Nov 4, 2023

James Raia of Moloney Securities Co., Inc.

DID JAMES JOHN RAIA CAUSE YOU INVESTMENT LOSSES? James Raia Of Moloney Securities Co., Inc. And Formerly With Summit Brokerage Services, Inc. Has 6 Customer Complaints For Alleged Broker Misconduct James Raia Customer Complaints James Raia has been the subject of 6 customer complaints that we know about to recover investment losses. Three of the customer complaints were settled by James Raia’s current and former employers. Another customer complaint was denied by his former employers and the investors took no further action. There is currently one arbitration proceeding still pending against Moloney Securities Co. for the advisor’s alleged misconduct. Allegations Against James Raia A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses follows: James Raia Red Flags & Your Rights As An Investor Of course, James Raia 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 Raia at Moloney Securities Co., Inc. and Summit Brokerage Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether James Raia has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Moloney Securities Co., Inc. and Summit Brokerage 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 Moloney Securities Co., Inc. Due To James Raia If you have questions about Moloney Securities Co., Inc., Summit Brokerage Services, Inc. and/or James Raia 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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Nov 3, 2023

Lisa Pugel of Avantax Investment Services, Inc.

DID LISA AILEEN PUGEL CAUSE YOU INVESTMENT LOSSES? Lisa Pugel Of Avantax Investment Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Lisa Pugel Customer Complaints Lisa Pugel has been the subject of 2 customer complaints that we know about to recover investment losses. HD Vest settled one customer complaint in favor of the investor. Avantax Investment Services recently denied the other customer complaint and, to date, the investor is not taken any further action. Allegations Against Lisa Pugel A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses follows: Lisa Pugel Red Flags & Your Rights As An Investor Of course, Lisa Pugel 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 Lisa Pugel at Avantax Investment Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Lisa Pugel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Avantax Investment 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 Avantax Investment Services, Inc. Due To Lisa Pugel If you have questions about Avantax Investment Services, Inc. and/or Lisa Pugel 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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Nov 3, 2023

Julian Puga, Jr. of Northwestern Mutual Investment Services, LLC

DID JULIAN PUGA JR CAUSE YOU INVESTMENT LOSSES? Julian Puga, Jr. Of Northwestern Mutual Investment Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Julian Puga, Jr.  Customer Complaints Julian Puga, Jr. has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was denied by Northwestern Mutual Investment Services and so far, the investor has not taken any further action. There is currently one customer complaint that was recently filed with Northwestern Mutual Investment Services that is under review and awaiting resolution. Allegations Against Julian Puga, Jr. A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses follows: Julian Puga, Jr.  Red Flags & Your Rights As An Investor Of course, Julian Puga, Jr. 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 Julian Puga, Jr. at Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Julian Puga, Jr. has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment 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 Northwestern Mutual Investment Services, LLC Due To Julian Puga, Jr. If you have questions about Northwestern Mutual Investment Services, LLC and/or Julian Puga, Jr. 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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Nov 3, 2023

Karin Prince of Bankers Life Securities, Inc.

DID KARIN ELAINE PRINCE CAUSE YOU INVESTMENT LOSSES? Karin Prince Of Bankers Life Securities, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Karin Prince Customer Complaints Karin Prince has been the subject of 2 customer complaints that we know about to recover investment losses. Both customer complaints were recently denied by Bankers Life and Casualty Co. and, to date, the investors have not taken any further action. Allegations Against Karin Prince A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses follows: Karin Prince Red Flags & Your Rights As An Investor Of course, Karin Prince 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 Karin Prince at Bankers Life Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Karin Prince has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Bankers Life 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 Bankers Life Securities, Inc. Due To Karin Prince If you have questions about Bankers Life Securities, Inc. and/or Karin Prince 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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Nov 3, 2023

Jason Pirnie formerly with UBS Financial Services Inc.

DID JASON MALCOM PIRNIE CAUSE YOU INVESTMENT LOSSES? Jason Pirnie Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Jason Pirnie Customer Complaint Jason Pirnie has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for failure to follow client’s instructions with respect to the investments and line of credit. UBS Financial Services settled the customer complaint in favor of the investor. Jason Pirnie Red Flags & Your Rights As An Investor Of course, Jason Pirnie 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 Jason Pirnie at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Jason Pirnie 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 Jason Pirnie If you have questions about UBS Financial Services Inc. and/or Jason Pirnie 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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Nov 2, 2023

Thais Piotrowski of Ameriprise Financial Services, LLC

DID THAIS DRUMMOND PIOTROWSKI CAUSE YOU INVESTMENT LOSSES? Thais Piotrowski Of Ameriprise Financial Services, LLC Has 4 Customer Complaints For Alleged Broker Misconduct Thais Piotrowski Customer Complaints Thais Piotrowski has been the subject of 4 customer complaints that we know about to recover investment losses. Three of the customer disputes were denied by Ameriprise Financial Services and so far the investors have not taken any further action. There is currently one FINRA arbitration proceeding pending against Ameriprise Financial Services for Thais Piotrowski’s alleged misconduct. Allegations Against Thais Piotrowski A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses follows: Thais Piotrowski Red Flags & Your Rights As An Investor Of course, Thais Piotrowski 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 Thais Piotrowski at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Thais Piotrowski 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 Thais Piotrowski If you have questions about Ameriprise Financial Services, LLC and/or Thais Piotrowski 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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Nov 2, 2023

Jamie Peterson of Saybrus Equity Services, LLC

DID JAMIE CHANNING PETERSON CAUSE YOU INVESTMENT LOSSES? Jamie Peterson Of Saybrus Equity Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Jamie Peterson Customer Complaint Jamie Peterson has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for lack of disclosure and incorrect information regarding investment at time of purchase. Saybrus Equity Services recently denied the customer complaint and, to date, the investor has not taken any further action. Jamie Peterson Red Flags & Your Rights As An Investor Of course, Jamie Peterson 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 Jamie Peterson at Saybrus Equity Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Jamie Peterson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Saybrus Equity 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 Saybrus Equity Services, LLC Due To Jamie Peterson If you have questions about Saybrus Equity Services, LLC and/or Jamie Peterson 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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Nov 2, 2023

Troy Perkins of Concourse Financial Group Securities, Inc.

DID TROY DON PERKINS CAUSE YOU INVESTMENT LOSSES? Troy Perkins Of Concourse Financial Group Securities, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Troy Perkins Customer Complaints Troy Perkins has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by Wachovia Securities in favor the investor. The other customer dispute is still pending in a FINRA arbitration proceeding against Lincoln Financial Securities Corporation. Allegations Against Troy Perkins A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses follows: Troy Perkins Red Flags & Your Rights As An Investor Of course, Troy Perkins 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 Troy Perkins at Concourse Financial Group Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Troy Perkins has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Concourse Financial Group 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 Concourse Financial Group Securities, Inc. Due To Troy Perkins If you have questions about Concourse Financial Group Securities, Inc. and/or Troy Perkins 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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Nov 2, 2023

Clara Perez O’Neill of Popular Securities, LLC

DID CLARA YANIRA PEREZ O’NEILL CAUSE YOU INVESTMENT LOSSES? Clara Perez O’Neill Of Popular Securities, LLC Has 8 Customer Complaints For Alleged Broker Misconduct Clara Perez O’Neill Customer Complaints Clara Perez O’Neill has been the subject of 8 customer complaints that we know about to recover investment losses. Seven of the customer complaints were settled by Popular Securities in favor of the investors. The other complaint remains pending with Popular Securities, LLC. Allegations Against Clara Perez O’Neill A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses follows: Clara Perez O’Neill Red Flags & Your Rights As An Investor Of course, Clara Perez O’Neill 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 Clara Perez O’Neill at Popular Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Clara Perez O’Neill has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Popular 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 Popular Securities, LLC Due To Clara Perez O’Neill If you have questions about Popular Securities, LLC and/or Clara Perez O’Neill 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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Nov 2, 2023

Surage Perera formerly with Aegis Capital Corp.

DID SURAGE KAMAL ROSHAN PERERA CAUSE YOU INVESTMENT LOSSES? Surage Perera Formerly With Aegis Capital Corp. and Maxim Group LLC Has 4 Customer Complaints For Alleged Broker Misconduct Surage Perera Customer Complaints Surage Perera has been the subject of 4 customer complaints that we know about to recover investment losses. One customer complaint was settled by Prestige Financial Center in favor of the investor. There are currently 3 customer complaints still pending with Aegis Capital Corp. for the advisor’s alleged misconduct. 2 of those customer complaints have evolved into FINRA arbitration proceedings. Allegations Against Surage Perera A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses follows: Surage Perera Red Flags & Your Rights As An Investor Of course, Surage Perera 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 Surage Perera at Aegis Capital Corp. and Maxim Group LLC on alert to review carefully the activity and performance of their accounts and question whether Surage Perera has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp. and Maxim Group 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 Aegis Capital Corp. Due To Surage Perera If you have questions about Aegis Capital Corp., Maxim Group LLC and/or Surage Perera 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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