fenner Smith and located in Waukesha, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Paul Akre was also the subject of a FINRA investigation concerning allegations that he loaned money to clients and was involved in an undisclosed, unapproved outside business activity.  The investigation concluded with Paul Akre consenting to a four-month suspension and a $15,000 fine.  Paul Akre Customer Complaint Paul Akre has been the subject of 2 customer complaints that we know about, one of which was filed in the last year to recover investment losses. One of Paul Akre’s customers’ complaints was denied and the customers did not take any further action. The customer complaint filed against Paul Akre’s former employer Wells Fargo Advisors for investment losses caused by the alleged misconduct is pending as of the date of this report. Allegations Against Paul Akre A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants allege Paul Akre sold them private securities that were unsuitable investments. Customer questions the appropriateness of the stock recommendations by Paul Akre at Merrill Lynch. Paul Akre Red Flags & Your Rights as an Investor Of course, Paul Akre 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 Paul Akre at Merrill Lynch Pierce Fenner Smith on alert to review carefully the activity and performance of their accounts and question whether Paul Akre has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Merrill Lynch Pierce Fenner Smith 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 Merrill Lynch Pierce Fenner Smith Due to Paul Akre If you have questions about Merrill Lynch Pierce Fenner Smith, and/or Paul Akre 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

Michael Hickey of Wells Fargo Clearing Services

DID MICHAEL SHON HICKEY CAUSE YOU INVESTMENT LOSSES? Michael Hickey Of Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Michael Hickey of Wells Fargo Clearing Services? Michael Hickey (CRD #865291) who is currently registered with Wells Fargo Clearing Services and located in Mission Viejo, California is a subject of one of our many securities industry sales practice abuse investigations. Michael Hickey Customer Complaints Michael Hickey 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. Two of Michael Hickey’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Michael Hickey 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 the closed end funds purchased in his account by Michael Hickey were not in accordance with his instructions. Client claimed excessive commissions related to distributions from her brokerage account could have been avoided if the distributions would have instead been withdrawn from her annuity allegedly by Michael Hickey. Michael Hickey Red Flags & Your Rights As An Investor Of course, Michael Hickey 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 Hickey at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Michael Hickey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services 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 Wells Fargo Clearing Services Due To Michael Hickey If you have questions about Wells Fargo Clearing Services and/or Michael Hickey 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

Karen Higgins of Ameriprise Financial Services

DID KAREN DREESSEN HIGGINS CAUSE YOU INVESTMENT LOSSES? Karen Higgins of Ameriprise Financial Services And Formerly With Wells Fargo Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Karen Higgins of Ameriprise Financial Services? Karen Higgins (CRD #1292160) who is currently registered with Ameriprise Financial Services and located in Richmond, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, Karen Higgins was associated with Wells Fargo Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Karen Higgins Customer Complaint Karen Higgins 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 client alleges the financial advisor misrepresented the terms of the investment. Karen Higgins’ customer complaint was denied and the customers did not take any further action. Karen Higgins Red Flags & Your Rights As An Investor Of course, Karen 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 Karen Higgins at Ameriprise Financial Services and Wells Fargo Advisors on alert to review carefully the activity and performance of their accounts and question whether Karen Higgins has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services and Wells Fargo 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 Ameriprise Financial Services Due To Karen Higgins If you have questions about Ameriprise Financial Services, Wells Fargo Advisors, and/or Karen 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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