Mar 7, 2022

Jason Pence of Charles Schwab

DID JASON GREGORY PENCE CAUSE YOU INVESTMENT LOSSES? Jason Pence Of Charles Schwab Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jason Pence of Charles Schwab? Jason Pence (CRD #4473386) who is currently registered with Charles Schwab and located in Westlake, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Jason Pence Customer Complaints Jason Pence has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Jason Pence’s 2 customer complaints was settled in favor of investors. One of Jason Pence’s customers’ complaints was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Allegations Against Jason Pence 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 trades placed by Jason Pence on May 15, 2020 were unauthorized. Client claimed that Jason Pence allegedly neglected to disclose surrender charges for an American Express Rava Variable Annuity carrying a 10 year surrender schedule. Jason Pence Red Flags & Your Rights As An Investor Of course, Jason Pence 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 Jason Pence at Charles Schwab on alert to review carefully the activity and performance of their accounts and question whether Jason Pence has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab 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 Charles Schwab Due To Jason Pence If you have questions about Charles Schwab and/or Jason Pence 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

Sonya Taylor of Emerson Equity

DID SONYA MOZELESKI TAYLOR CAUSE YOU INVESTMENT LOSSES? Sonya Taylor Of Emerson Equity LLC And Formerly With Oak Tree Securities Has One Customer Complaint For Alleged Broker Misconduct Who is Sonya Taylor of Emerson Equity LLC? Sonya Taylor (CRD #2742405) who is currently registered with Emerson Equity LLC and located in Hollister, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Emerson Equity LLC, Sonya Taylor was associated with Oak Tree Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sonya Taylor Customer Complaint Sonya Taylor 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 poor performance. Sonya Taylor’s customer complaint was settled in favor of the investors. Sonya Taylor Red Flags & Your Rights As An Investor Of course, Sonya Taylor 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 Sonya Taylor at Emerson Equity LLC and Oak Tree Securities on alert to review carefully the activity and performance of their accounts and question whether Sonya Taylor has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Emerson Equity LLC and Oak Tree Securities also raises questions about the brokerage firm’ssupervisory 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 Emerson Equity LLC Due To Sonya Taylor If you have questions about Emerson Equity LLC, Oak Tree Securities, and/or Sonya Taylor 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

Jayne Wakeman of Edward Jones

DID JAYNE WAKEMAN CAUSE YOU INVESTMENT LOSSES? Jayne Wakeman Of Edward Jones Has 4 Customer Complaints For Alleged Broker Misconduct Who is Jayne Wakeman of Edward Jones? Jayne Wakeman (CRD #4334599) who is currently registered with Edward Jones and located in The Villages, Florida is a subject of one of our many securities industry sales practice abuse investigations. Jayne Wakeman Customer Complaints Jayne Wakeman has been the subject of 4 customer complaints that we know about. Three of Jayne Wakeman’s 4 customer complaints were settled in favor of investors. One of Jayne Wakeman’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Jayne Wakeman A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Clients claimed they made changes from their annuities to life insurance. Clients claimed they were informed by Jayne Wakeman there were losses associated with the annuity they were surrendering. Clients later learned upon receiving a 1099R there was a taxable gain of $132,889. This resulted in additional income taxes due in the amount of approx. $32,000. Clients believed Jayne Wakeman allegedly did not properly research the cost basis and believe this could have been avoided if the Jayne Wakeman understood the tax consequences of the transactions and properly advised them. Client claimed Jayne Wakeman informed him he could transfer his account to a new plan and because she handled both plans she could pay off the loan in the former plan without incurring taxes and/or penalties. Client claimed the transfer to the 401k was done, however, he incurred penalties and taxes contrary to the representations made by Jayne Wakeman.  Client claimed he made Jayne Wakeman fully aware of his need for this transaction to not cost him anything. Client believed the Jayne Wakeman advised him incorrectly and he did not believe he should incur the cost. Client transferred in aggressive stocks and mutual funds on margin and complained of losses related to the securities and use of margin. Claims set forth for violation of Florida Securities Act, negligence, breach of fiduciary duty, and failure to supervise allegedly by Jayne Wakeman. The client alleged that Jayne Wakeman delayed in following his sell instructions, allegedly causing him market loss. Jayne Wakeman Red Flags & Your Rights As An Investor Of course, Jayne Wakeman 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 Jayne Wakeman at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Jayne Wakeman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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 Edward Jones Due To Jayne Wakeman If you have questions about Edward Jones and/or Jayne Wakeman 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

Johnny Guan of Aegis Capital

DID JOHNNY GUAN CAUSE YOU INVESTMENT LOSSES? Johnny Guan Of Aegis Capital And Formerly With National Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Johnny Guan of Aegis Capital? Johnny Guan (CRD #5711977) who is currently registered with Aegis Capital and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Johnny Guan was associated with National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Johnny Guan Customer Complaints Johnny Guan has been the subject of 2 customer complaints that we know about. Both of Johnny Guan’s 2 customer complaints were settled in favor of investors. Allegations Against Johnny Guan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Johnny Guan’ alleged unsuitable investment recommendations, misrepresentations, negligence. Claimants alleged Johnny Guan’s unsuitable investment recommendations, over concentration, unauthorized transactions, breach of fiduciary duty. Johnny Guan Red Flags & Your Rights As An Investor Of course, Johnny Guan 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 Johnny Guan at Aegis Capital and National Securities on alert to review carefully the activity and performance of their accounts and question whether Johnny Guan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital and National Securities also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Aegis Capital Due To Johnny Guan If you have questions about Aegis Capital, National Securities, and/or Johnny Guan 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

Jason Holland of Truist Investment Services

DID JASON EDGAR HOLLAND CAUSE YOU INVESTMENT LOSSES? Jason Holland Of Truist Investment Services And Formerly With PNC Investments And SunTrust Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is Jason Holland of Truist Investment Services? Jason Holland (CRD #5620575) who is currently registered with Truist Investment Services and located in Cocoa, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Truist Investment Services, Jason Holland was associated with PNC Investments, SunTrust Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jason Holland Customer Complaint Jason Holland 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 the client did not want the annuity anymore and said she wanted to be able to access her money without penalty. She wanted all her money back. Jason Holland’s customer complaint was denied and, to date, the customer has not taken any further action. Jason Holland Red Flags & Your Rights As An Investor Of course, Jason Holland 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 Jason Holland at Truist Investment Services, PNC Investments, and SunTrust Investment Services on alert to review carefully the activity and performance of their accounts and question whether Jason Holland has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Truist Investment Services, PNC Investments, and SunTrust 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 Truist Investment Services Due To Jason Holland If you have questions about Truist Investment Services, PNC Investments, SunTrust Investment Services, and/or Jason Holland 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

Asa Jewett of Edward Jones

DID ASA THORP JEWETT CAUSE YOU INVESTMENT LOSSES? Asa Jewett Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Asa Jewett of Edward Jones? Asa Jewett (CRD #4568073) who is currently registered with Edward Jones and located in Portsmouth, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Asa Jewett Customer Complaint Asa Jewett 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 Asa Jewett’s recommendations to purchase variable annuities was unsuitable. Asa Jewett’s customer complaint was denied and, to date, the customer has not taken any further action. Asa Jewett Red Flags & Your Rights As An Investor Of course, Asa Jewett 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 Asa Jewett at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Asa Jewett has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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 Edward Jones Due To Asa Jewett If you have questions about Edward Jones and/or Asa Jewett 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

Adam Laakko Formerly With MML Investors Services

DID ADAM MICHAEL LAAKKO CAUSE YOU INVESTMENT LOSSES? Adam Laakko Formerly With MML Investors Services And MSI Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Adam Laakko formerly with MML Investors Services? Adam Laakko (CRD #5876826) who was formerly registered with MML Investors Services and located in Grand Rapids, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Adam Laakko was associated with MSI Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Adam Laakko Customer Complaint Adam Laakko 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 the complainant alleged that the recommendation from Adam Laakko to transfer her variable annuity into an advisory account was unsuitable. The complainant said that had she known what the tax consequence would have been, she never would have surrendered her variable annuity. Adam Laakko’s customer complaint was denied and, to date, the customer has not taken any further action. Adam Laakko Red Flags & Your Rights As An Investor Of course, Adam Laakko 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 Laakko at MML Investors Services and MSI Financial Services on alert to review carefully the activity and performance of their accounts and question whether Adam Laakko has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services and MSI Financial 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 MML Investors Services Due To Adam Laakko If you have questions about MML Investors Services, MSI Financial Services, and/or Adam Laakko 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

Paul Larson of Larson Financial Securities

DID PAUL DOUGLAS LARSON CAUSE YOU INVESTMENT LOSSES? Paul Larson Of Larson Financial Securities, Larson Capital Management, Larson Financial Group And Larson Wealth Partners Has 3 Customer Complaints For Alleged Broker Misconduct Who is Paul Larson of Larson Financial Securities? Paul Larson (CRD #4422245) who is currently registered with Larson Financial Securities, Larson Capital Management, Larson Financial Group, Larson Wealth Partners and located in Chesterfield, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Paul Larson Customer Complaints Paul Larson has been the subject of 3 customer complaints that we know about. All three of Paul Larson’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Paul Larson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Clients sent a letter to Paul Larson alleging unsuitable recommendation and undisclosed policy limitations. Client alleged Paul Larson’s unsuitable product and omission of material information regarding fees, use and structure of the policy. In a complaint regarding a former representative, Jeffrey Larson, the former customer alleged that Mr. Paul Larson failed to supervise the alleged activities of Jeffrey Larson. Paul Larson Red Flags & Your Rights As An Investor Of course, Paul Larson 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 Paul Larson at Larson Financial Securities, Larson Capital Management, Larson Financial Group, and Larson Wealth Partners on alert to review carefully the activity and performance of their accounts and question whether Paul Larson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Larson Financial Securities, Larson Capital Management, Larson Financial Group, and Larson Wealth Partners 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 Larson Financial Securities Due To Paul Larson If you have questions about Larson Financial Securities, Larson Capital Management, Larson Financial Group, Larson Wealth Partners, and/or Paul Larson 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

Kevin Dicke Formerly With MML Investors Services

DID KEVIN ROBERT DICKE CAUSE YOU INVESTMENT LOSSES? Kevin Dicke Formerly With MML Investors Services Has A Customer Complaint For Alleged Broker Misconduct Who is Kevin Dicke formerly with MML Investors Services? Kevin Dicke (CRD #4584138) who was formerly registered with MML Investors Services and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Kevin Dicke Customer Complaint Kevin Dicke 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 Kevin Dicke made unsuitable investment recommendations. Kevin Dicke’s customer complaint was settled in favor of the investors. Kevin Dicke Red Flags & Your Rights As An Investor Of course, Kevin Dicke 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 Kevin Dicke at MML Investors Services on alert to review carefully the activity and performance of their accounts and question whether Kevin Dicke has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors 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 MML Investors Services Due To Kevin Dicke If you have questions about MML Investors Services and/or Kevin Dicke 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

Jeffrey Johnson formerly with Morgan Stanley

DID JEFFREY MICHAEL JOHNSON CAUSE YOU INVESTMENT LOSSES? Jeffrey Johnson Formerly With Morgan Stanley Has 4 Customer Complaints For Alleged Broker Misconduct Who is Jeffrey Johnson formerly with Morgan Stanley? Jeffrey Johnson (CRD #5522469) who was formerly registered with Morgan Stanley and located in Birmingham, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Jeffrey Johnson has been the subject of at least 2 FINRA investigations, 1 of the investigations related to the nonpayment of arbitration award entered against him.  The other investigation related to his alleged participation in an outside business activity in private securities transaction that receiving approval from the firm.  Without admitting or denying the allegations, Jeffrey Johnson consented to a seven-month suspension and $10,000 fine. Jeffrey Johnson Customer Complaints Jeffrey Johnson has been the subject of 4 customer complaints that we know about. One arbitration award was entered against Raymond James Associates for Jeffrey Johnson’s alleged misconduct causing investors losses. Three of Jeffrey Johnson’s 4 customer complaints were settled in favor of investors. Allegations Against Jeffrey Johnson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged: Jeffrey Johnson’s unsuitability, breach of fiduciary duty, common law fraud/innocent misrepresentation, negligence, violations of the Michigan Uniform Securities Act, breach of contract. Claimants alleged, inter alia, unsuitability with respect to the recommendation to surrender variable annuities by Jeffrey Johnson. Client verbally alleged, inter alia, Jeffrey Johnson’s failure to follow instructions with respect to risk tolerance. Claimant alleged: Suitability, Negligence, Breach of Fiduciary Duty, Securities Fraud, Misrepresentations and Omissions of Material Facts, Violations of Michigan Uniform Securities Act 410(a) by Jeffrey Johnson. Jeffrey Johnson Red Flags & Your Rights As An Investor Of course, Jeffrey Johnson 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 Jeffrey Johnson at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Johnson 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 Jeffrey Johnson If you have questions about Morgan Stanley and/or Jeffrey Johnson 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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