Mar 8, 2022

Linda Howard of Waddell & Reed

DID LINDA KAREN HOWARD CAUSE YOU INVESTMENT LOSSES? Linda Howard Of Waddell & Reed Has 5 Customer Complaints For Alleged Broker Misconduct Who is Linda Howard of Waddell & Reed? Linda Howard (CRD #1922648) who is currently registered with Waddell & Reed and located in San Antonio, Texas is a subject of one of our many securities industry sales practice abuse investigations. Linda Howard Customer Complaints Linda Howard has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of Linda Howard’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Waddell & Reed for investment losses caused by Linda Howard’s alleged misconduct. Allegations Against Linda Howard A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Attorney for the executor of the client’s estate alleged Linda Howard engaged in false and misleading conduct with former POA agent in relation to opening an account in the client’s name, allowing the agent to designate beneficiaries other than the estate, and conspiring with the agent to deplete the assets of the estate. Client alleged Linda Howard’s purchase of a Exchange Traded Product was not authorized. Client also claimed her signature was forged. Client stated Linda Howard allegedly suggested moving funds from an annuity to a regular account with Edward Jones which resulted in creating a significant tax liability. Client alleged Howard should have been aware of the tax liability and should have provided this information to her prior to the surrender of the annuity. Client’s children, one of whom holds power of attorney, stated the client conducted business with Linda Howard allegedly unbeknownst to them. Children stated that their mother was evaluated and determined to have cognitive deficits. Children further alleged that their mother began living in a nursing home. Guardian for deceased client stated Linda Howard allegedly recommended investments that were unsuitable for the ward. Linda Howard Red Flags & Your Rights As An Investor Of course, Linda Howard 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 Linda Howard at Waddell & Reed on alert to review carefully the activity and performance of their accounts and question whether Linda Howard has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Waddell & Reed 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 Waddell & Reed Due To Linda Howard If you have questions about Waddell & Reed and/or Linda Howard 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

Larry George of Equitable Advisors

DID LARRY DAN GEORGE CAUSE YOU INVESTMENT LOSSES? Larry George Of Equitable Advisors Has 3 Customer Complaints For Alleged Broker Misconduct Who is Larry George of Equitable Advisors? Larry George (CRD #2864335) who is currently registered with Equitable Advisors and located in Chattanooga, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Larry George Customer Complaints Larry George has been the subject of 3 customer complaints that we know about.  All of Larry George’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Larry George 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 Larry George made unsuitable recommendations in the purchase of two variable annuities, and did not fully disclose the charges and fees associated with the annuities. Client alleged she was not properly informed by Larry George of the fees associated with her variable annuity at the time of sale. Client alleged that he purchased variable annuity contracts based on by Larry George’s representation that they would have the guaranteed minimum income benefit feature. Client alleged he learned that two of his annuity contracts did not have the benefits. Client requested the firm to add this feature to his contracts. Larry George Red Flags & Your Rights As An Investor Of course, Larry George 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 Larry George at Equitable Advisors on alert to review carefully the activity and performance of their accounts and question whether Larry George has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors 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 Equitable Advisors Due To Larry George If you have questions about Equitable Advisors and/or Larry George 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 Gibbs of Equitable Advisors

DID JAMES GIBBS CAUSE YOU INVESTMENT LOSSES? James Gibbs Of Equitable Advisors Has 4 Customer Complaints For Alleged Broker Misconduct Who is James Gibbs of Equitable Advisors? James Gibbs (CRD #3273705) who is currently registered with Equitable Advisors and located in Springfield, Illinois is a subject of one of our many securities industry sales practice abuse investigations. James Gibbs Customer Complaints James Gibbs 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 James Gibbs’ 4 customer complaints was settled in favor of investors. Three of James Gibbs’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against James Gibbs 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 James Gibbs’ misrepresentation in the purchase of a variable annuity. Client alleged that James Gibbs’ misrepresented federal national mortgage association bonds. Client alleged the variable annuity purchased was misrepresented by James Gibbs. James Gibbs allegedly sold Mutual Fund B shares instead of annuity. James Gibbs Red Flags & Your Rights As An Investor Of course, James Gibbs 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 Gibbs at Equitable Advisors on alert to review carefully the activity and performance of their accounts and question whether James Gibbs has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors 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 Equitable Advisors Due To James Gibbs If you have questions about Equitable Advisors and/or James Gibbs 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

Lois Davies of Royal Alliance Associates

DID LOIS DAVIES CAUSE YOU INVESTMENT LOSSES? Lois Davies Of Royal Alliance Associates, Inc. And Formerly With Signator Investors Has One Customer Complaint For Alleged Broker Misconduct Who is Lois Davies of Royal Alliance Associates, Inc.? Lois Davies (CRD #1738537) who is currently registered with Royal Alliance Associates, Inc. and located in Broadview Heights, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Royal Alliance Associates, Inc., Lois Davies was associated with Signator Investors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Lois Davies Customer Complaint Lois Davies 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 customer alleges that variable annuities purchased were misrepresented. Lois Davies’ customer complaint was denied and, to date, the customer has not taken any further action. Lois Davies Red Flags & Your Rights As An Investor Of course, Lois Davies 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 Lois Davies at Royal Alliance Associates, Inc. and Signator Investors on alert to review carefully the activity and performance of their accounts and question whether Lois Davies has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates and Signator Investors 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 Royal Alliance Associates, Inc. Due To Lois Davies If you have questions about Royal Alliance Associates, Inc., Signator Investors, and/or Lois Davies 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

John Davenport of Liberty Partners Financial Services

DID JOHN DAVENPORT CAUSE YOU INVESTMENT LOSSES? John Davenport Of Liberty Partners Financial Services, LLC, Liberty Partners Capital Management And Formerly With Securities America, Securities America Advisors Has 3 Customer Complaints For Alleged Broker Misconduct Who is John Davenport of Liberty Partners Financial Services, LLC? John Davenport (CRD #1448999) who is currently registered with Liberty Partners Financial Services, LLC, Liberty Partners Capital Management and located in Norwalk, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Liberty Partners Financial Services, LLC and Liberty Partners Capital Management, John Davenport was associated with Securities America, Securities America Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Davenport is that his share of regulatory problems as well. In 2019, he was investigated by FINRA and consented to a two-month suspension and fine of $20,000 for allegedly sharing commissions with a registered representative of another brokerage firm without the knowledge and consent of by the firm in violation of FINRA’s Code of Conduct. John Davenport Customer Complaints John Davenport has been the subject of 3 customer complaints that we know about. One of John Davenport’s 3 customer complaints was settled in favor of investors. One of John Davenport’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Liberty Partners Financial Services, LLC for investment losses caused by John Davenport’s alleged misconduct. Allegations Against John Davenport 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 John Davenport gave poor advice when he suggested client move his TRS account to a variable annuity. Client alleged they were not informed by John Davenport that contributions to a charitable remainder trust could not be subsequently withdrawn as a single sum payment. John Davenport’s  alleged violations of FINRA 2110, failure to observe high standards of commercial honor and just and equitable principles of trade, FINRA 2111 recommending and selling securities without adequate due diligence and without a reasonable basis; negligence, misrepresentation and omission of material fact, and breach of fiduciary duty. John Davenport Red Flags & Your Rights As An Investor Of course, John Davenport 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 John Davenport at Liberty Partners Financial Services, LLC, Liberty Partners Capital Management, Securities America, and Securities America Advisors on alert to review carefully the activity and performance of their accounts and question whether John Davenport has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Liberty Partners Financial Services, LLC, Liberty Partners Capital Management, Securities America, and Securities America Advisors 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 Liberty Partners Financial Services, LLC Due To John Davenport If you have questions about Liberty Partners Financial Services, LLC, Liberty Partners Capital Management, Securities America, Securities America Advisors, and/or John Davenport 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

Wendy Cundari of CUNA Brokerage Services

DID WENDY MARIE CUNDARI CAUSE YOU INVESTMENT LOSSES? Wendy Cundari Of CUNA Brokerage Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Wendy Cundari of CUNA Brokerage Services? Wendy Cundari (CRD #2118351) who is currently registered with CUNA Brokerage Services and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations. Wendy Cundari Customer Complaints Wendy Cundari 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 Wendy Cundari’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Wendy Cundari 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 she was not aware of the annual fees associated with the variable annuity she purchased. Client stated she was being charged 3.65% annually for the annuity allegedly made by Wendy Cundari. Unsuitable investments were allegedly purchased by Wendy Cundari for this client. Wendy Cundari Red Flags & Your Rights As An Investor Of course, Wendy Cundari 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 Wendy Cundari at CUNA Brokerage Services on alert to review carefully the activity and performance of their accounts and question whether Wendy Cundari has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at CUNA Brokerage 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 CUNA Brokerage Services Due To Wendy Cundari If you have questions about CUNA Brokerage Services and/or Wendy Cundari 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

Evan Wuhl Of Wells Fargo Clearing Services

DID EVAN RICHARD WUHL CAUSE YOU INVESTMENT LOSSES? Evan Wuhl Of Wells Fargo Clearing Services Has 16 Customer Complaints For Alleged Broker Misconduct Who is Evan Wuhl of Wells Fargo Clearing Services? Evan Wuhl (CRD #867812) who is currently registered with Wells Fargo Clearing Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Evan Wuhl Customer Complaints Evan Wuhl has been the subject of 16 customer complaints that we know about. Twelve of Evan Wuhl’s 16 customer complaints were settled in favor of investors. Four of Evan Wuhl’s customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against Evan Wuhl A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Evan Wuhl’s alleged unauthorized and unsuitable purchase of stock Claimants alleged that Evan Wuhl’s recommendations were unsuitable. Client complained that he is not willing to take big risks and his investments are down more than the percentage stated by the financial advisor. Claimant alleged that Evan Wuhl’s recommendations of leveraged ETFs were unsuitable. Claimant alleged that respondents and Evan Wuhl inappropriately repeatedly recommended the purchase of multiple share of an inverse-leveraged ETF and then liquidated the entire position in the ETF without her authorization. Claimant alleged unsuitability by Evan Wuhl in that respondents recommended the purchase of mutual funds, individual stocks and leveraged ETFs that were inconsistent with claimants’ investments objectives and financial circumstances. Claimant defined benefit plan alleged that Evan Wuhl’s recommendation of leveraged ETF was unsuitable and unauthorized. Claimants alleged unsuitable investment recommendations in both of two (2) accounts (even though one of these accounts was placed with a third-party money manager). The client alleged that Evan Wuhl placed trades in his account without his authority. The client further alleges the trade was unsuitable for his investment portfolio. The client alleged that Evan Wuhl purchased a security without his authorization. The client alleged that Evan Wuhl misrepresented his triple leveraged short EFT investments. Claimants alleged that Evan Wuhl allegedly recommended unsuitable investments, including both aggressive mutual funds and leveraged ETFs and engaged in unauthorized trading in claimants’ accounts. Evan Wuhl Red Flags & Your Rights As An Investor Of course, Evan Wuhl 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 Evan Wuhl at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Evan Wuhl 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 Evan Wuhl If you have questions about Wells Fargo Clearing Services and/or Evan Wuhl 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

Nicolas Barrios Formerly With UBS Financial Services

DID NICOLAS JESUS BARRIOS CAUSE YOU INVESTMENT LOSSES? Nicolas Barrios Formerly With UBS Financial Services Has 4 Customer Complaints For Alleged Broker Misconduct Who is Nicolas Barrios formerly with UBS Financial Services? Nicolas Barrios (CRD #2122824) who was formerly registered with UBS Financial Services and located in Winter Haven, Florida is a subject of one of our many securities industry sales practice abuse investigations. Nicolas Barrios was also the subject of a FINRA investigation into allegations that he mismanaged and committed fraud in customer’s account.  He allegedly failed to provide FINRA with the requested documents and information in connection with its investigation and was subsequently permanently barred from membership with any FINRA firm in any capacity. Nicolas Barrios Customer Complaints Nicolas Barrios has been the subject of 4 customer complaints that we know about. Three of Nicolas Barrios’ 4 customers’ complaints were denied and the customers did not take any further action. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by Nicolas Barrios’ alleged misconduct. Allegations Against Nicolas Barrios A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Florida resident writes that he should have been placed in safer investment allegedly by Nicolas Barrios. The client’s beneficiaries allege Nicolas Barrios invested in risky stocks for her age. She further alleges the FA stated he took her money and traded it outside of UBS. She finally alleges the client did not authorize stock trades and thought her money was safe. Nicolas Barrios Red Flags & Your Rights As An Investor Of course, Nicolas Barrios 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 Nicolas Barrios at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Nicolas Barrios has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial 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 UBS Financial Services Due To Nicolas Barrios If you have questions about UBS Financial Services and/or Nicolas Barrios 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

Stephen Schwarzman Of Blackstone Securities Partners L.P.

DID STEPHEN ALLEN SCHWARZMAN CAUSE YOU INVESTMENT LOSSES? Stephen Schwarzman Of Blackstone Securities Partners L.P. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Stephen Schwarzman of Blackstone Securities Partners L.P.? Stephen Schwarzman (CRD #861435) who is currently registered with Blackstone Securities Partners L.P. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Stephen Schwarzman Customer Complaints Stephen Schwarzman 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. The state court lawsuits concern Kentucky Retirement Systems’ investment in a Blackstone-managed fund and allege a variety of state law claims allegedly committed by Stephen Schwarzman.  Both of the customers’ complaints filed against Stephen Schwarzman’s former employer The Blackstone Group L.P. for investment losses caused by the alleged misconduct are pending as of the date of this report. Stephen Schwarzman Red Flags & Your Rights As An Investor Of course, Stephen Schwarzman 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 Stephen Schwarzman at Blackstone Securities Partners L.P. on alert to review carefully the activity and performance of their accounts and question whether Stephen Schwarzman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Blackstone Securities Partners L.P. 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 Blackstone Securities Partners L.P. Due To Stephen Schwarzman If you have questions about Blackstone Securities Partners L.P. and/or Stephen Schwarzman 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

Ian Pierce formerly with Northwestern Mutual Investment Services

DID IAN MICHAEL PIERCE CAUSE YOU INVESTMENT LOSSES? Ian Pierce Formerly With Northwestern Mutual Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is Ian Pierce formerly with Northwestern Mutual Investment Services? Ian Pierce (CRD #6205487) who was formerly registered with Northwestern Mutual Investment Services and located in West Hartford, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Ian Pierce Customer Complaint Ian Pierce 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 loans were taken from the complainant’s permanent life insurance policy without consent, and that the proceeds were transferred to the representative’s bank account. The complainant also produced fabricated transaction documentation given to her by the representative. Ian Pierce’s customer complaint was settled in favor of the investors. Ian Pierce Red Flags & Your Rights As An Investor Of course, Ian Pierce 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 Ian Pierce at Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Ian Pierce has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Northwestern Mutual Investment Services Due To Ian Pierce If you have questions about Northwestern Mutual Investment Services and/or Ian Pierce 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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