May 2, 2024

Tory Duggins formerly Spartan Capital Securities, LLC

DID TORY A. DUGGINS CAUSE YOU INVESTMENT LOSSES? Tory Duggins Formerly With Spartan Capital Securities, LLC Has 4 Customer Complaints For Alleged Broker Misconduct Tory Duggins Customer Complaints Tory Duggins has been the subject of 4 customer complaints that we know about seeking to recover investment losses. One customer complaint evolved in a FINRA arbitration and award entered in favor of the investor for his alleged misconduct.   Two more customer complaints were settled by VFinance Investments in favor of the investors.  The same brokerage firm denied another customer complaint and the investor took no further action. Allegations Against Tory Duggins A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Tory Duggins Red Flags & Your Rights As An Investor Of course, Tory Duggins 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 Tory Duggins at Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Tory Duggins has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital 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 Spartan Capital Securities, LLC Due To Tory Duggins  If you have questions about Spartan Capital Securities, LLC and/or Tory Duggins 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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May 2, 2024

Dan Droeg formerly with United Planners’ Financial Services of America A Limited Partner

DID DAN EDWARD DROEG CAUSE YOU INVESTMENT LOSSES? Dan Droeg Formerly With United Planners’ Financial Services of America A Limited Partner and Sagepoint Financial, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Dan Droeg Customer Complaints Dan Droeg has been the subject of 3 customer complaints that we know about seeking to recover investment losses. Two customer complaints were settled by his former employer’s in favor of investors for his alleged misconduct.  Another FINRA arbitration proceeding was recently filed against Grove Point Investments and Woodbury Financial Services for Dan Droeg’s alleged misconduct seeking over $980,000 in damages and still pending. Allegations Against Dan Droeg A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Dan Droeg Red Flags & Your Rights As An Investor Of course, Dan Droeg 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 Dan Droeg at United Planners’ Financial Services of America A Limited Partner and Sagepoint Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Dan Droeg has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at United Planners’ Financial Services of America, A Limited Partner and Sagepoint Financial, Inc. 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 United Planners’ Financial Services of America A Limited Partner Due To Dan Droeg  If you have questions about United Planners’ Financial Services of America A Limited Partner, Sagepoint Financial, Inc. and/or Dan Droeg 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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May 1, 2024

Kevin DeAngelis of Ameriprise Financial Services, LLC

DID KEVIN JOHN DEANGELIS CAUSE YOU INVESTMENT LOSSES? Kevin Deangelis Of Ameriprise Financial Services, LLC And Formerly With Commonwealth Financial Network Has 3 Customer Complaints For Alleged Broker Misconduct Kevin Deangelis Customer Complaints Kevin Deangelis has been the subject of 3 customer complaints that we know about seeking to recover investment losses. Two customer complaints filed against Kevin DeAngelis while employed by CCO Investment Services of the brokerage firm denied the customer complaints and, to date, the investors took no further action.  The other customer complaint was recently filed against Ameriprise Financial Services for Kevin DeAngelis alleged misconduct and still pending  in a FINRA arbitration proceeding. Allegations Against Kevin Deangelis A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Anthony D’Ascoli Red Flags & Your Rights As An Investor Of course, Kevin Deangelis 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 Kevin Deangelis at Ameriprise Financial Services, LLC and Commonwealth Financial Network on alert to review carefully the activity and performance of their accounts and question whether Kevin Deangelis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC and Commonwealth Financial Network 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 Ameriprise Financial Services, LLC Due To Kevin Deangelis  If you have questions about Ameriprise Financial Services, LLC, Commonwealth Financial Network and/or Kevin Deangelis 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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May 1, 2024

Anthony D’Ascoli of Oppenheimer & Co. Inc

DID ANTHONY D’ASCOLI CAUSE YOU INVESTMENT LOSSES? Anthony D’Ascoli Of Oppenheimer & Co. Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Anthony D’Ascoli Customer Complaints Anthony D’Ascoli has been the subject of 3 customer complaints that we know about seeking to recover investment losses. One customer complaint was settled by Merrill, Lynch Pierce Fenner and Smith for the advisors alleged misconduct in favor of the investor.  The other two customer complaints were denied by Oppenheimer and Co. recently can sell for the investors have not taken any further action. Allegations Against Anthony D’Ascoli A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Anthony D’Ascoli Red Flags & Your Rights As An Investor Of course, Anthony D’Ascoli 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 Anthony D’Ascoli at Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Anthony D’Ascoli has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. 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 Oppenheimer & Co. Inc. Due To Anthony D’Ascoli  If you have questions about Oppenheimer & Co. Inc. and/or Anthony D’Ascoli 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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May 1, 2024

Anthony Cristiano of RBC Capital Markets, LLC

DID ANTHONY EDWARD CRISTIANO CAUSE YOU INVESTMENT LOSSES? Anthony Cristiano Of RBC Capital Markets, LLC And Formerly With UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Anthony Cristiano Customer Complaints Anthony Cristiano has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint was settled by UBS Financial Services in favor of the investor.  The other customer complaint was denied by his former employer, Morgan Stanley, and the investor took no further action. Allegations Against Anthony Cristiano A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Anthony Cristiano Red Flags & Your Rights As An Investor Of course, Anthony Cristiano 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 Anthony Cristiano at RBC Capital Markets, LLC and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Anthony Cristiano has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC and UBS Financial Services Inc. 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 RBC Capital Markets, LLC Due To Anthony Cristiano  If you have questions about RBC Capital Markets, LLC, UBS Financial Services Inc. and/or Anthony Cristiano 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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May 1, 2024

Raymond Clark formerly with Alexander Capital, L.P

DID RAYMOND WILLIAM CLARK CAUSE YOU INVESTMENT LOSSES? Raymond Clark Formerly With Alexander Capital, L.P., Monmouth Capital Management LLC and Garden State Securities, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Raymond Clark Customer Complaints Raymond Clark has been the subject of 4 customer complaints that we know about seeking to recover investment losses. Three of the customer complaints evolved into FINRA arbitration proceedings and settled by Raymond Clark’s former employer’s in favor of the investors.  The other customer complaint also evolved into a FINRA arbitration proceeding against Monmouth Capital Management for his alleged misconduct, and it is still pending. Allegations Against Raymond Clark A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Raymond Clark Red Flags & Your Rights As An Investor Of course, Raymond Clark 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 Raymond Clark at Alexander Capital, L.P., Monmouth Capital Management LLC and Garden State Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Raymond Clark has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Alexander Capital, L.P., Monmouth Capital Management LLC and Garden State Securities, Inc 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 Alexander Capital, L.P. Due To Raymond Clark  If you have questions about Alexander Capital, L.P., Monmouth Capital Management LLC, Garden State Securities, Inc. and/or Raymond Clark 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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May 1, 2024

Jeffry Carel of Wells Fargo Clearing Services, LLC

DID JEFFRY NEAL CAREL CAUSE YOU INVESTMENT LOSSES? Jeffry Carel Of Wells Fargo Clearing Services, LLC And Formerly With J.P. Morgan Securities. LLC Has 3 Customer Complaints For Alleged Broker Misconduct Jeffry Carel Customer Complaints Jeffry Carel has been the subject of 3 customer complaints that we know about seeking to recover investment losses. Two of the customer complaints were settled by Jeffry Carel’s former employers for his alleged misconduct in favor of the investors.  J.P.  Morgan Securities recently denied another customer complaint and to date, the investor has not filed any arbitration proceeding are taken any other action. Allegations Against Jeffry Carel A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jeffry Carel Red Flags & Your Rights As An Investor Of course, Jeffry Carel 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 Jeffry Carel at Wells Fargo Clearing Services, LLC and J.P. Morgan Securities. LLC on alert to review carefully the activity and performance of their accounts and question whether Jeffry Carel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC and J.P. Morgan 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 Wells Fargo Clearing Services, LLC Due To Jeffry Carel  If you have questions about Wells Fargo Clearing Services, LLC, J.P. Morgan Securities. LLC and/or Jeffry Carel 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 30, 2024

Nabil Bouab of Garden State Securities, Inc

DID NABIL BOUAB CAUSE YOU INVESTMENT LOSSES? Nabil Bouab Of Garden State Securities, Inc. And Formerly With American Portfolios Financial Services, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Nabil Bouab Customer Complaints Nabil Bouab has been the subject of 3 customer complaints that we know about seeking to recover investment losses. Two of the customer complaints evolved into FINRA arbitration proceedings filed against American Portfolios Financial Services for the advisors alleged misconduct and the firm settled the complaints in favor of the investors.  The other customer complaint, also a FINRA arbitration proceeding against the same firm is still pending. Allegations Against Joao Bastos A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Nabil Bouab Red Flags & Your Rights As An Investor Of course, Nabil Bouab 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 Nabil Bouab at Garden State Securities, Inc. and American Portfolios Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Nabil Bouab has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Garden State Securities, Inc. and American Portfolios Financial Services, Inc. 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 Garden State Securities, Inc. Due To Nabil Bouab  If you have questions about Garden State Securities, Inc., American Portfolios Financial Services, Inc. and/or Nabil Bouab 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 30, 2024

Joao Bastos of Citigroup Global Markets Inc

DID JOAO CARLOS BASTOS CAUSE YOU INVESTMENT LOSSES? Joao Bastos Of Citigroup Global Markets Inc. And Formerly With LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct Joao Bastos Customer Complaints Joao Bastos has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint was denied by Citigroup Global Markets, and so far, the investor has not taken any further action.  The other customer complaint evolved into a FINRA arbitration proceeding filed against Citigroup Global Markets last year and it is still pending. Allegations Against Joao Bastos A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Joao Bastos Red Flags & Your Rights As An Investor Of course, Joao Bastos 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 Joao Bastos at Citigroup Global Markets Inc. and LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Joao Bastos has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Citigroup Global Markets Inc. and 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 Citigroup Global Markets Inc. Due To Joao Bastos  If you have questions about Citigroup Global Markets Inc., LPL Financial LLC and/or Joao Bastos 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 30, 2024

Steve Baaden of Oppenheimer & Co. Inc

DID STEVEN R BAADEN CAUSE YOU INVESTMENT LOSSES? Steve Baaden Of Oppenheimer & Co. Inc. Has 8 Customer Complaints For Alleged Broker Misconduct Steve Baaden Customer Complaints Steve Baaden has been the subject of 8 customer complaints that we know about seeking to recover investment losses. Two of the customer complaints evolved into NASD arbitrations and awards against the adviser’s employer at the time for his alleged misconduct. Five of the customer complaints were settled by Oppenheimer and Co. and PaineWebber in favor of the investments.  Another customer complaint was denied recently by Oppenheimer and Co. and so far, the investor has not taken any further action. Allegations Against Steve Baaden A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Steve Baaden Red Flags & Your Rights As An Investor Of course, Steve Baaden 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 Steve Baaden at Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Steve Baaden has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. 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 Oppenheimer & Co. Inc. Due To Steve Baaden  If you have questions about Oppenheimer & Co. Inc. and/or Steve Baaden 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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