Broker / Advisor Investigations Archive - Page 106 of 628 - Law Offices of Robert Wayne Pearce, P.A

May 15, 2024

Royce Makishima Formerly With Merrill Lynch, Pierce, Fenner & Smith Incorporated Reviews

DID ROYCE LEE MAKISHIMA CAUSE YOU INVESTMENT LOSSES? Royce Makishima Formerly With Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 1 Customer Complaint For Alleged Broker Misconduct Royce Makishima Customer Complaints and Reviews Royce Makishima’s career is overshadowed by troubling customer disputes and termination: This complaint, however, was closed without action, which does not entirely clear Makishima’s reputation as it still raises concerns about his transparency and handling of client transactions. Allegations Against Royce Makishima The allegations against Royce Makishima include: Royce Makishima Red Flags & Your Rights As An Investor Of course, Royce Makishima 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 Royce Makishima at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Royce Makishima 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 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 Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Royce Makishima If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Royce Makishima 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.

May 15, 2024

Bryan Lubitz of Equitable Advisors, LLC Reviews

DID BRYAN P LUBITZ CAUSE YOU INVESTMENT LOSSES? Bryan Lubitz Of Equitable Advisors, LLC And Formerly With Aegis Capital Corp. Has 6 Customer Complaints For Alleged Broker Misconduct Bryan Lubitz Customer Complaints and Reviews Lubitz’s career has been marred by multiple customer disputes that highlight serious concerns: Allegations Against Bryan Lubitz The allegations against Bryan Lubitz involve: These issues combined sketch a profile of a broker whose practices have repeatedly fallen short of the industry standards required to protect and grow client investments. Bryan Lubitz Red Flags & Your Rights As An Investor Of course, Bryan Lubitz 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 Bryan Lubitz at Equitable Advisors, LLC and Aegis Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Bryan Lubitz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, LLC and Aegis Capital Corp. 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 Equitable Advisors, LLC Due To Bryan Lubitz If you have questions about Equitable Advisors, LLC, Aegis Capital Corp. and/or Bryan Lubitz 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.

May 14, 2024

Aileen Low of Edward Jones Reviews

DID AILEEN ANNA LOW CAUSE YOU INVESTMENT LOSSES? Aileen Low Of Edward Jones Has 1 Customer Complaint For Alleged Broker Misconduct Aileen Low Customer Complaints and Reviews Low’s record includes a settled customer dispute that reflects poorly on her advisory judgment: Allegations Against Aileen Low The allegations against Aileen A. Low include: These claims, settled to mitigate further dispute, highlight significant concerns regarding her fidelity to client-centric advisory services. Aileen Low Red Flags & Your Rights As An Investor Of course, Aileen Low 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 Aileen Low at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Aileen Low has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jonesalso 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 Edward Jones Due To Aileen Low If you have questions about Edward Jones and/or Aileen Low 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.

May 14, 2024

Syauching Hung of Independent Financial Group, LLC Reviews

DID SYAUCHING HUNG CAUSE YOU INVESTMENT LOSSES? Syauching Hung Of Independent Financial Group, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Syauching Hung Customer Complaints and Reviews Hung’s professional record is marred by several customer disputes that raise concerns about her investment practices: Allegations Against Syauching Hung The allegations against Syauching Hung include: The pattern of settlements in these disputes suggests a concerning trend in her advisory practice, focusing on high-commission products without adequate disclosure or alignment with client interests. Syauching Hung Red Flags & Your Rights As An Investor Of course, Syauching Hung 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 Syauching Hung at Independent Financial Group, LLC on alert to review carefully the activity and performance of their accounts and question whether Syauching Hung has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Independent Financial Group, 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 Independent Financial Group, LLC Due To Syauching Hung If you have questions about Independent Financial Group, LLC and/or Syauching Hung 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.

May 14, 2024

Adam Hignite of Fidelity Brokerage Services LLC Reviews

DID ADAM ALEX HIGNITE CAUSE YOU INVESTMENT LOSSES? Adam Hignite Of Fidelity Brokerage Services LLC Has 2 Customer Complaints For Alleged Broker Misconduct Adam Hignite Customer Complaints and Reviews Adam Hignite’s professional history includes two significant customer disputes, both of which were denied, yet they cast a shadow on his advisory capabilities: These disputes, although resolved without action against Hignite, suggest potential issues in client communication and suitability assessments. Allegations Against Adam Hignite The allegations against Adam A. Hignite include: These allegations reflect poorly on his ability to provide dependable and client-focused financial advice. Adam Hignite Red Flags & Your Rights As An Investor Of course, Adam Hignite 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 Hignite at Fidelity Brokerage Services LLC on alert to review carefully the activity and performance of their accounts and question whether Adam Hignite has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage 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. 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 Fidelity Brokerage Services LLC Due To Adam Hignite If you have questions about Fidelity Brokerage Services LLC and/or Adam Hignite 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.

May 14, 2024

Morgan Hees of UBS Financial Services Inc. Reviews

DID MORGAN PAUL HEES CAUSE YOU INVESTMENT LOSSES? Morgan Hees Of UBS Financial Services Inc. Has 1 Customer Complaint For Alleged Broker Misconduct Morgan Hees Customer Complaints and Reviews Hees’s professional conduct has been overshadowed by a significant customer dispute: Allegations Against Morgan Hees The primary allegations against Morgan P. Hees include: This lack of suitability in his advisory services not only led to financial losses for his clients but also to a costly settlement, reflecting poorly on his professional judgment and ethical standards within the securities industry. Morgan Hees Red Flags & Your Rights As An Investor Of course, Morgan Hees 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 Morgan Hees at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Morgan Hees 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 Morgan Hees If you have questions about UBS Financial Services Inc. and/or Morgan Hees 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.

May 13, 2024

Nicholas Hasselkus of Morgan Stanley Reviews

DID TEOFILO TELL GONZALEZ CAUSE YOU INVESTMENT LOSSES? Nicholas Hasselkus of Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct Nicholas Hasselkus Customer Complaints and Reviews Hasselkus’s record is tarnished by several customer disputes: Allegations Against Nicholas Hasselkus The allegations against Nicholas R. Hasselkus include These allegations reflect a pattern of communication failures and possible ethical lapses in his handling of client accounts and financial products. Nicholas Hasselkus Red Flags & Your Rights As An Investor Of course, Nicholas Hasselkus 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 Nicholas Hasselkus at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Nicholas Hasselkus 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 Nicholas Hasselkus If you have questions about Morgan Stanley and/or Nicholas Hasselkus 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.

May 13, 2024

Teofilo Gonzalez of Equitable Advisors, LLC Reviews

DID TEOFILO TELL GONZALEZ CAUSE YOU INVESTMENT LOSSES? Teofilo Gonzalez Of Equitable Advisors, LLC Has 1 Customer Complaint For Alleged Broker Misconduct Teofilo Gonzalez Customer Complaints and Reviews Gonzalez has been involved in a customer dispute that casts a shadow on his professional conduct: This incident puts a spotlight on potential issues in how Gonzalez communicates with his clients, crucial for trust in financial advisory roles. Allegations Against Teofilo Gonzalez The allegations against Teofilo T. Gonzalez primarily revolve around: Teofilo Gonzalez Red Flags & Your Rights As An Investor Of course, Teofilo Gonzalez 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 Teofilo Gonzalez at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Teofilo Gonzalez 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 Teofilo Gonzalez If you have questions about Equitable Advisors, LLC and/or Teofilo Gonzalez 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.

May 13, 2024

Teofilo Gonzalez of Equitable Advisors, LLC Reviews

DID TEOFILO TELL GONZALEZ CAUSE YOU INVESTMENT LOSSES? Teofilo Gonzalez Of Equitable Advisors, LLC Has 1 Customer Complaint For Alleged Broker Misconduct Teofilo Gonzalez Customer Complaints and Reviews Gonzalez has been involved in a customer dispute that casts a shadow on his professional conduct: This incident puts a spotlight on potential issues in how Gonzalez communicates with his clients, crucial for trust in financial advisory roles. Allegations Against Teofilo Gonzalez The allegations against Teofilo T. Gonzalez primarily revolve around: Teofilo Gonzalez Red Flags & Your Rights As An Investor Of course, Teofilo Gonzalez 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 Teofilo Gonzalez at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Teofilo Gonzalez 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 Teofilo Gonzalez If you have questions about Equitable Advisors, LLC and/or Teofilo Gonzalez 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.

May 13, 2024

Antoinette Gega of Commonwealth Financial Network Reviews

DID ANTOINETTE GEGA CAUSE YOU INVESTMENT LOSSES? Antoinette Gega Of Commonwealth Financial Network And Formerly With MML Investors Services Has 1 Customer Complaint For Alleged Broker Misconduct Antoinette Gega Customer Complaints and Reviews Fronckowiak’s FINRA record includes a notable customer dispute: This raises questions about the transparency and suitability of the investment products she recommends. Allegations Against Antoinette Gega The allegations against Antoinette Gega include: Antoinette Gega Red Flags & Your Rights As An Investor Of course, Antoinette Gega 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 Antoinette Gega at Commonwealth Financial Network and MML Investors Services on alert to review carefully the activity and performance of their accounts and question whether Antoinette Gega has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Commonwealth Financial Network and MML Investors 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. 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 Commonwealth Financial Network Due To Antoinette Gega If you have questions about Commonwealth Financial Network, MML Investors Services and/or Antoinette Gega 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.