Apr 10, 2024

Joanna Wang of Pruco Securities LLC

DID JOANNA J WANG CAUSE YOU INVESTMENT LOSSES? Joanna Wang Of Pruco Securities LLC Has 2 Customer Complaints For Alleged Broker Misconduct Joanna Wang Customer Complaints Joanna Wanghas been the subject of 2 customer complaints that we know about seeking to recover investment losses. Both customer complaints were recently denied by Pruco Securities and thus far neither investor has taken any further action. Allegations Against Joanna Wang A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Joanna Wang Red Flags & Your Rights As An Investor Of course, Joanna Wang 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 Joanna Wang at Pruco Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Joanna Wang has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities LLC 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. 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 Pruco Securities LLC Due To Joanna Wang  If you have questions about Pruco Securities LLC and/or Joanna Wang 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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Apr 10, 2024

Lawrence Waller, II of SA Stone Wealth Management Inc

DID LAWRENCE WILLIAM WALLER II CAUSE YOU INVESTMENT LOSSES? Lawrence Waller, II Of SA Stone Wealth Management Inc Has 3 Customer Complaints For Alleged Broker Misconduct Lawrence Waller, II Customer Complaints Lawrence Waller, II has been the subject of 3 customer complaints that we know about seeking to recover investment losses. Both customer complaints were denied by Lawrence Waller’s former employers and the investors took no further action. There is currently one for an arbitration proceeding pending against SA capstone Wealth Management for Lawrence Waller’s alleged misconduct that is still pending. Allegations Against Lawrence Waller, II A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Lawrence Waller, II Red Flags & Your Rights As An Investor Of course, Lawrence Waller, II 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 Lawrence Waller, II at SA Stone Wealth Management Inc on alert to review carefully the activity and performance of their accounts and question whether Lawrence Waller, II has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SA Stone Wealth Management 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. 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 SA Stone Wealth Management Inc Due To Lawrence Waller, II  If you have questions about SA Stone Wealth Management Inc and/or Lawrence Waller, II 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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Apr 9, 2024

Jonathan Upton of LPL Financial LLC

DID JONATHAN DALE UPTON CAUSE YOU INVESTMENT LOSSES? Jonathan Upton Of LPL Financial LLC Has 4 Customer Complaints For Alleged Broker Misconduct Jonathan Upton Broker Misconduct In his career, Jonathan Upton has been the subject of 4 customer complaints that we know about, two of those complaints were filed in the last 2 years to recover investment losses. One of Jonathan Upton’s 3 customer complaints was settled in favor of investors.  The other customer complaints were denied by Jonathan Upton and his employer and the customers have not taken any further action. Allegations Against Jonathan Upton   A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jonathan Upton Red Flags & Your Rights As An Investor Of course, Jonathan Upton 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 Jonathan Upton at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Jonathan Upton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial 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. 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 LPL Financial LLC Due To Jonathan Upton  If you have questions about LPL Financial LLC and/or Jonathan Upton 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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Apr 9, 2024

David Trimble of Equitable Advisors, LLC

DID DAVID E TRIMBLE CAUSE YOU INVESTMENT LOSSES? David Trimble Of Equitable Advisors, LLC Has 3 Customer Complaints For Alleged Broker Misconduct David Trimble Customer Complaints David Trimble has been the subject of 3 customer complaints that we know about seeking to recover investment losses. One customer complaint was settled by Equitable Advisors in favor of the investor for David Trimble’s alleged misconduct.  Another customer complaint was denied by AXA Advisors and the investor took no further action.  There is currently one FINRA arbitration proceeding that was recently filed against Equitable Advisors for David Trimble’s alleged misconduct that is still pending. Allegations Against Matthew Stucke A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: David Trimble Red Flags & Your Rights As An Investor Of course, David Trimble 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 Trimble at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether David Trimble has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, LLC 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. 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 Equitable Advisors, LLC Due To David Trimble  If you have questions about Equitable Advisors, LLC and/or David Trimble 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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Apr 8, 2024

Rick Smith of State Farm VP Management Corp

DID RICK A SMITH CAUSE YOU INVESTMENT LOSSES? Rick Smith Of State Farm VP Management Corp Has 2 Customer Complaints For Alleged Broker Misconduct Rick Smith Customer Complaints Rick Smith has been the subject of 2 customer complaints that we know about seeking to recover investment losses. Both recently filed customer complaints are being reviewed and still pending with State Farm VP Management Corp. Allegations Against Rick Smith A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Rick Smith Red Flags & Your Rights As An Investor Of course, Rick Smith 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 Rick Smith at State Farm VP Management Corp on alert to review carefully the activity and performance of their accounts and question whether Rick Smith has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at State Farm VP Management Corp 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. 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 State Farm VP Management Corp Due To Rick Smith  If you have questions about State Farm VP Management Corp and/or Rick Smith 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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Apr 8, 2024

Dustin Smith of Merrill Lynch, Pierce, Fenner & Smith Incorporated

DID DUSTIN ANDREW SMITH CAUSE YOU INVESTMENT LOSSES? Dustin Smith Of Merrill Lynch, Pierce, Fenner & Smith Incorporated And Formerly With Pruco Securities, LLC Has A Customer Complaint For Alleged Broker Misconduct Dustin Smith Customer Complaint Dustin Smith has been the subject of at least one customer complaint that we know about seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were representative failed to disclose that the customer would not have access to her money into 2028 guaranteed a better rate of return than she currently had which was inappropriate.  The customer complaints were recently filed with Pruco Securities and are still pending. Dustin Smith Red Flags & Your Rights As An Investor Of course, Dustin Smith 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 Dustin Smith at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Pruco Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Dustin Smith 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 Incorporated and Pruco 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. 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 Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Dustin Smith  If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated, Pruco Securities, LLC and/or Dustin Smith 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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Apr 7, 2024

Fera Shivaee of Centaurus Financial, Inc

DID FERA SHIVAEE CAUSE YOU INVESTMENT LOSSES? Fera Shivaee Of Centaurus Financial, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Fera Shivaee Customer Complaints Fera Shivaee has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint proceeded to arbitration the resulted in a $$674,000 arbitration award in favor of the investor. Another customer recently filed a FINRA arbitration proceeding against Centaurus Financial for Fera Shivaee’s alleged misconduct that is still pending. Allegations Against Fera Shivaee A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Fera Shivaee Red Flags & Your Rights As An Investor Of course, Fera Shivaee 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 Fera Shivaee at Centaurus Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Fera Shivaee has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Centaurus Financial, 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. 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 Centaurus Financial, Inc. Due To Fera Shivaee  If you have questions about Centaurus Financial, Inc. and/or Fera Shivaee 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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Apr 7, 2024

James Schwarz of UBS Financial Services Inc

DID JAMES ARTHUR SCHWARZ CAUSE YOU INVESTMENT LOSSES? James Schwarz Of UBS Financial Services Inc. Has 4 Customer Complaints For Alleged Broker Misconduct James Schwarz Customer Complaints James Schwarz has been the subject of 4 customer complaints that we know about seeking to recover investment losses. Three of the customer complaints were settled by Citigroup Global Markets in favor of the investors for James Schwarz’s alleged misconduct. Another customer complaint was recently denied by UBS Financial Services and to date, investor has not taken any further action. Allegations Against James Schwarz A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Schwarz Red Flags & Your Rights As An Investor Of course, James Schwarz 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 Schwarz at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether James Schwarz 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. 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 UBS Financial Services Inc. Due To James Schwarz  If you have questions about UBS Financial Services Inc. and/or James Schwarz 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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Apr 7, 2024

Jesus Rodriguez formerly with Morgan Stanley

DID JESUS RODRIGUEZ CAUSE YOU INVESTMENT LOSSES? Jesus Rodriguez Formerly With Morgan Stanley Has 13 Customer Complaints For Alleged Broker Misconduct Jesus Rodriguez Customer Complaints Jesus Rodriguez has been the subject of 13 customer complaints that we know about seeking to recover investment losses. Ten of the customer complaints resettled by Morgan Stanley in favor of the investors for Jesus Rodriguez’s alleged misconduct. Two of the customer complaints were denied by the brokerage firm and to date, the investors have not taken any further action. There is currently one customer complaint that was recently filed with Morgan Stanley that is awaiting its review and determination. Allegations Against Jesus Rodriguez A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jesus Rodriguez Red Flags & Your Rights As An Investor Of course, Jesus Rodriguez 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 Jesus Rodriguez at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jesus Rodriguez 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. 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 Morgan Stanley Due To Jesus Rodriguez  If you have questions about Morgan Stanley and/or Jesus Rodriguez 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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Apr 6, 2024

Richard Siminou formerly with Kingswood Capital Partners, LLC

DID RICHARD S SIMINOU CAUSE YOU INVESTMENT LOSSES? Richard Siminou Formerly With Kingswood Capital Partners, LLC and Benchmark Investments, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Richard Siminou Customer Complaints Richard Siminou has been the subject of 3 customer complaints that we know about seeking to recover investment losses. One FINRA arbitration proceeding was settled by a Newbridge Securities Corporation in favor of the investor. The same brokerage firm denied another customer complaint and the investor did not take any further action. Another FINRA arbitration proceeding was recently filed against Newbridge Securities Corporation for Richard Siminou’s alleged misconduct and is still pending. Allegations Against Richard Siminou A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Richard Siminou Red Flags & Your Rights As An Investor Of course, Richard Siminou 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 Richard Siminou at Kingswood Capital Partners, LLC and Benchmark Investments, LLC on alert to review carefully the activity and performance of their accounts and question whether Richard Siminou has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kingswood Capital Partners, LLC and Benchmark Investments, 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. 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 Kingswood Capital Partners, LLC Due To Richard Siminou  If you have questions about Kingswood Capital Partners, LLC, Benchmark Investments, LLC and/or Richard Siminou 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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