Mar 8, 2022

Michelle Parker Formerly With Wells Fargo Clearing Services

DID MICHELLE ROXANNE PARKER CAUSE YOU INVESTMENT LOSSES? Michelle Parker Formerly With Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Michelle Parker formerly with Wells Fargo Clearing Services? Michelle Parker (CRD #2590034) who was formerly registered with Wells Fargo Clearing Services and located in Santa Fe, New Mexico is a subject of one of our many securities industry sales practice abuse investigations. Michelle Parker Customer Complaints Michelle Parker has been the subject of 2 customer complaints that we know about. One of Michelle Parker’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Wells Fargo Clearing Services for investment losses caused by Michelle Parker’s alleged misconduct. Allegations Against Michelle Parker A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client verbally expressed concern over the value of her account, that she did not receive monthly account statements for a period of time and received an unsolicited deposit in her account allegedly by Michelle Parker. Plaintiff alleged that Michelle Parker made unauthorized transactions instead of managing the Plaintiff’s assets as expected. Michelle Parker Red Flags & Your Rights As An Investor Of course, Michelle Parker 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 Michelle Parker at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Michelle Parker has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services 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 Wells Fargo Clearing Services Due To Michelle Parker If you have questions about Wells Fargo Clearing Services and/or Michelle Parker and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

James Merklinghaus formerly with CoreCap Investments

DID JAMES BRUCE MERKLINGHAUS CAUSE YOU INVESTMENT LOSSES? James Merklinghaus Formerly With CoreCap Investments Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Merklinghaus formerly with CoreCap Investments? James Merklinghaus (CRD #1446224) who was formerly registered with CoreCap Investments and located in Southfield, Michigan is a subject of one of our many securities industry sales practice abuse investigations. James Merklinghaus Customer Complaints James Merklinghaus has been the subject of 2 customer complaints that we know about. Both of James Merklinghaus’ customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against James Merklinghaus A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged he was unaware he was buying an annuity from James Merklinghaus. Customer alleged that he was not informed by James Merklinghaus of a 14 year surrender period of an annuity he purchased when he was 83 years old. James Merklinghaus Red Flags & Your Rights As An Investor Of course, James Merklinghaus 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 Merklinghaus at CoreCap Investments on alert to review carefully the activity and performance of their accounts and question whether James Merklinghaus has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at CoreCap Investments 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 CoreCap Investments Due To James Merklinghaus If you have questions about CoreCap Investments and/or James Merklinghaus and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Shawn Messner of Needham & Company

DID SHAWN DAVID MESSNER CAUSE YOU INVESTMENT LOSSES? Shawn Messner Of Needham & Company And Formerly With Northland Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Shawn Messner of Needham & Company? Shawn Messner (CRD #2759697) who is currently registered with Needham & Company and located in Minnetonka, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Prior to Needham & Company, Shawn Messner was associated with Northland Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Shawn Messner Customer Complaint Shawn Messner 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 arose out of a premeditated plan to defraud vendors and investors to invest in OrangeHook, a start-up tech company with alleged “patented” security technology destined to make the company “highly profitable.” The customer complaint filed against Shawn Messner’s former employer Northland Capital for investment losses caused by the alleged misconduct is pending as of the date of this report. Shawn Messner Red Flags & Your Rights As An Investor Of course, Shawn Messner 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 Shawn Messner at Needham & Company and Northland Securities on alert to review carefully the activity and performance of their accounts and question whether Shawn Messner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Needham & Company and Northland 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 Needham & Company Due To Shawn Messner If you have questions about Needham & Company, Northland Securities, and/or Shawn Messner and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Elvis Parkes of Reid & Rudiger

DID ELVIS SYLVESTER PARKES CAUSE YOU INVESTMENT LOSSES? Elvis Parkes Of Reid & Rudiger Has 11 Customer Complaints For Alleged Broker Misconduct Who is Elvis Parkes of Reid & Rudiger? Elvis Parkes (CRD #2358223) who is currently registered with Reid & Rudiger and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Elvis Parkes has also been investigated by to regulators, the NASD and the State of Illinois.  He was previously sanctioned by the NASD for alleged unauthorized trading and suspended for 35 days, ordered to pay restitution to the customers, and fined $5, 000. Elvis Parkes Customer Complaints Elvis Parkes has been the subject of 11 customer complaints that we know about. Seven of Elvis Parkes’ 11 customer complaints were settled in favor of investors. Four of Elvis Parkes’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Elvis Parkes A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged Elvis Parkes’ made unsuitable recommendations. Customer alleged Elvis Parkes’ sales practice violations including unsuitability, excessive trading, negligent supervision, and breach of fiduciary duty. Customer alleged excessive commission charges by Elvis Parkes. Customer alleged unsuitable recommendations by Elvis Parkes. Elvis Parkes’ alleged poor performance, lack of communication. Elvis Parkes’ alleged unauthorized trade. Unauthorized trading allegedly by Elvis Parkes. Unsuitable transaction allegedly made by Elvis Parkes. Elvis Parkes Red Flags & Your Rights As An Investor Of course, Elvis Parkes 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 Elvis Parkes at Reid & Rudiger on alert to review carefully the activity and performance of their accounts and question whether Elvis Parkes has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Reid & Rudiger 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 Reid & Rudiger Due To Elvis Parkes If you have questions about Reid & Rudiger and/or Elvis Parkes and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Brent Miller of NYLIFE Securities

DID BRENT AARON MILLER CAUSE YOU INVESTMENT LOSSES? Brent Miller Of NYLIFE Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Brent Miller of NYLIFE Securities? Brent Miller (CRD #3235039) who is currently registered with NYLIFE Securities and located in Sioux Falls, South Dakota is a subject of one of our many securities industry sales practice abuse investigations. Brent Miller Customer Complaint Brent Miller 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 the customer alleged that two withdrawals from her variable annuity were used to establish an unauthorized MainStay account in the amount of $40,000 and the purchase a new variable annuity in which she incurred an upfront surcharge of over $4,000. The customer requested a reimbursement of all fees involved in the transaction.  Brent Miller’s customer complaint was settled in favor of the investors. Brent Miller Red Flags & Your Rights As An Investor Of course, Brent Miller 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 Brent Miller at NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Brent Miller has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 NYLIFE Securities Due To Brent Miller If you have questions about NYLIFE Securities and/or Brent Miller and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Jeffrey Miller of Ameriprise Financial Services

DID JEFFREY SCOTT MILLER CAUSE YOU INVESTMENT LOSSES? Jeffrey Miller Of Ameriprise Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jeffrey Miller of Ameriprise Financial Services? Jeffrey Miller (CRD #2112508) who is currently registered with Ameriprise Financial Services and located in Danvers, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Jeffrey Miller Customer Complaints Jeffrey Miller has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Both of Jeffrey Miller’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Jeffrey Miller A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client alleged Jeffrey Miller misinformed him about when and at what price his Active Portfolio and Select Separate accounts would be liquidated. The clients have alleged that Jeffrey Miller did not follow their risk tolerance and recommended they invest in unsuitable investments. The clients also alleged that the advisor recommended they invest in multiple fund families to generate additional commission income. Finally, the clients claimed the advisor’s actions caused them to lose a significant amount of money. Jeffrey Miller Red Flags & Your Rights As An Investor Of course, Jeffrey Miller did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Jeffrey Miller at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Miller has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services 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 Ameriprise Financial Services Due To Jeffrey Miller If you have questions about Ameriprise Financial Services and/or Jeffrey Miller and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Nadine Miller of Morgan Stanley

DID NADINE GROSSBERG MILLER CAUSE YOU INVESTMENT LOSSES? Nadine Miller Of Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct Who is Nadine Miller of Morgan Stanley? Nadine Miller (CRD #2000909) who is currently registered with Morgan Stanley and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Nadine Miller Customer Complaints Nadine Miller has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. All 3 of Nadine Miller’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Nadine Miller A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged that there were securities purchased in his accounts by Nadine Miller without consultation with him. Client alleged Nadine Miller’s unsuitability with respect to closed-end fund investment. The client alleged unsuitable investments by Nadine Miller. Nadine Miller Red Flags & Your Rights As An Investor Of course, Nadine Miller 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 Nadine Miller at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Nadine Miller 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 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 Morgan Stanley Due To Nadine Miller If you have questions about Morgan Stanley and/or Nadine Miller and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Steven Miller of Edward Jones

DID STEVEN KIRT MILLER CAUSE YOU INVESTMENT LOSSES? Steven Miller Of Edward Jones Has 2 Customer Complaints For Alleged Broker Misconduct Who is Steven Miller of Edward Jones? Steven Miller (CRD #3026802) who is currently registered with Edward Jones and located in Big Rapids, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Steven Miller Customer Complaints Steven Miller has been the subject of 2 customer complaints that we know about. One of Steven Miller’s 2 customer complaints was settled in favor of investors.  The other one of Steven Miller’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Steven Miller A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged Steven Miller’s purchase(s) of various investments were not suitable. Client transferred her 401k to Edward Jones and she stated she shared her views on how she wanted her funds protected and assumed Edward Jones was putting together a balanced and diversified portfolio. Client indicated her fund lost over 90% of its value in a quick time period and the funds that were chosen did not meet the goals the client had laid out allegedly to Steven Miller. Steven Miller Red Flags & Your Rights As An Investor Of course, Steven Miller 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 Steven Miller at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Steven Miller has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones also raises questions about the brokerage 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 Edward Jones Due To Steven Miller If you have questions about Edward Jones and/or Steven Miller and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Kerrie Milligan of Raymond James & Associates

DID KERRIE LEIGH MILLIGAN CAUSE YOU INVESTMENT LOSSES? Kerrie Milligan Of Raymond James & Associates Has A Customer Complaint For Alleged Broker Misconduct Who is Kerrie Milligan of Raymond James & Associates? Kerrie Milligan (CRD #4276095) who is currently registered with Raymond James & Associates and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Kerrie Milligan was also the subject of a FINRA investigation which was settled without admitting or denying the findings that she effected trades in the customer’s account on instructions of the customer’s husband without the customer’s prior written authorization and without receiving prior approval to exercise discretion in the account from her member firm.  FINRA issued a censure and fined her $5, 000 for the alleged rule violation. Kerrie Milligan Customer Complaint Kerrie Milligan has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were client alleged that he did not authorize the trade of Apple (AAPL). Client wanted the sale rescinded and be made whole. Client also wanted to be credited the fees charged on cash and money market funds within his accounts. Kerrie Milligan’s customer complaint was denied and, to date, the customer has not taken any further action. Kerrie Milligan Red Flags & Your Rights As An Investor Of course, Kerrie Milligan 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 Kerrie Milligan at Raymond James & Associates on alert to review carefully the activity and performance of their accounts and question whether Kerrie Milligan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates 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 Raymond James & Associates Due To Kerrie Milligan If you have questions about Raymond James & Associates and/or Kerrie Milligan and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Jean Paryl of Charles Schwab & Co.

DID JEAN ELIZABETH PARYL CAUSE YOU INVESTMENT LOSSES? Jean Paryl Of Charles Schwab & Co. Has A Customer Complaint For Alleged Broker Misconduct Who is Jean Paryl of Charles Schwab & Co.? Jean Paryl (CRD #3019499) who is currently registered with Charles Schwab & Co.and located in Southlake, Texas is a subject of one of our many securities industry sales practice abuse investigations. Jean Paryl Customer Complaint Jean Paryl 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 customer alleged representative did not follow instructions to sell holdings in his portfolio on February 28, 2020, creating a loss. Jean Paryl’s customer complaint was denied and, to date, the customer has not taken any further action. Jean Paryl Red Flags & Your Rights As An Investor Of course, Jean Paryl 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 Jean Paryl at Charles Schwab & Co. on alert to review carefully the activity and performance of their accounts and question whether Jean Paryl has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & Co. 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 Charles Schwab & Co. Due To Jean Paryl If you have questions about Charles Schwab & Co. and/or Jean Paryl 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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