Jul 20, 2023

Thomas Chun of Pruco Securities, LLC

DID THOMAS JOHN CHUN CAUSE YOU INVESTMENT LOSSES? Thomas Chun Of Pruco Securities, LLC And Formerly With Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Thomas Chun Customer Complaint Thomas Chun 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 the client was misled about the amount of the insurance policy. Pruco Securities denied the customer complaint and, to date, the customer has not taken any further action. Thomas Chun Red Flags & Your Rights As An Investor Of course, Thomas Chun 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 Thomas Chun at Pruco Securities, LLC and Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Thomas Chun has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities, LLC and Edward Jones 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 Pruco Securities, LLC Due To Thomas Chun If you have questions about Pruco Securities, LLC, Edward Jones and/or Thomas Chun 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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Jul 20, 2023

Thomas Manzardo of Ameriprise Financial Services, LLC

DID THOMAS JEROME MANZARDO CAUSE YOU INVESTMENT LOSSES? Thomas Manzardo Of Ameriprise Financial Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Thomas Manzardo Customer Complaints Thomas Manzardo has been the subject of 2 customer complaints that we know about to recover investment losses. Both customer complaints were denied by Ameriprise Financial Services and its predecessor American Express Financial Advisors and, to date, the customers have not taken any action in the recent complaint they filed. Allegations Against Thomas Manzardo A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Thomas Manzardo Red Flags & Your Rights As An Investor Of course, Thomas Manzardo 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 Thomas Manzardo at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Thomas Manzardo 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 Thomas Manzardo If you have questions about Ameriprise Financial Services, LLC and/or Thomas Manzardo 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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Jul 20, 2023

John Lowry of Spartan Capital Securities

DID JOHN DENNIS LOWRY CAUSE YOU INVESTMENT LOSSES? John Lowry Of Spartan Capital Securities Has 19 Customer Complaints For Alleged Broker Misconduct Who is John Lowry of Spartan Capital Securities? John Lowry (CRD #4336146) is a broker who is currently registered with Spartan Capital Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. John Lowry has had his own regulatory problems. On March 28, 2023, a FINRA Hearing Panel rendered a decision in an enforcement action against John Lowry alleging that he willfully failed to amend, or timely amend, is form U4 to disclose arbitration filings and resolutions thereof. The decision was that John Lowry was suspended from association with any FINRA member in all capacities for 2 years, defined $40,000, and required to amend his Form U4 to reflect the filing and disposition of customer arbitrations. He was also ordered to pay the hearing costs of $17,768.31. Shortly thereafter, John Lowry filed an appeal with the FINRA National Adjudicatory Council and until that appeal is decided the sanctions ordered by the Hearing Panel are not in effect. John Lowry Customer Complaints John Lowry has been the subject of 19 customer complaints that we know about. FINRA has indicated there may be more customer complaints that were not disclosed and public filings. At the very least, two arbitration awards were entered against Spartan Capital Securities for John Lowry’s alleged misconduct causing investors losses. Six of John Lowry’s 19 customer complaints were settled in favor of investors. Three of John Lowry’s customers’ complaints were denied, and, to date, the customers have not taken any further action. There are currently 8 pending customer complaints filed against Spartan Capital Securities for investment losses caused by John Lowry’s alleged misconduct. Allegations Against John Lowry A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:  John Lowry Red Flags & Your Rights As An Investor Of course, John Lowry 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 John Lowry at Spartan Capital Securities on alert to review carefully the activity and performance of their accounts and question whether John Lowry has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities 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. File A Claim To Recover Your Investment Losses At Spartan Capital Securities Due To John Lowry If you have questions about Spartan Capital Securities and/or John Lowry 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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Jul 20, 2023

Thomas Baumann formerly with Spartan Capital Securities, LLC

DID THOMAS JAMES BAUMANN CAUSE YOU INVESTMENT LOSSES? Thomas Baumann Formerly With Spartan Capital Securities, LLC Has 6 Customer Complaints For Alleged Broker Misconduct Thomas Baumann Customer Complaints Thomas Baumann has been the subject of 6 customer complaints that we know about to recover investment losses. Spartan Capital Securities settled 3 of the customer complaints in favor of the investors. Thomas Baumann’s former employers denied the other two customer complaints and the customers took no further action. There is currently one customer complaint pending. Allegations Against Thomas Baumann A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Thomas Baumann Red Flags & Your Rights As An Investor Of course, Thomas Baumann 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 Thomas Baumann at Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Thomas Baumann 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 Thomas Baumann If you have questions about Spartan Capital Securities, LLC and/or Thomas Baumann 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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Jul 20, 2023

Thomas O’Rourke, Jr. of Morgan Stanley

DID THOMAS J O’ROURKE JR CAUSE YOU INVESTMENT LOSSES? Thomas O’Rourke, Jr. Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Thomas O’Rourke, Jr. Customer Complaint Thomas O’Rourke, Jr. 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 misrepresentations in connection with the purchase of variable annuity contracts. Morgan Stanley denied the customer complaint and, to date, the customer has not taken any further action. Thomas O’Rourke, Jr. Red Flags & Your Rights As An Investor Of course, Thomas O’Rourke, 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 Thomas O’Rourke, Jr. at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Thomas O’Rourke, Jr. 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 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 Morgan Stanley Due To Thomas O’Rourke, Jr. If you have questions about Morgan Stanley and/or Thomas O’Rourke, 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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Jul 20, 2023

Thomas Parr of Morgan Stanley

DID THOMAS GORDON PARR CAUSE YOU INVESTMENT LOSSES? Thomas Parr Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Thomas Parr Customer Complaint Thomas Parr 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 that the fees associated with the managed account were not fully disclosed. Morgan Stanley denied the customer complaint and so far that the investor has not taken any further action. Thomas Parr Red Flags & Your Rights As An Investor Of course, Thomas Parr 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 Thomas Parr at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Thomas Parr 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 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 Morgan Stanley Due To Thomas Parr If you have questions about Morgan Stanley and/or Thomas Parr 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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Jul 19, 2023

Thomas Baker of Lincoln Investment

DID THOMAS GERALD BAKER CAUSE YOU INVESTMENT LOSSES? Thomas Baker Of Lincoln Investment Has A Customer Complaint For Alleged Broker Misconduct Thomas Baker Customer Complaint Thomas Baker 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 failure to fully disclose all facts related to insurance policies. Pruco Securities denied the customer complaint and, to date, the investor has not taken any further action. Thomas Baker Red Flags & Your Rights As An Investor Of course, Thomas Baker 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 Thomas Baker at Lincoln Investment on alert to review carefully the activity and performance of their accounts and question whether Thomas Baker has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lincoln Investment 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 Lincoln Investment Due To Thomas Baker If you have questions about Lincoln Investment and/or Thomas Baker 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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Jul 19, 2023

Thomas Ming formerly with Key Investment Services LLC

DID THOMAS GEORGE MING CAUSE YOU INVESTMENT LOSSES? Thomas Ming Formerly With Key Investment Services LLC Has 2 Customer Complaints For Alleged Broker Misconduct Thomas Ming Customer Complaints Thomas Ming has been the subject of 2 customer complaints that we know about to recover investment losses. Key Investment Services denied both customer complaints and to date, the customers have not taken any further action. Allegations Against Thomas Ming A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Thomas Ming Red Flags & Your Rights As An Investor Of course, Thomas Ming 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 Thomas Ming at Key Investment Services LLC on alert to review carefully the activity and performance of their accounts and question whether Thomas Ming has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Key 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 Key Investment Services LLC Due To Thomas Ming If you have questions about Key Investment Services LLC and/or Thomas Ming 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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Jul 19, 2023

Thomas Shay of Cambridge Investment Research, Inc.

DID THOMAS FRANCIS SHAY CAUSE YOU INVESTMENT LOSSES? Thomas Shay Of Cambridge Investment Research, Inc. Has A Customer Complaint For Alleged Broker Misconduct Thomas Shay Customer Complaint Thomas Shay 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 the sale of a variable annuity contract for the customer was an unsuitable investment. Cambridge Investment Research denied the customer complaint and, to date, the investor has not taken any further action. Thomas Shay Red Flags & Your Rights As An Investor Of course, Thomas Shay 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 Thomas Shay at Cambridge Investment Research, Inc. on alert to review carefully the activity and performance of their accounts and question whether Thomas Shay has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research, 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 Cambridge Investment Research, Inc. Due To Thomas Shay If you have questions about Cambridge Investment Research, Inc. and/or Thomas Shay 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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Jul 19, 2023

Thomas Maguire of Lion Street Financial, LLC

DID THOMAS ELDON MAGUIRE CAUSE YOU INVESTMENT LOSSES? Thomas Maguire Of Lion Street Financial, LLC And Formerly With Kestra Investment Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Thomas Maguire Customer Complaint Thomas Maguire 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 misrepresenting the timing of exit from variable universal life Insurance positions. Kestra Investment Services settled the customer complaint for the full amount demanded, $220,000. Thomas Maguire Red Flags & Your Rights As An Investor Of course, Thomas Maguire 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 Thomas Maguire at Lion Street Financial, LLC and Kestra Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Thomas Maguire has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lion Street Financial, LLC and Kestra 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 Lion Street Financial, LLC Due To Thomas Maguire If you have questions about Lion Street Financial, LLC, Kestra Investment Services, LLC and/or Thomas Maguire 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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