Jan 20, 2022

Nancy Glassman of Morgan Stanley

DID NANCY DAWN GLASSMAN CAUSE YOU INVESTMENT LOSSES? Nancy Dawn Glassman with Morgan Stanley Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Nancy D. Glassman with Morgan Stanley? Nancy Glassman (CRD #1734992) who is currently registered with Morgan Stanley and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Morgan Stanley, Nancy Glassman was associated with UBS Financial Services Inc. and 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In her career, Nancy Glassman has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last years to recover investment losses. Three of Nancy Glassman’s for customer complaints were settled in favor of investors. Allegations Against Nancy Glassman A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants alleged that unsuitable investments were made in a managed account. Claimants alleged that Nancy Glassman’s recommendation of Lehman structured notes were unsuitable investment recommendations and misrepresented. The client alleged that Nancy Glassman recommended two small-cap mutual funds that were unsuitable investment recommendations. Nancy Glassman Red Flags & Your Rights as An Investor Of course, Nancy Glassman 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 Nancy Glassman at Morgan Stanley and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Nancy Glassman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and UBS Financial Services Inc. also raises questions about their 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 If you have questions about Morgan Stanley, UBS Financial Services Inc., and/or Nancy Glassman 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

Peter Janssen of Janssen Partners, Inc

DID PETER KYLE JANSSEN CAUSE YOU INVESTMENT LOSSES? Peter Kyle Janssen Of Janssen Partners, Inc., and Formerly with Katalyst Securities, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Peter K. Janssen with Janssen Partners, Inc.? Peter Janssen (CRD #5691028) who is currently registered with Janssen Partners, Inc. and located in Fairfield, Iowa is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Janssen Partners, Inc., Peter Janssen was associated with Katalyst Securities LLC and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Katalyst Securities, LLC Broker Misconduct In his career, Peter Janssen has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. Both of Peter Janssen’s customer complaints were settled in favor of investors. Allegations Against Peter Janssen A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Two customers filed 2 separate arbitration claims and alleged misconduct in connection with a private placement investment in Mega Blockchain, a venture opportunity in the cryptocurrency market which his former employer Katalyst Securities, LLC, settled. Peter Janssen Red Flags & Your Rights as An Investor Of course, Peter Janssen 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 Peter Janssen at Janssen Partners, Inc. on alert to review carefully the activity and performance of their accounts and question whether Peter Janssen has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Katalyst Securities, LLC concerning cryptocurrency investments also raises questions about 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 Janssen Partners, Inc. And Katalyst Securities, LLC If you have questions about Janssen Partners, Inc. and/or Peter Janssen 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

Patrick Kerwin of Vanguard Marketing Corporation

DID PATRICK VICTOR KERWIN CAUSE YOU INVESTMENT LOSSES? Patrick Victor Kerwin with Vanguard Marketing Corporation Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Patrick V. Kerwin with Vanguard Marketing Corporation? Patrick Kerwin (CRD #4835261) who is currently registered with Vanguard Marketing Corporation and located in Malvern, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Vanguard Marketing Corporation, Patrick Kerwin was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Vanguard Marketing Corporation Broker Misconduct In his career, Patrick Kerwin has been the subject of 2 customer complaints that we know about, both of those complaints were made in the last year to recover investment losses. Both customers who recently made complaints against Patrick Kerwin’s current employer Vanguard Marketing Corporation for investment losses caused by his alleged misconduct have not filed their arbitration claims so far.  Allegations Against Patrick Kerwin A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged he was given negligent advice to alter his investment plan. The customer alleges that Patrick Kerwin failed to execute orders in a timely manner. Patrick Kerwin Red Flags & Your Rights as An Investor Of course, Patrick Kerwin 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 Patrick Kerwin at Vanguard Marketing Corporation on alert to review carefully the activity and performance of their accounts and question whether Patrick Kerwin has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Vanguard Marketing Corporationabout Patrick Kerwin in such a short period also raises questions about its 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 Vanguard Marketing Corporation If you have questions about Vanguard Marketing Corporation and/or Patrick Kerwin 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

Patrick Perugino of Craft Capital Management, LLC

DID PATRICK A. PERUGINO CAUSE YOU INVESTMENT LOSSES? Patrick A. Perugino Of Craft Capital Management, LLC And Formally with Spartan Capital Securities, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Patrick A. Perugino with Craft Capital Management, LLC? Patrick Perugino (CRD #6363411) 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, Patrick Perugino was associated with Spartan Capital Securities, LLC, Allied Millennial Partners LLC, David Lerner Associates, Inc., and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Spartan Capital Securities, LLC.  And David Lerner Associates, Inc. Broker Misconduct In his career, Patrick Perugino has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. One of the customer complaints was denied by Spartan Capital Securities as unfounded. There is currently 1 pending customer complaints filed against Patrick Perugino’s former employer, David Lerner Associates, Inc. for investment losses caused by his alleged misconduct. Allegations Against Patrick Perugino A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Clients claimed the money was missing from their Spartan Capital Securities, LLC account; the firm investigated and denied the claim. Claimant alleged unauthorized trading in exchange-traded funds, at David Lerner Associates, Inc. Patrick Perugino Red Flags & Your Rights as An Investor Of course, Patrick Perugino 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 Patrick Perugino at Craft Capital Management, LLC, Spartan Capital Securities, LLC, Allied Millennial Partners LLC, and David Lerner Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Patrick Perugino has engaged in any stockbroker misconduct that may have caused them investment losses. The number of customer complaints at Spartan Capital Securities, LLC, and David Lerner Associates, Inc. also raises questions about 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, Spartan Capital Securities, LLC And David Lerner Associates, Inc. If you have questions about Craft Capital Management, LLC, Spartan Capital Securities, LLC, Allied Millennial Partners LLC, David Lerner Associates, Inc. and/or Patrick Perugino 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

Paul Roy of Ameriprise Financial Services, LLC

DID PAUL JOHN ROY CAUSE YOU INVESTMENT LOSSES? Paul John Roy with Ameriprise Financial Services, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Paul J. Roy with Ameriprise Financial Services, LLC? Paul Roy (CRD #1100810) who is currently registered with Ameriprise Financial Services, LLC and located in Cloquet, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Ameriprise Financial Services, LLC is an investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Ameriprise Financial Services, LLC Broker Misconduct In his career, Paul Roy has been the subject of 5 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. Two of Paul Roy’s 5 customer complaints were settled in favor of investors.   The remaining customer complaints filed against Paul Roy’s current employer Ameriprise Financial Services, LLC for investment losses caused by his alleged misconduct were denied and the customers took no further action.  Allegations Against Paul Roy A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Clients alleged negligent advice in connection with income riders for their variable annuities. Claimants allege that they received negligent advice from Paul Roy in connection with the sale of gifted stock and the purchase of a life insurance policy.  Further, claimants allege fraud, breach of fiduciary duty, and violations of securities laws. The client alleges variable annuity and IRA sold to him was an unsuitable investment recommendation by Paul Roy. The client alleges that Paul Roy recommended appropriate variable annuities and failed to disclose the applicable surrender charges. The client alleged they received negligent advice in connection with their securities portfolio and were sold a variable universal life insurance policy that they did not need for insurance purposes. Paul Roy Red Flags & Your Rights as An Investor Of course, Paul Roy 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 Paul Roy at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Paul Roy has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Ameriprise Financial Services, LLC about Paul Roy raises questions about its 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 If you have questions about Ameriprise Financial Services, LLC and/or Paul Roy 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

Mohammad Sarhan of J.P. Morgan Securities, LLC

DID MOHAMMAD SARHAN CAUSE YOU INVESTMENT LOSSES? Mohammad Sarhan with J.P. Morgan Securities, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Mohammad Sarhan with J.P. Morgan Securities, LLC? Mohammad Sarhan (CRD #4332630) who is currently registered with J.P. Morgan Securities, LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to J.P. Morgan Securities, LLC, Mohammad Sarhanwas associated with and 5other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. J.P. Morgan Securities, LLC Broker Misconduct In his career, Mohammad Sarhan has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses.   Both of the customer complaints made against Mohammad Sarhan’s current employer J.P. Morgan Securities, LLC for investment losses caused by his alleged misconduct were recently denied by the firm and stated, customers, have not filed the arbitration claims. Allegations Against Mohammad Sarhan A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleges unsuitable recommendations relating to mutual fund investments. The client alleges misrepresentation and unsuitable recommendations relating to mutual fund investments. Mohammad Sarhan Red Flags & Your Rights as An Investor Of course, Mohammad Sarhan 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 Mohammad Sarhan at J.P. Morgan Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Mohammad Sarhan has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at J.P. Morgan Securities, LLC in such a short period also raises questions about its 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 J.P. Morgan Securities, LLC If you have questions about J.P. Morgan Securities, LLC and/or Mohammad Sarhanand 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

Ortal Shacar of UBS Financial Services Inc

DID ORTAL SHACAR CAUSE YOU INVESTMENT LOSSES? Ortal Shacar with UBS Financial Services Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Ortal Shacar with UBS Financial Services Inc.? Ortal Shacar (CRD #2940760) who is currently registered with UBS Financial Services Inc. and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations.   UBS Financial Services Inc. is an investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. UBS Financial Services Inc. Broker Misconduct In his career, Ortal Shacar has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses.   Both customer complaints filed against Ortal Shacar’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct are pending. Allegations Against Ortal Shacar A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Two claimants in separate arbitration proceedings have alleged that Ortal Shacar made unsuitable recommendations and misrepresentations in connection with their investments in the UBS Yield Enhancement Strategy. Ortal Shacar Red Flags & Your Rights as An Investor Of course, Ortal Shacar 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 Ortal Shacarat UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Ortal Shacarhas engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at UBS Financial Services Inc. about the UBS Yield Enhancement Strategy also raises questions about its 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. If you have questions about UBS Financial Services Inc. and/or Ortal Shacarand 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

Philip Sparacino of First Standard Financial Company, LLC

DID PHILIP JOSEPH SPARACINO CAUSE YOU INVESTMENT LOSSES? Philip Joseph Sparacino formerly with First Standard Financial Company, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Philip J. Sparacino Formerly With First Standard Financial Company LLC? Philip Sparacino (CRD #3243960) who was formerly registered with First Standard Financial Company, LLC and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Standard Financial Company LLC, Philip Sparacinowas associated with 5other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Philip Sparacino also had his share of regulatory problems. In November 2019, he was permanently barred by FINRA from any association with any member firm in the securities industry for failing to produce information and documents requested by FINRA. The information and documents were to be used in connection with its investigation of allegations that he engaged in unauthorized, excessive, and unsuitable trading in clients’ accounts. The State of New Jersey also revoked his license and fined him $250,000 for the same alleged misconduct. First Standard Financial Company, LLC Broker Misconduct In his career, Philip Sparacino has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses.  Two of the complaints were recently denied by his former employer and the customer took no further action so far. There is currently one pending customer complaints filed against Philip Sparacino’s former employer First Standard Financial Company, LLC for investment losses caused by his alleged misconduct. Allegations Against Philip Sparacino A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged unauthorized trading and excessive commissions. The claimant has alleged that Philip Sparacino engaged and churning made unsuitable investment recommendations and transactions in his account. Philip Sparacino Red Flags & Your Rights as An Investor Of course, Philip Sparacino 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 Philip Sparacino at First Standard Financial Company, LLC alert to review carefully the activity and performance of their accounts and question whether Philip Sparacinohas engaged in any stockbroker misconduct that may have caused them investment losses. The regulatory actions and a large number of customer complaints at First Standard Financial Company. LLC about Philip Sparacinoalso raises questions about its 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 First Standard Financial Company, LLC If you have questions about First Standard Financial Company, LLC and/or Philip Sparacino 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

Scott Brown of Royal Alliance Associates, Inc

DID SCOTT STEVEN BROWN CAUSE YOU INVESTMENT LOSSES? Scott Steven Brown with Royal Alliance Associates, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Scott S. Brown with Royal Alliance Associates, Inc.? Scott Brown (CRD #4322420) who is currently registered with Royal Alliance Associates, Inc. and located in Pasadena, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Royal Alliance Associates, Inc., Scott Brown was associated with 1st Global Capital Corp., another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Royal Alliance Associates, Inc. Broker Misconduct In his career, Scott Brown has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses.   Both of the customer complaints filed against Scott Brown’s current employer Royal Alliance Associates, Inc. for investment losses caused by his alleged misconduct have been recently denied by the firm and, to date, the customers have not yet filed their arbitration claims. Allegations Against Scott Brown A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client, who was Scott Brown’s former spouse, alleged that he blocked her account access and ability to execute transactions in further transferred money into his personal account without her knowledge or consent. The customer, who was an immediate family member to Scott Brown, alleges that the forged signature on three transfer documents. Scott Brown Red Flags & Your Rights as An Investor Of course, Scott Brown 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 Scott Brown at Royal Alliance Associates, Inc. and 1st Global Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Scott Brown has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates, Inc. and 1st Global Capital Corp. also raises questions about 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. If you have questions about Royal Alliance Associates, Inc., 1st Global Capital Corp., and/or Scott Brown 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

Simon Clarke of UBS Financial Services Inc

DID SIMON ALEXANDER CLARKE CAUSE YOU INVESTMENT LOSSES? Simon Alexander Clarke with UBS Financial Services Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Simon A. Clarke with UBS Financial Services Inc.? Simon Clarke (CRD #4232824) 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.   Prior to UBS Financial Services Inc., Simon Clarke was associated with Credit Suisse Securities (USA) LLC and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services Inc. Broker Misconduct In his career, Simon Clarke has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses.   Both of the customer complaints filed against Simon Clarke’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct are still pending. Allegations Against Simon Clarke A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleged unsuitable investment recommendations and misrepresentations with respect to an investment in and to hold an option overlay strategy known as the UBS Yield Enhancement Strategy (“UBS-YES Strategy”). The claimant alleged unsuitable investment recommendations and misrepresentations in connection with the UBS-YES Strategy in a UBS Wrap fee account. Simon Clarke Red Flags & Your Rights as An Investor Of course, Simon Clarke 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 Simon Clarke at UBS Financial Services Inc. and Credit Suisse Securities (USA) LLC on alert to review carefully the activity and performance of their accounts and question whether Simon Clarke has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at UBS Financial Services Inc. about the UBS-YES Strategy also raises questions about its 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. If you have questions about UBS Financial Services Inc., Credit Suisse Securities (USA) LLC, and/or Simon Clarke 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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