Jul 7, 2023

Spencer Gliddon formerly with J.P. Morgan Securities LLC

DID SPENCER HARTLEY GLIDDON CAUSE YOU INVESTMENT LOSSES? Spencer Gliddon Formerly With J.P. Morgan Securities LLC Has A Customer Complaint For Alleged Broker Misconduct Spencer Gliddon Customer Complaint Spencer Gliddon 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 unsuitable recommendations of a mutual fund investment. J.P. Morgan Securities settled the customer complaint for the full amount demanded. Spencer Gliddon Red Flags & Your Rights As An Investor Of course, Spencer Gliddon 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 Spencer Gliddon at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Spencer Gliddon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan 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 J.P. Morgan Securities LLC Due To Spencer Gliddon If you have questions about J.P. Morgan Securities LLC and/or Spencer Gliddon 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.

Continue Reading

Jul 7, 2023

Souheir Alrachid of NYLife Securities LLC

DID SOUHEIR M ALRACHID CAUSE YOU INVESTMENT LOSSES? Souheir Alrachid Of NYLife Securities LLC And Formerly With Farmers Financial Solutions, LLC and AXA Advisors, LLC Has A Customer Complaint For Alleged Broker Misconduct Souheir Alrachid Customer Complaint Souheir Alrachid 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 disclose surrender charges on the customer’s variable life insurance policy. The Equitable Advisors firm denied the customer complaint and, to date, the customer has not filed any arbitration proceeding to recover her losses. Souheir Alrachid Red Flags & Your Rights As An Investor Of course, Souheir Alrachid 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 Souheir Alrachid at NYLife Securities LLC, Farmers Financial Solutions, LLC and AXA Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Souheir Alrachid has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLife Securities LLC, Farmers Financial Solutions, LLC and AXA Advisors, 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 NYLife Securities LLC Due To Souheir Alrachid If you have questions about NYLife Securities LLC, Farmers Financial Solutions, LLC, AXA Advisors, LLC and/or Souheir Alrachid 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.

Continue Reading

Jul 6, 2023

Sonia Attkiss of UBS Financial Services Inc.

DID SONIA MARIA ATTKISS CAUSE YOU INVESTMENT LOSSES? Sonia Attkiss Of UBS Financial Services Inc. Has 14 Customer Complaints For Alleged Broker Misconduct Sonia Attkiss Customer Complaints Sonia Attkiss has been the subject of 14 customer complaints that we know about to recover investment losses. One customer complaint proceeded to arbitration and resulted in an arbitration award against Sonia Attkiss’ employer UBS Financial Services. Four customer complaints were settled by UBS Financial Services in favor of the investors. The brokerage firm denied 6 other complaints and, to date, no further action has been taken by the customers. There are currently 3 arbitration proceedings pending against UBS financial Services for Sonia Attkiss’ alleged misconduct. Allegations Against Sonia Attkiss A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses appear to all be related to an options overlay strategy known as UBS YES which was touted as a yield enhancement strategy. Sonia Attkiss Red Flags & Your Rights As An Investor Of course, Sonia Attkiss 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 Sonia Attkiss at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Sonia Attkiss 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 Sonia Attkiss If you have questions about UBS Financial Services Inc. and/or Sonia Attkiss 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.

Continue Reading

Jul 6, 2023

Sigmond Whitehill formerly with Newbridge Securities Corporation

DID SIGMOND JOHN WHITEHILL CAUSE YOU INVESTMENT LOSSES? Sigmond Whitehill Formerly With Newbridge Securities Corporation and Ausdal Financial Partners, Inc. Has A Customer Complaint For Alleged Broker Misconduct Sigmond Whitehill Customer Complaint Sigmond Whitehill 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  unsuitable investments, negligence, deceptive and misleading conduct related to alternative investments. Newbridge Securities Corporation settled the customer complaint for $537,500. Sigmond Whitehill Red Flags & Your Rights As An Investor Of course, Sigmond Whitehill 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 Sigmond Whitehill at Newbridge Securities Corporation and Ausdal Financial Partners, Inc. on alert to review carefully the activity and performance of their accounts and question whether Sigmond Whitehill has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Newbridge Securities Corporation and Ausdal Financial Partners, 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 Newbridge Securities Corporation Due To Sigmond Whitehill If you have questions about Newbridge Securities Corporation, Ausdal Financial Partners, Inc. and/or Sigmond Whitehill 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.

Continue Reading

Jul 6, 2023

Shuhong Rong formerly with Cetera Investment Services LLC

DID SHUHONG RONG CAUSE YOU INVESTMENT LOSSES? Shuhong Rong Formerly With Cetera Investment Services LLC and LPL Financial LLC Has A Customer Complaint For Alleged Broker Misconduct Shuhong Rong Customer Complaint Shuhong Rong 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 related to an unsuitable investment recommendation of a REIT. Cetera Investment Services denied the customer complaint and, to date, the customer has not filed any arbitration proceeding. Shuhong Rong Red Flags & Your Rights As An Investor Of course, Shuhong Rong 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 Shuhong Rong at Cetera Investment Services LLC and LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Shuhong Rong has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Investment Services LLC 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 Cetera Investment Services LLC Due To Shuhong Rong If you have questions about Cetera Investment Services LLC, LPL Financial LLC and/or Shuhong Rong 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.

Continue Reading

Jul 6, 2023

Shuang Guo of Pruco Securities, LLC

DID SHUANG GUO CAUSE YOU INVESTMENT LOSSES? Shuang Guo Of Pruco Securities, LLC, And Formerly With AC Sunshine Securities LLC, NYLife Securities LLC and HSBC Securities (USA) Inc. Has A Customer Complaint For Alleged Broker Misconduct Shuang Guo Customer Complaint Shuang Guo 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 representative failed to disclose charges, expenses and fees, and did not fully disclose all the facts regarding purchasing an insurance policy. Shuang Guo Red Flags & Your Rights As An Investor Of course, Shuang Guo 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 Shuang Guo at Pruco Securities, LLC, AC Sunshine Securities LLC, NYLife Securities LLC and HSBC Securities (USA) Inc. on alert to review carefully the activity and performance of their accounts and question whether Shuang Guo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities, LLC, AC Sunshine Securities LLC, NYLife Securities LLC and HSBC Securities (USA) 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 Pruco Securities, LLC Due To Shuang Guo If you have questions about Pruco Securities, LLC, AC Sunshine Securities LLC, NYLife Securities LLC, HSBC Securities (USA) Inc. and/or Shuang Guo 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.

Continue Reading

Jul 6, 2023

Shu Mei Yu of Morgan Stanley

DID SHU MEI YU CAUSE YOU INVESTMENT LOSSES? Shu Mei Yu Of Morgan Stanley And Formerly With J.P. Morgan Securities LLC Has A Customer Complaint For Alleged Broker Misconduct Shu Mei Yu Customer Complaint Shu Mei Yu 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 customer’s managed account was liquidated in March 2020 without her authorization. Morgan Stanley denied the customer complaint and no further action has been taken to date. Shu Mei Yu Red Flags & Your Rights As An Investor Of course, Shu Mei Yu 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 Shu Mei Yu at Morgan Stanley and J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Shu Mei Yu has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley 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 Morgan Stanley Due To Shu Mei Yu If you have questions about Morgan Stanley, J.P. Morgan Securities LLC and/or Shu Mei Yu 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.

Continue Reading

Jul 5, 2023

Shirley Washam of Ameriprise Financial Services, LLC

DID SHIRLEY ELLEN WASHAM CAUSE YOU INVESTMENT LOSSES? Shirley Washam Of Ameriprise Financial Services, LLC And Formerly With Raymond James & Associates, Inc. Has 7 Customer Complaints For Alleged Broker Misconduct Shirley Washam Customer Complaints Shirley Washam has been the subject of 7 customer complaints that we know about to recover investment losses. Six of the customer complaints were settled by Raymond James and its predecessor Morgan Keegan in favor of the investors. The other customer complaint was denied and the customer took no further action. Allegations Against Shirley Washam A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Shirley Washam Red Flags & Your Rights As An Investor Of course, Shirley Washam 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 Shirley Washam at Ameriprise Financial Services, LLC and Raymond James & Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Shirley Washam 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 Raymond James & Associates, 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 Ameriprise Financial Services, LLC Due To Shirley Washam If you have questions about Ameriprise Financial Services, LLC, Raymond James & Associates, Inc. and/or Shirley Washam 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.

Continue Reading

Jul 5, 2023

Sherry Rowland of UBS Financial Services Inc.

DID SHERRY ROWLAND CAUSE YOU INVESTMENT LOSSES? Sherry Rowland Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Sherry Rowland Customer Complaint Sherry Rowland 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 transactions in account. UBS Financial Services settled the customer complaint in favor the investor. Sherry Rowland Red Flags & Your Rights As An Investor Of course, Sherry Rowland 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 Sherry Rowland at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Sherry Rowland 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 Sherry Rowland If you have questions about Innovation UBS Financial Services Inc. and/or Sherry Rowland 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.

Continue Reading

Jul 5, 2023

Sherre Barber of J.P. Morgan Securities LLC

DID SHERRE BARBER CAUSE YOU INVESTMENT LOSSES? Sherre Barber Of J.P. Morgan Securities LLC Has 3 Customer Complaints For Alleged Broker Misconduct Sherre Barber Customer Complaints Sherre Barber has been the subject of 3 customer complaints that we know about to recover investment losses. One customer complaint was settled by Chase Investment Services Corporation in favor of the investor. The other 2 customer complaints were denied by Sherre Barber’s employers and, to date, the customers have taken no further action. Allegations Against Sherre Barber A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Sherre Barber Red Flags & Your Rights As An Investor Of course, Sherre Barber 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 Sherre Barber at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Sherre Barber has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan 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 J.P. Morgan Securities LLC Due To Sherre Barber If you have questions about J.P. Morgan Securities LLC and/or Sherre Barber 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.

Continue Reading