Dec 7, 2022

Douglas Massey of UBS Financial Services, Inc.

DID DOUGLAS MADISON MASSEY CAUSE YOU INVESTMENT LOSSES? Douglas Massey Of UBS Financial Services, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Douglas Massey of UBS Financial Services, Inc.? Douglas Massey(CRD #4740798) who is currently registered with UBS Financial Services, Inc. and located in Boston, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations.   Douglas Massey Customer Complaint Douglas Massey 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 and unsuitable investment recommendations to invest in and hold an option’s overlay strategy. Douglas Massey’s customer complaint was withdrawn and, to date, the customer has not taken any further action. Douglas Massey Red Flags & Your Rights As An Investor Of course, Douglas Massey 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 Douglas Massey at UBS Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Douglas Massey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services, 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 UBS Financial Services, Inc. Due To Douglas Massey If you have questions about UBS Financial Services, Inc. and/or Douglas Massey 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.

Continue Reading

Nov 28, 2022

Dennis Karjanis of Aegis Capital Corp.

DID DENNIS JOSEPH KARJANIS CAUSE YOU INVESTMENT LOSSES? Dennis Karjanis Of Aegis Capital Corp. And Formerly With National Securities Corporation Has 2 Customer Complaints For Alleged Broker Misconduct Who is Dennis Karjanis of Aegis Capital Corp.? Dennis Karjanis (CRD #5280862) 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., Dennis Karjanis was associated with National Securities Corporation and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Dennis Karjanis Customer Complaints Dennis Karjanis 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. Both of Dennis Karjanis’ customer complaints were settled in favor of investors. Allegations Against Dennis Karjanis A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendation of private placement. Misrepresentation and unsuitable investment recommendation a over-the-counter securities. Dennis Karjanis Red Flags & Your Rights As An Investor Of course, Dennis Karjanis 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 Dennis Karjanis at Aegis Capital Corp. and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Dennis Karjanis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp. and National Securities Corporation 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 Dennis Karjanis If you have questions about Aegis Capital Corp., National Securities Corporation, and/or Dennis Karjanis 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.

Continue Reading

Nov 15, 2022

David Cohen of Craft Capital Management LLC

DID DAVID MATTHEW COHEN CAUSE YOU INVESTMENT LOSSES? David Cohen Of Craft Capital Management LLC And Formerly With Spartan Capital Securities, LLC Has 5 Customer Complaints For Alleged Broker Misconduct Who is David Cohen of Craft Capital Management LLC? David Cohen (CRD #5858234) who is currently registered with Craft Capital Management LLC and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Craft Capital Management LLC, David Cohen was associated with Spartan Capital Securities, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Cohen Customer Complaints David Cohen has been the subject of 5 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Four of David Cohen’s 5 customer complaints were settled in favor of investors. One of David Cohen’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against David Cohen A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable trading in common and preferred stocks Excessive commissions, unauthorized trading, and failure to place stop loss order Unauthorized trading Excessive trading and improper use of margin account Misrepresentation of account value David Cohen Red Flags & Your Rights As An Investor Of course, David Cohen 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 Cohen at Craft Capital Management LLC and Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether David Cohen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Craft Capital Management LLC and Spartan Capital 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 Craft Capital Management LLC Due To David Cohen If you have questions about Craft Capital Management LLC, Spartan Capital Securities, LLC, and/or David Cohen 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.

Continue Reading

Jul 26, 2022

Claudio Gambin Neto of MML Investors Services, LLC

As a client, you entrust your money to a broker who you can trust. This is why it’s important to know all there is to know about the individual investing your funds. This information might help you decide whether or not to deal with a specific broker. If you believe Claudio Gambin has caused you financial damage, we may be able to assist you in addressing any concerns or problems you have. DID CLAUDIO M. GAMBIN NETO CAUSE YOU INVESTMENT LOSSES? Claudio Gambin Of MML Investors Services, LLC And Formerly With Northwestern Mutual Investment Has 2 Customer Complaints For Alleged Broker Misconduct Who is Claudio Gambin of MML Investors Services, LLC? Claudio Gambin (CRD #5752180) who is currently registered with MML Investors Services, LLC and located in Orlando, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to MML Investors Services, LLC, Claudio Gambin was associated with Northwestern Mutual Investment and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Claudio Gambin Customer Complaints Claudio Gambin 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 Claudio Gambin’s 2 customer complaints was settled in favor of investors. One of Claudio Gambin’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Claudio Gambin A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Misleading statements related to non-variable life insurance policy. Transfer of funds without customer’s authorization to pay premiums on life insurance policies. Claudio Gambin Red Flags & Your Rights As An Investor Of course, Claudio Gambin 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 Claudio Gambin at MML Investors Services, LLC and Northwestern Mutual Investment on alert to review carefully the activity and performance of their accounts and question whether Claudio Gambin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services, LLC and Northwestern Mutual Investment 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 MML Investors Services, LLC Due To Claudio Gambin If you have questions about MML Investors Services, LLC, Northwestern Mutual Investment, and/or Claudio Gambin 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.

Continue Reading

Jun 27, 2022

Adam Goodman of Stoever, Glass & Company Inc.

DID ADAM C. GOODMAN CAUSE YOU INVESTMENT LOSSES? Adam Goodman Of Stoever, Glass & Company Inc. And Formerly With Herbert J. Sims & Co., Inc. Has 7 Customer Complaints For Alleged Broker Misconduct Who is Adam Goodman of Stoever, Glass & Company Inc.? Adam Goodman (CRD #2263780) who is currently registered with Stoever, Glass & Company Inc. 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 Inc., Adam Goodman was associated with Herbert J. Sims & Co. Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Adam Goodman Customer Complaints Adam Goodman has been the subject of 7 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Four of Adam Goodman’s 7 customer complaints were settled in favor of investors. Two of Adam Goodman’s customer complaints were denied and, to date, the customers have not taken any further action. There is currently 1 pending customer complaint filed against Adam Goodman’s current employer Stoever, Glass & Company Inc. for investment losses caused by the alleged misconduct. Allegations Against Adam Goodman A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Customer alleged unsuitable investment recommendations in connection with a private placement and bond anticipation note investment. Client alleged unauthorized trading in overconcentration involving municipal and corporate bonds. Customer alleged misrepresentations and unauthorized trading in connection with junk bonds. Client alleged high pressure sales tactics unsuitable investment recommendations, fraud and negligence in connection with municipal bond transactions. Customer alleged that investment recommendation of an alleged speculative investment was unsuitable. Client complained about the suitability of a bond anticipation note investment. Customer alleged unauthorized trading and unsuitable corporate bond transactions. Adam Goodman Red Flags & Your Rights As An Investor Of course,  Adam Goodman 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 Goodman at Stoever, Glass & Company Inc. and Herbert J. Sims & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Adam Goodman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stoever, Glass & Company Inc. and Herbert J. Sims & Co. Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Stoever, Glass & Company Inc. Due To Adam Goodman If you have questions about Stoever, Glass & Company Inc., Herbert J. Sims & Co. Inc., and/or Adam Goodman 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.

Continue Reading

Jun 27, 2022

Cedric Powell of Ameriprise Financial Services LLC

It’s critical for everyone to learn all they can about the individuals with whom they entrust their money. There are several places where you may discover information on a person’s background, including prior employment history, regulatory enforcement actions, and consumer complaints. If you suffered investment losses due to Cedric Powell, we will do our best to answer any questions you may have. DID CEDRIC PERCELL POWELL CAUSE YOU INVESTMENT LOSSES? Cedric Powell Of Ameriprise Financial Services LLC And Formerly With Northwestern Mutual Investment Services, LLC Has 4 Customer Complaints For Alleged Broker Misconduct Who is Cedric Powell of Ameriprise Financial Services LLC? Cedric Powell (CRD #3249130) who is currently registered with Ameriprise Financial Services LLC and located in Tampa, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Ameriprise Financial Services LLC, Cedric Powell was associated with Northwestern Mutual Investment Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cedric Powell Customer Complaints Cedric Powell has been the subject of 4 customer complaints that we know about, 4 of those complaints were filed in the last year to recover investment losses. Two of Cedric Powell’s 4 customer complaints were settled in favor of investors. Two of Cedric Powell’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Cedric Powell A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Unauthorized withdrawals of funds from mutual fund account to pay premiums on insurance policies the customers were not aware existed. Financial Advisor purchase new life insurance policies as part of an investment portfolio and completed applications without their permission. Failure to explain risks of withdrawals from a 403B retirement account leading to unintended tax consequences. Cedric Powell Red Flags & Your Rights As An Investor Of course, Cedric Powell 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 Cedric Powell at Ameriprise Financial Services LLC and Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Cedric Powell 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 Northwestern Mutual Investment Services, 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 Ameriprise Financial Services LLC Due To Cedric Powell If you have questions about Ameriprise Financial Services LLC, Northwestern Mutual Investment Services, LLC, and/or Cedric Powell 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.

Continue Reading

Jun 27, 2022

Benjamin Fuchs formerly with Silver Oak Securities, Incorporated

DID BENJAMIN A. FUCHS CAUSE YOU INVESTMENT LOSSES? Benjamin Fuchs Formerly With Silver Oak Securities, Incorporated Has A Customer Complaint For Alleged Broker Misconduct Who is Benjamin Fuchs formerly with Silver Oak Securities, Incorporated? Benjamin Fuchs (CRD 6146479) who was formerly registered with Silver Oak Securities, Incorporated and located in Wethersfield, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Benjamin Fuchs Customer Complaint Benjamin Fuchs 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 misrepresentation related to non-traded REITs investment. Benjamin Fuchs’s customer complaint was settled in favor of the investors. Benjamin Fuchs Red Flags & Your Rights As An Investor Of course, Benjamin Fuchs 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 Benjamin Fuchs at Silver Oak Securities, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Benjamin Fuchs has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Silver Oak Securities, 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 Silver Oak Securities, Incorporated Due To Benjamin Fuchs If you have questions about Silver Oak Securities, Incorporated and/or Benjamin Fuchs 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.

Continue Reading

Mar 18, 2022

Burton Halpert of Morgan Stanley

DID BURTON SHELDON HALPERT CAUSE YOU INVESTMENT LOSSES? Burton Halpert Of Morgan Stanley Has 4 Customer Complaints For Alleged Broker Misconduct Who is Burton Halpert of Morgan Stanley? Burton Halpert (CRD #234619) who is currently registered with Morgan Stanley and located in Lutherville, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Burton Halpert Customer Complaints Burton Halpert has been the subject of 4 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Two of Burton Halpert’s 4customer complaints were settled in favor of investors. One of Burton Halpert’s customer complaints was denied and, to date, the customer has not taken any further action. There is currently 1 pending customer complaint filed against Burton Halpert’s former employer MSSB for investment losses caused by the alleged misconduct. Allegations Against Burton Halpert A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Misrepresentations regarding investments in Fannie Mae preferred stock. Unsuitable investment recommendations involving over-the-counter equity transactions. Misrepresentation of risk related to an investment in common and preferred stock. Unsuitable investment recommendations involving equity listed common and preferred stocks. Burton Halpert Red Flags & Your Rights As An Investor Of course, Burton Halpert 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 Burton Halpert at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Burton Halpert has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley 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 Morgan Stanley Due To Burton Halpert If you have questions about Morgan Stanley and/or Burton Halpert 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.

Continue Reading

Mar 9, 2022

William Hennion of Hennion & Walsh

DID WILLIAM HENNION CAUSE YOU INVESTMENT LOSSES? William Hennion Of Hennion & Walsh And Hennion Walsh Asset Management Has 2 Customer Complaints For Alleged Broker Misconduct William Hennion Customer Complaints William Hennion has been the subject of 2 customer complaints that we know about. One arbitration award was entered against Hennion & Walsh for William Hennion’s alleged misconduct causing investors losses. One of William Hennion’s  customer complaints was settled in favor of investors. Allegations Against William Hennion A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: William Hennion Red Flags & Your Rights As An Investor Of course, William Hennion 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 Hennion at Hennion & Walsh and Hennion Walsh Asset Management on alert to review carefully the activity and performance of their accounts and question whether William Hennion has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Hennion & Walsh and Hennion Walsh Asset Management 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 Hennion & Walsh Due To William Hennion If you have questions about Hennion & Walsh, Hennion Walsh Asset Management, and/or William Hennion 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.

Continue Reading

Mar 8, 2022

Christopher Naugle formerly with Cadaret Grant

DID CHRISTOPHER NAUGLE CAUSE YOU INVESTMENT LOSSES? Christopher Naugle Formerly With Cadaret Grant And NYLIFE Securities Has A Customer Complaint For Alleged Broker Misconduct Christopher Naugle Customer Complaint Christopher Naugle 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 claimant alleged that he was misled into retiring early and taking his pension in a lump sum and that the investments made in his managed accounts, were not in accordance with his investment objectives. The customer complaint filed against Christopher Naugle’s former employer NYLIFE Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Christopher Naugle Red Flags & Your Rights As An Investor Of course, Christopher Naugle 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 Christopher Naugle at Cadaret Grant and NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Christopher Naugle has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cadaret Grant and NYLIFE Securities also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Cadaret Grant Due To Christopher Naugle If you have questions about Cadaret Grant, NYLIFE Securities, and/or Christopher Naugle 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.

Continue Reading