Jun 27, 2022

Cataldo Panici of Wintrust Investments LLC

DID CATALDO PANICI CAUSE YOU INVESTMENT LOSSES? Cataldo Panici Of Wintrust Investments LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Cataldo Panici of Wintrust Investments LLC? Cataldo Panici (CRD #2112617) who is currently registered with Wintrust Investments LLC and located in Frankfort, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Cataldo Panici Customer Complaints Cataldo Panici has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Cataldo Panici’s customer complaints was denied and, to date, the customers have not taken any further action. There is currently 1 pending customer complaint filed against Cataldo Panici’s current employer Wintrust Investments LLC for investment losses caused by the alleged misconduct. Allegations Against Cataldo Panici A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendations to purchase mutual funds. Breach of fiduciary duty recommendations to purchase 9-traded REITs and mutual funds. Cataldo Panici Red Flags & Your Rights As An Investor Of course, Cataldo Panici 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 Cataldo Panici at Wintrust Investments LLC on alert to review carefully the activity and performance of their accounts and question whether Cataldo Panici has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wintrust Investments 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. File A Claim To Recover Your Investment Losses At Wintrust Investments LLC Due To Cataldo Panici If you have questions about Wintrust Investments LLC and/or Cataldo Panici 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

Jun 27, 2022

Alberto Boulton of Merrill Lynch Pierce Fenner & Smith Incorporated

DID ALBERTO ENRIQUE BOULTON CAUSE YOU INVESTMENT LOSSES? Alberto Boulton Of Merrill Lynch Pierce Fenner & Smith Incorporated And Formerly With MML Investors Services, LLC And Hold Brothers Capital LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Alberto Boulton of Merrill Lynch Pierce Fenner & Smith Incorporated? Alberto Boulton (CRD #6639531) who is currently registered with Merrill Lynch Pierce Fenner & Smith Incorporated and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Merrill Lynch Pierce Fenner & Smith Incorporated, Alberto Boulton was associated with MML Investors Services, LLC, Hold Brothers Capital LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Alberto Boulton Customer Complaint Alberto Boulton has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that Alberto Boulton made unsuitable investment recommendations and failed to file the client’s instructions connection with a managed account.  Alberto Boulton’s customer complaint was denied and, to date, the customer has not taken any further action. Alberto Boulton Red Flags & Your Rights As An Investor Of course, Alberto Boulton 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 Alberto Boulton at Merrill Lynch Pierce Fenner & Smith Incorporated, MML Investors Services, LLC and Hold Brothers Capital LLC on alert to review carefully the activity and performance of their accounts and question whether Alberto Boulton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith Incorporated, MML Investors Services, LLC and Hold Brothers Capital 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. File A Claim To Recover Your Investment Losses At Merrill Lynch Pierce Fenner & Smith Incorporated Due To Alberto Boulton If you have questions about Merrill Lynch Pierce Fenner & Smith Incorporated, MML Investors Services, LLC, Hold Brothers Capital LLC and/or Alberto Boulton 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

Jun 27, 2022

Charles Lek of Lek Securities Corporation

You trust a broker when you hire him or her. This is why it’s critical to have all the information available about the individual investing your money. This data might assist you in determining whether or not to work with a specific broker. If you believe Charles Lek has caused you financial harm, we may be able to assist you in resolving any concerns or questions you have. DID CHARLES FREDERIK LEK CAUSE YOU INVESTMENT LOSSES? Charles Lek Of Lek Securities Corporation And Formerly With Peter R. Mack & Co., Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Charles Lek of Lek Securities Corporation? Charles Lek (CRD #4672129) who is currently registered with Lek Securities Corporation and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Lek Securities Corporation, Charles Lek was associated with Peter R. Mack & Co., Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Charles Lek Customer Complaints Charles Lek has been the subject of 4 customer complaints that we know about, 3of those complaints were filed in the last year to recover investment losses. One of Charles Lek’s 4 customer complaints was settled in favor of investor. There are currently 3 pending customer complaints filed against Charles Lek’s current employer Lek Securities Corporation for investment losses caused by the alleged misconduct. Allegations Against Charles Lek A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Misrepresentation and breach of contract related to penny stock transactions. Failure to execute trading instructions, conversion of funds, fraud, and breach of contract and industry rules related to micro-cap securities. Charles Lek Red Flags & Your Rights As An Investor Of course, Charles Lek 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 Lek at Lek Securities Corporation and Peter R. Mack & Co., Inc.on alert to review carefully the activity and performance of their accounts and question whether Charles Lek has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lek Securities Corporation and Peter R. Mack & Co., 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. File A Claim To Recover Your Investment Losses At Lek Securities Corporation Due To Charles Lek If you have questions about Lek Securities Corporation, Peter R. Mack & Co., Inc, and/or Charles Lek 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

Jun 27, 2022

Andrew Cutler of Morgan Stanley

DID ANDREW DUNMORE CUTLER CAUSE YOU INVESTMENT LOSSES? Andrew Cutler Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Andrew Cutler of Morgan Stanley? Andrew Cutler (CRD #1002839) who is currently registered with Morgan Stanley and located in Wellesley, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Andrew Cutler Customer Complaint Andrew Cutler has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that Andrew Cutler breached his fiduciary duty. Andrew Cutler’s customer complaint was denied and, to date, the customer has not taken any further action. Andrew Cutler Red Flags & Your Rights As An Investor Of course, Andrew Cutler 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 Andrew Cutler at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Andrew Cutler 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. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Andrew Cutler If you have questions about Morgan Stanley and/or Andrew Cutler 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

Jun 27, 2022

Andrew Costa of Madison Avenue Securities, LLC

DID ANDREW MONTGOMERY COSTA CAUSE YOU INVESTMENT LOSSES? Andrew Costa Of Madison Avenue Securities, LLC And Formerly With G.F. Investment Services, LLC Has 6 Customer Complaints For Alleged Broker Misconduct Who is Andrew Costa of Madison Avenue Securities, LLC? Andrew Costa (CRD #4847063) who is currently registered with Madison Avenue Securities, LLC and located in Fort Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Madison Avenue Securities, Andrew Costa was associated with G.F. Investment Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Andrew Costa Customer Complaints Andrew Costa has been the subject of 6 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Three of Andrew Costa’s 6 customer complaints were settled in favor of investors. There are currently 3 pending customer complaints filed against Andrew Costa’s former employer G.F. Investment Services, LLC for investment losses caused by the alleged misconduct. Allegations Against Andrew Costa A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendations into two real estate investment trusts. Offer and sale of Woodbridge Notes. Andrew Costa Red Flags & Your Rights As An Investor Of course, Andrew Costa 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 Andrew Costa at Madison Avenue Securities, LLC and G.F. Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Andrew Costa has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Madison Avenue Securities, LLC and G.F. Investment Services, 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. File A Claim To Recover Your Investment Losses At Madison Avenue Securities, LLC Due To Andrew Costa If you have questions about Madison Avenue Securities, G.F. Investment Services, LLC and/or Andrew Costa 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

Jun 27, 2022

Adam Fritzsche Formerly With IFS Securities

DID ADAM STUART FRITZSCHE CAUSE YOU INVESTMENT LOSSES? Adam Fritzsche Formerly With IFS Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Adam Fritzsche formerly with IFS Securities? Adam Fritzsche (CRD #2821218) who was formerly registered with IFS Securities and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations.  Prior to IFS Securities, Adam Fritzsche was associated with Citizens Securities, Inc., LPL Financial, LLC, and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. While associated with LPL Financial, LLC, Adam Fritzsche consented to FINRA sanctions for making unsuitable investment recommendations and concentrating the customer’s account in alternative investments that were speculative, illiquid and unsuitable.  The sanction was a suspension for one year.  Adam Fritzsche served his suspension and again and reemployed in the securities industry. Adam Fritzsche Customer Complaint Adam Fritzsche has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that Adam Fritzsche falsified customers signatures on investment documents, that the customer’s liquid net worth, total net worth, and annual income were misrepresented on investment applications, and that investment ultimately recommended was unsuitable for her. Fritzsche’s customer complaint was settled in favor of the investors. Adam Fritzsche Red Flags & Your Rights As An Investor Of course, Adam Fritzsche 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 Adam Fritzsche at IFS Securities and Citizens Securities, Inc.on alert to review carefully the activity and performance of their accounts and question whether Adam Fritzsche has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at IFS Securities and Citizens 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. File A Claim To Recover Your Investment Losses At IFS Securities Due To Adam Fritzsche If you have questions about IFS Securities, Citizens Securities, Inc., and/or Adam Fritzsche 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

Jun 27, 2022

Allan Klenke of Morgan Stanley

DID ALLAN JOHN KLENKE CAUSE YOU INVESTMENT LOSSES? Allan Klenke Of Morgan Stanley And Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Allan Klenke of Morgan Stanley? Allan Klenke (CRD #2252963) who is currently registered with Morgan Stanley and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Morgan Stanley, Allan Klenke was associated with UBS Financial Services Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Allan Klenke Customer Complaint Allan Klenke has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that Allan Klenke made misrepresentations and unsuitable recommendations with respect to an investment in and the hold recommendation of an option overlay strategy.  The customer complaint filed against Allan Klenke’s former employer UBS Financial Services Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Allan Klenke Red Flags & Your Rights As An Investor Of course, Allan Klenke 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 Allan Klenke at Morgan Stanley and UBS Financial Services Inc.on alert to review carefully the activity and performance of their accounts and question whether Allan Klenke has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and 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. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Allan Klenke If you have questions about Morgan Stanley, UBS Financial Services Inc. and/or Allan Klenke 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

Jun 27, 2022

Aaron Griswold of Merrill Lynch, Pierce, Fenner & Smith Incorporated

DID AARON W. GRISWOLD CAUSE YOU INVESTMENT LOSSES? Aaron Griswold Of Merrill Lynch, Pierce, Fenner & Smith Incorporated And Formerly With Santander Securities LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Aaron Griswold of Merrill Lynch, Pierce, Fenner & Smith Incorporated? Aaron Griswold (CRD #5587792) who is registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Pennington, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Merrill Lynch, Pierce, Fenner & Smith Incorporated, Aaron Griswold was associated with Santander Securities LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Aaron Griswold Customer Complaint Aaron Griswold has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that the financial advisor misrepresented the risk associated with an investment recommendation in a mutual fund. Aaron Griswold’s customer complaint was denied and, to date, the customer has not taken any further action. Aaron Griswold Red Flags & Your Rights As An Investor Of course, Aaron Griswold 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 Aaron Griswold at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Santander Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Aaron Griswold has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Santander 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. File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Aaron Griswold If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated, Santander Securities LLC, and/or Aaron Griswold 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

Jun 27, 2022

Charles Jones of Parkland Securities

DID CHARLES EASTMAN JONES CAUSE YOU INVESTMENT LOSSES? Charles Jones Of Parkland Securities And Formerly With NYLIFE Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Charles Jones of Parkland Securities? Charles Jones (CRD #6283337) who is currently registered with Parkland Securities and located in Flandreau, South Dakota is a subject of one of our many securities industry sales practice abuse investigations. Prior to Parkland Securities, Charles Jones was associated with NYLIFE Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Charles Jones Customer Complaint Charles Jones has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were Charles Jones withdrew funds from her Rollover IRA and was not aware of the tax consequences. The customer complaint filed against Charles Jones’ current employer Parkland Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Charles Jones Red Flags & Your Rights As An Investor Of course, Charles Jones 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 Jones at Parkland Securities and NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Charles Jones has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Parkland Securities and NYLIFE Securities 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. File A Claim To Recover Your Investment Losses At Parkland Securities Due To Charles Jones If you have questions about Parkland Securities, NYLIFE Securities, and/or Charles Jones 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

Jun 27, 2022

Andrew Ortiz formerly with UBS Financial Services Inc.

DID ANDREW JAMES ORTIZ CAUSE YOU INVESTMENT LOSSES? Andrew Ortiz Formerly With UBS Financial Services Inc. And Vanguard Marketing Corporation Has A Customer Complaint For Alleged Broker Misconduct Who is Andrew Ortiz formerly with UBS Financial Services Inc.? Andrew Ortiz (CRD #6834225) who was formerly registered with UBS Financial Services Inc. and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services Inc., Andrew Ortiz was associated with Vanguard Marketing Corporation and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Andrew Ortiz Customer Complaint Andrew Ortiz has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were Andrew Ortiz failed to liquidate an investment as instructed by the customer. Andrew Ortiz’s customer complaint was settled in favor of the investors. Andrew Ortiz Red Flags & Your Rights As An Investor Of course, Andrew Ortiz 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 Andrew Ortiz at UBS Financial Services Inc. and Vanguard Marketing Corporation on alert to review carefully the activity and performance of their accounts and question whether Andrew Ortiz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. and Vanguard Marketing Corporation 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. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Andrew Ortiz If you have questions about UBS Financial Services Inc., Vanguard Marketing Corporation and/or Andrew Ortiz 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