Mar 8, 2022

Gregory Pease Formerly With International Assets Advisory

DID GREGORY THORMANN PEASE CAUSE YOU INVESTMENT LOSSES? Gregory Pease Formerly With International Assets Advisory And Wells Fargo Clearing Services Has 10 Customer Complaints For Alleged Broker Misconduct Who is Gregory Pease formerly with International Assets Advisory? Gregory Pease (CRD #2416561) who was formerly registered with International Assets Advisory and located in Hoboken, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to International Assets Advisory, Gregory Pease 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. Gregory Pease Customer Complaints Gregory Pease has been the subject of 10 customer complaints that we know about. Six of Gregory Pease’s 10 customer complaints were settled in favor of investors. One of Gregory Pease’s customers’ complaints was denied and, to date, the customer has not taken any further action. There are currently three pending customer complaints filed against Hayden Royal, International Asset Advisory, Noblebridge Wealth Management, Wells Fargo Clearing Services, and Morgan Stanley Smith Barney, for investment losses caused by Gregory Pease’s alleged misconduct. Allegations Against Gregory Pease A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Authorized third-party alleged Gregory Pease’s amount of trades performed in the disputed managed accounts and the fees associated with them were not consistent with the client’s objectives. Claimant alleged that Gregory Pease churned his account and recommended unsuitable money managers. Claimant claimed breach of fiduciary relationship, negligence, and lack of supervision allegedly by Gregory Pease. Client alleged that Gregory Pease failed to follow investment directives. Client initiated based on advice two annuity redemptions in which no taxes were withheld. Creating unexpected tax liability and increase Medicare premium costs. Client claimed lack of clarity and understanding of the advisory fees being charged on her accounts as result of annuity and account consolidation strategy. Client experienced investment loss in recent Q4 2018 market correction, in which losses occurred. Client stated unsuitable ETF and investment strategy with her tolerance and investor profile allegedly committed by Gregory Pease. Clients made allegations of unsuitability and unauthorized trading by Gregory Pease. Plaintiffs alleged that Gregory Pease did not properly explain the premium payments of an insurance product. The claimants alleged Gregory Pease made unsuitable recommendations. The claimants also alleged Mr. Pease made misrepresentations regarding the risks associated with their accounts. The customer alleged unauthorized transactions and misrepresentation by Gregory Pease. Gregory Pease Red Flags & Your Rights As An Investor Of course, Gregory Pease 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 Gregory Pease at International Assets Advisory and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Gregory Pease has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at International Assets Advisory 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 Due To Gregory Pease If you have questions about International Assets Advisory, Wells Fargo Clearing Services, and/or Gregory Pease 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

Michael New of BMO Harris Financial Advisors

DID JEREMY CHARLES NEWTON CAUSE YOU INVESTMENT LOSSES? Jeremy Newton Of Merrill Lynch Pierce Fenner & Smith, And Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jeremy Newton of Merrill Lynch Pierce Fenner & Smith? Jeremy Newton (CRD #4206456) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Jeremy Newton was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jeremy Newton Customer Complaints Jeremy Newton 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. Both of Jeremy Newton’s customers’ complaints were denied and, to date, the customers did not take any further action. Allegations Against Jeremy Newton A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customers alleged that Jeremy Newton did not keep them informed of the liquidity issues regarding auction rate securities and that financial advisor represented that an investment in auction rate securities was liquid. The customer alleged Jeremy Newton’s misrepresentations and failure to follow instructions. Jeremy Newton Red Flags & Your Rights As An Investor Of course, Jeremy Newton 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 Jeremy Newton at Merrill Lynch Pierce Fenner & Smith and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jeremy Newton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith and 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 Merrill Lynch Pierce Fenner & Smith Due To Jeremy Newton If you have questions about Merrill Lynch Pierce Fenner & Smith, Morgan Stanley and/or Jeremy Newton 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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Jan 20, 2022

Francis Aurino of Morgan Stanley

DID FRANCIS JAMES AURINO CAUSE YOU INVESTMENT LOSSES? Francis Aurino of Morgan Stanley Has 4 Customer Complaints for Alleged Broker Misconduct Who is Francis Aurino of Morgan Stanley? Francis Aurino (CRD #1754375) who is currently registered with Morgan Stanley and located in Beverly Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Francis Aurino Customer Complaints Francis Aurino has been the subject of 4 customer complaints that we know about. There is currently one pending customer complaint filed against Morgan Stanley for investment losses caused by Francis Aurino’s alleged misconduct. Three of Francis Aurino’s customer’s complaints were denied and the customers did not take any further action. Allegations Against Francis Aurino A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The claimant alleges, inter alia, that Francis Aurino misrepresented securities that were not suitable for her investment portfolio. Claimants allege, inter alia, unsuitability with respect to investments by Francis Aurino. The client alleged bonds were unsuitable and misrepresented by Francis Aurino. Damages unspecified. The client alleged that Francis Aurino promised to take action in the account to minimize losses during a lengthy market downturn but did not do so. Francis Aurino Red Flags & Your Rights as An Investor Of course, Francis Aurino 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 Francis Aurino at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Francis Aurino has engaged in any stockbroker misconduct that may have caused them investment losses. A 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 Francis Aurino If you have questions about Morgan Stanley and/or Francis Aurino 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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