Mar 23, 2024

Ali Mahlooji of PHX Financial, Inc.

DID ALI BARRY MAHLOOJI CAUSE YOU INVESTMENT LOSSES? Ali Mahlooji Of PHX Financial, Inc. And Formerly With National Securities Corporation Has 4 Customer Complaints For Alleged Broker Misconduct Ali Mahlooji Customer Complaints Ali Mahlooji has been the subject of 4 customer complaints that we know about seeking to recover investment losses. Two of the customer complaints were settled by National Securities Corp. in favor of the investors for Ali Mahlooji’s alleged misconduct.  Another customer complaint was denied by the brokerage firm and the investor took no further action.  There is currently one customer complaint that evolved into a FINRA arbitration proceeding which was recently filed against National Securities Corp., for the advisor’s alleged misconduct and is still pending. Allegations Against Ali Mahlooji A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Ali Mahlooji Red Flags & Your Rights As An Investor Of course, Ali Mahlooji 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 Ali Mahlooji at PHX Financial, Inc. and National Securities Corporationon alert to review carefully the activity and performance of their accounts and question whether Ali Mahlooji has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PHX Financial, Inc. 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. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At PHX Financial, Inc. Due To Ali Mahlooji If you have questions about PHX Financial, Inc., National Securities Corporation and/or Ali Mahlooji 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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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.

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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

David Dunfee of Key Investment Services

DID DAVID DUNFEE CAUSE YOU INVESTMENT LOSSES? David Dunfee Of Key Investment Services LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is David Dunfee of Key Investment Services LLC? David Dunfee (CRD #2607525) who is currently registered with Key Investment Services LLC and located in Bangor, Maine is a subject of one of our many securities industry sales practice abuse investigations. David Dunfee Customer Complaints David Dunfee has been the subject of 3 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of David Dunfee’s 3 customer complaints was settled in favor of investors. Two of David Dunfee’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against David Dunfee A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client sent emails to David Dunfee alleging various issues, (poor recommendation, poor performance, poor service and unauthorized trading) regarding the $400,024.18 investment in the Jackson National Perspective II Variable Annuity. Client’s daughter sent email to KIS Service Center alleging that David Dunfee’s alleged solicitation of the additional deposit into the Protective Variable Annuity II Series B in the amount of $985,000.00 purchased was financial exploitation, and resulted in a tax bill of $48,000. Customer alleged David Dunfee’s misrepresentation of products purchased within the account. David Dunfee Red Flags & Your Rights As An Investor Of course, David Dunfee 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 Dunfee at Key Investment Services LLC on alert to review carefully the activity and performance of their accounts and question whether David Dunfee has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Key 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 Key Investment Services LLC Due To David Dunfee If you have questions about Key Investment Services LLC and/or David Dunfee 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 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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