Mar 21, 2024

Charles Hartley of B. Riley Wealth Management

DID CHARLES DOUGLAS HARTLEY CAUSE YOU INVESTMENT LOSSES? Charles Hartley Of B. Riley Wealth Management And Formerly With Wells Fargo Advisors Financial Network, LLC Has A Customer Complaint For Alleged Broker Misconduct Charles Hartley Customer Complaint Charles Hartley 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 took inappropriate risk purchasing unsuitable investments, overtrading options, and deviating from an investment plan.  The FINRA arbitration proceeding was recently filed against B. Riley Wealth Management for Charles Hartley’s alleged misconduct and is still pending. Charles Hartley Red Flags & Your Rights As An Investor Of course, Charles Hartley 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 Charles Hartley at B. Riley Wealth Management and Wells Fargo Advisors Financial Network, LLC on alert to review carefully the activity and performance of their accounts and question whether Charles Hartley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Wealth Management and Wells Fargo Advisors Financial Network, 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 B. Riley Wealth Management Due To Charles Hartley If you have questions about B. Riley Wealth Management, Wells Fargo Advisors Financial Network, LLC and/or Charles Hartley and the management or performance of your accounts,, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 21, 2024

Rick Harbus of Cetera Advisor Networks LLC

DID RICK ISAAC HARBUS CAUSE YOU INVESTMENT LOSSES? Rick Harbus Of Cetera Advisor Networks LLC Has 3 Customer Complaints For Alleged Broker Misconduct Rick Harbus Customer Complaints Rick Harbus 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 PFS Investments in favor of the investors for Rick Harbus’ alleged misconduct.  The other customer complaint was recently filed with HBW Advisory Services for Rick Harbus’ alleged misconduct and is still pending. Allegations Against Rick Harbus A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Rick Harbus Red Flags & Your Rights As An Investor Of course, Rick Harbus 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 Harbus at Cetera Advisor Networks LLC on alert to review carefully the activity and performance of their accounts and question whether Rick Harbus has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks 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 Cetera Advisor Networks LLC Due To Rick Harbus If you have questions about Cetera Advisor Networks LLC and/or Rick Harbus and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 21, 2024

Nicholas Hamilton of Purshe Kaplan Sterling Investments

DID NICHOLAS MANNING HAMILTON CAUSE YOU INVESTMENT LOSSES? Nicholas Hamilton Of Purshe Kaplan Sterling Investments And Formerly With Raymond James Financial Services, Inc. Has A Customer Complaint For Alleged Broker Misconduct Nicholas Hamilton Customer Complaint Nicholas Hamilton 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 adviser misrepresented customer’s net worth to sell unsuitable investments to customer.  The customer complaint was recently filed with Raymond James Financial Services for Nicholas Hamilton’s alleged misconduct and is still pending. Nicholas Hamilton Red Flags & Your Rights As An Investor Of course, Nicholas Hamilton 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 Hamilton at Purshe Kaplan Sterling Investments and Raymond James Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Nicholas Hamilton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Purshe Kaplan Sterling Investments and Raymond James 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 Purshe Kaplan Sterling Investments Due To Nicholas Hamilton If you have questions about Purshe Kaplan Sterling Investments, Raymond James Financial Services, Inc. and/or Nicholas Hamilton and the management or performance of your accounts,, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 20, 2024

 Alessandra Graber of Edward Jones

DID ALESSANDRA GRABER CAUSE YOU INVESTMENT LOSSES? Alessandra Graber Of Edward Jones Has 2 Customer Complaints For Alleged Broker Misconduct Alessandra Graber Customer Complaints Alessandra Graber has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint was denied by Edward Jones for Alessandra Graber’s alleged misconduct and the investor took no further action.  The other customer complaint was recently filed with Edward Jones for the advisor’s alleged misconduct and is still pending. Allegations Against Alessandra Graber A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alessandra Graber Red Flags & Your Rights As An Investor Of course, Alessandra Graber 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 Alessandra Graber at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Alessandra Graber has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones 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 Edward Jones Due To Alessandra Graber If you have questions about Edward Jones and/or Alessandra Graber and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 20, 2024

Stacy Goldsmith of Herbert J. Sims & Co, Inc.

DID STACY MARI GOLDSMITH CAUSE YOU INVESTMENT LOSSES? Stacy Goldsmith Of Herbert J. Sims & Co, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Stacy Goldsmith Customer Complaints Stacy Goldsmith has been the subject of 4 customer complaints that we know about seeking to recover investment losses. One customer complaints was settled by Herbert J. Sims and Co. in favor of the investors or Stacy Goldsmith’s alleged misconduct.  The other 3 customer complaints were recently filed in FINRA arbitration proceedings against Herbert J.  Sims and Co., for Stacy Goldsmith’s alleged misconduct and is still pending. Allegations Against Stacy Goldsmith A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Stacy Goldsmith Red Flags & Your Rights As An Investor Of course, Stacy Goldsmith 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 Stacy Goldsmith at Herbert J. Sims & Co, Inc. on alert to review carefully the activity and performance of their accounts and question whether Stacy Goldsmith has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Herbert J. Sims & 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 Herbert J. Sims & Co, Inc. Due To Stacy Goldsmith If you have questions about Herbert J. Sims & Co, Inc. and/or Stacy Goldsmith and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 20, 2024

David Glienke of Western International Securities, Inc.

DID DAVID DEAN GLIENKE CAUSE YOU INVESTMENT LOSSES? David Glienke Of Western International Securities, Inc. Has A Customer Complaint For Alleged Broker Misconduct David Glienke Customer Complaint David Glienke 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 for misrepresentation of corporate debt known as GWG L bonds.  The FINRA arbitration proceeding was recently filed against Western International Securities for David Glienke’s alleged misconduct and is still pending. David Glienke Red Flags & Your Rights As An Investor Of course, David Glienke 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 Glienke at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Glienke has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, 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 Western International Securities, Inc. Due To David Glienke If you have questions about Western International Securities, Inc. and/or David Glienke and the management or performance of your accounts,, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 20, 2024

Mark Giordano of Ameriprise Financial Services, LLC

DID MARK PHLLIP GIORDANO CAUSE YOU INVESTMENT LOSSES Mark Giordano Of Ameriprise Financial Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Mark Giordano Customer Complaint Mark Giordano 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 adviser provided incorrect information needed to complete the estate settlement process for claimant’s mother’s accounts.  The FINRA arbitration proceeding was recently filed against Ameriprise Financial Services for Mark Giordano’s alleged misconduct and is still pending. Mark Giordano Red Flags & Your Rights As An Investor Of course, Mark Giordano 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 Mark Giordano at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Mark Giordano has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, 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 Ameriprise Financial Services, LLC Due To Mark Giordano If you have questions about Ameriprise Financial Services, LLC and/or Mark Giordano and the management or performance of your accounts,, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 20, 2024

Jeffrey Gielau of Fortune Financial Services, Inc.

DID JEFFREY ALAN GIELAU CAUSE YOU INVESTMENT LOSSES? Jeffrey Gielau Of Fortune Financial Services, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Jeffrey Gielau Customer Complaints Jeffrey Gielau has been the subject of 3 customer complaints that we know about seeking to recover investment losses. One customer complaint was settled by Thrivent Investment Management in favor of the investor for Jeffrey Gielau’s alleged misconduct.  The other 2 customer complaints were recently denied by Fortune Financial Services and so far, the investors have not taken any further action. Allegations Against Jeffrey Gielau A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jeffrey Gielau Red Flags & Your Rights As An Investor Of course, Jeffrey Gielau 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 Jeffrey Gielau at Fortune Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Gielau has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fortune 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 Fortune Financial Services, Inc.  Due To Jeffrey Gielau If you have questions about Fortune Financial Services, Inc. and/or Jeffrey Gielau and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 19, 2024

Craig Frank of Ameriprise Financial Services, LLC

DID CRAIG HOWARD FRANK CAUSE YOU INVESTMENT LOSSES? Craig Frank Of Ameriprise Financial Services, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Craig Frank Customer Complaints Craig Frank has been the subject of 3 customer complaints that we know about seeking to recover investment losses. One customer complaint was settled by Prudential Securities in favor of the investor for Craig Frank’s alleged misconduct.  The other 2 customer complaints were denied, the most recent customer complaint was denied by Ameriprise Financial Services in December 2023 and the investor has not taken any further action. Allegations Against Craig Frank A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Craig Frank Red Flags & Your Rights As An Investor Of course, Craig Frank 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 Craig Frank at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Craig Frank has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, 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 Ameriprise Financial Services, LLC Due To Craig Frank If you have questions about Ameriprise Financial Services, LLC and/or Craig Frank and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 19, 2024

Roberto Fortuno of UBS Financial Services Inc.

DID ROBERTO JOSE FORTUNO CAUSE YOU INVESTMENT LOSSES? Roberto Fortuno Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Roberto Fortuno Customer Complaint Roberto Fortuno 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 recommendation to invest in and hold Puerto Rico Closed-end funds was unsuitable and that their UBS account was over-concentrated in these investments.  They also allege that the risk of investing in and concentrating Puerto Rico investments were misrepresented.  The FINRA arbitration proceeding was recently filed against UBS Financial Services for Roberto Fortuno’s alleged misconduct and is still pending. Roberto Fortuno Red Flags & Your Rights As An Investor Of course, Roberto Fortuno 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 Roberto Fortuno at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Roberto Fortuno 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 Roberto Fortuno If you have questions about UBS Financial Services Inc. and/or Roberto Fortuno 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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