Mar 8, 2022

David Paton of The Oak Ridge Financial Services Group

DID DAVID KALLMAN PATON CAUSE YOU INVESTMENT LOSSES? David Paton Of The Oak Ridge Financial Services Group And Formerly With RBC Capital Markets Has 3 Customer Complaints For Alleged Broker Misconduct Who is David Paton of The Oak Ridge Financial Services Group? David Paton (CRD #1746167) who is currently registered with The Oak Ridge Financial Services Group and located in Woodbury, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Prior to The Oak Ridge Financial Services Group, David Paton was associated with RBC Capital Markets and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Paton Customer Complaints David Paton 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. Two of David Paton’s 3 customer complaints were settled in favor of investors. One of David Paton’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against David Paton A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client claimed that an equity she purchased from David Paton was high risk and too large in size for her account. Clients alleged that David Paton’s investment holdings of CGIX and SSYS, initially purchased, were not suitable based on their risk tolerance. David Paton Red Flags & Your Rights As An Investor Of course, David Paton 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 David Paton at The Oak Ridge Financial Services Group and RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether David Paton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The Oak Ridge Financial Services Group and RBC Capital Markets 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 The Oak Ridge Financial Services Group Due To David Paton If you have questions about The Oak Ridge Financial Services Group, RBC Capital Markets, and/or David Paton 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

Scott Patterson of Raymond James & Associates

DID SCOTT KRISTOFER PATTERSON CAUSE YOU INVESTMENT LOSSES? Scott Patterson Of Raymond James & Associates Has A Customer Complaint For Alleged Broker Misconduct Who is Scott Patterson of Raymond James & Associates? Scott Patterson (CRD #4289857) who is currently registered with Raymond James & Associates and located in Timonium, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Scott Patterson Customer Complaint Scott Patterson 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 client alleged forgery. Scott Patterson’s customer complaint was denied and, to date, the customer has not taken any further action. Scott Patterson Red Flags & Your Rights As An Investor Of course, Scott Patterson 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 Scott Patterson at Raymond James & Associates on alert to review carefully the activity and performance of their accounts and question whether Scott Patterson 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 Scott Patterson If you have questions about Raymond James & Associates and/or Scott Patterson 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

David Pawloski of Cantella & Co.

DID DAVID THOMAS PAWLOSKI CAUSE YOU INVESTMENT LOSSES? David Pawloski Of Cantella & Co. And Formerly With Oppenheimer & Co. Has 6 Customer Complaints For Alleged Broker Misconduct Who is David Pawloski of Cantella & Co.? David Pawloski (CRD #1438717) who is currently registered with Cantella & Co.and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cantella & Co., David Pawloski was associated with Oppenheimer & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Pawloski Customer Complaints David Pawloski has been the subject of 6 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of David Pawloski’s 6 customer complaints resulted in an arbitration award in favor of the investors. Three of David Pawloski’s customer complaints were settled in favor of investors. Two of David Pawloski’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against David Pawloski 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 David Pawloski did not follow his instructions to sell a security. Client alleged that unauthorized and unsuitable investments were made in the account by David Pawloski. Client complained about the performance of securities in the account allegedly made by David Pawloski. Customer alleged that David Pawloski recommended unsuitable securities and charged excessive fees and commissions. David Pawloski Red Flags & Your Rights As An Investor Of course, David Pawloski 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 David Pawloski at Cantella & Co. and Oppenheimer & Co. on alert to review carefully the activity and performance of their accounts and question whether David Pawloski has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cantella & Co. and Oppenheimer & Co. 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 Cantella & Co. Due To David Pawloski If you have questions about Cantella & Co., Oppenheimer & Co., and/or David Pawloski 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

Gregory Pease Formerly With International Assets Advisory

DID GREGORY THORMANN PEASE CAUSE YOU INVESTMENT LOSSES? Gregory Pease Formerly With International Assets Advisory And Wells Fargo Clearing Services Has 10 Customer Complaints For Alleged Broker Misconduct Who is Gregory Pease formerly with International Assets Advisory? Gregory Pease (CRD #2416561) who was formerly registered with International Assets Advisory and located in Hoboken, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to International Assets Advisory, Gregory Pease was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gregory Pease Customer Complaints Gregory Pease has been the subject of 10 customer complaints that we know about. Six of Gregory Pease’s 10 customer complaints were settled in favor of investors. One of Gregory Pease’s customers’ complaints was denied and, to date, the customer has not taken any further action. There are currently three pending customer complaints filed against Hayden Royal, International Asset Advisory, Noblebridge Wealth Management, Wells Fargo Clearing Services, and Morgan Stanley Smith Barney, for investment losses caused by Gregory Pease’s alleged misconduct. Allegations Against Gregory Pease A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Authorized third-party alleged Gregory Pease’s amount of trades performed in the disputed managed accounts and the fees associated with them were not consistent with the client’s objectives. Claimant alleged that Gregory Pease churned his account and recommended unsuitable money managers. Claimant claimed breach of fiduciary relationship, negligence, and lack of supervision allegedly by Gregory Pease. Client alleged that Gregory Pease failed to follow investment directives. Client initiated based on advice two annuity redemptions in which no taxes were withheld. Creating unexpected tax liability and increase Medicare premium costs. Client claimed lack of clarity and understanding of the advisory fees being charged on her accounts as result of annuity and account consolidation strategy. Client experienced investment loss in recent Q4 2018 market correction, in which losses occurred. Client stated unsuitable ETF and investment strategy with her tolerance and investor profile allegedly committed by Gregory Pease. Clients made allegations of unsuitability and unauthorized trading by Gregory Pease. Plaintiffs alleged that Gregory Pease did not properly explain the premium payments of an insurance product. The claimants alleged Gregory Pease made unsuitable recommendations. The claimants also alleged Mr. Pease made misrepresentations regarding the risks associated with their accounts. The customer alleged unauthorized transactions and misrepresentation by Gregory Pease. Gregory Pease Red Flags & Your Rights As An Investor Of course, Gregory Pease 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 Gregory Pease at International Assets Advisory and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Gregory Pease has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at International Assets Advisory and 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 International Assets Advisory Due To Gregory Pease If you have questions about International Assets Advisory, Wells Fargo Clearing Services, and/or Gregory Pease 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 Pecoraro of Spartan Capital Securities

DID JAMES ROBERT PECORARO CAUSE YOU INVESTMENT LOSSES? James Pecoraro Of Spartan Capital Securities And Formerly With SW Financial, Primary Capital And Rockwell Global Capital Has 10 Customer Complaints For Alleged Broker Misconduct Who is James Pecoraro of Spartan Capital Securities? James Pecoraro (CRD #2440231) who is currently registered with Spartan Capital Securities and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Spartan Capital Securities, James Pecoraro was associated with SW Financial, Primary Capital, Rockwell Global Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Pecoraro has had his own share regulatory problems.  There are 5 regulatory events reported on his BrokerCheck report.  He was investigated by FINRA, and the states of Illinois, Colorado, and New Jersey.  Colorado suspended him for 3 years.  Illinois and New Jersey denied him a license to sell securities in those states.  FINRA suspended him for 30 days and fined him $10,000 for allegedly engaging in excessive trading activity in customer’s accounts. James Pecoraro Customer Complaints James Pecoraro has been the subject of 10 customer complaints that we know about. One of James Pecoraro’s 10 customer complaints resulted in an arbitration award in favor of the investor. Five of James Pecoraro’s 10 customer complaints were settled in favor of investors. Four of James Pecoraro’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against James Pecoraro A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Breach of fiduciary duty, Negligence, Reckless and/or Willful Misconduct, Gross Negligence, Breach of Contract allegedly by James Pecoraro. Claimant alleged James Pecoraro’s mishandling of his account. Client alleged James Pecoraro’s sale of security without permission, unsuitability of recommendations, and dissatisfaction with performance of recommendations. Customer alleged that James Pecoraro engaged in negligence, unsuitable investments, fraud, breach of fiduciary duty, unauthorized transactions and misrepresentation. James Pecoraro’s alleged poor performance. James Pecoraro’s alleged type change margin to cash. Unauthorized trades, commission and margin allegedly by James Pecoraro. James Pecoraro’s alleged unauthorized trading. Unauthorized trading, unsuitable securities, churning, fraud, and breach of fiduciary duty allegedly by James Pecoraro. Unauthorized trading allegedly by James Pecoraro. James Pecoraro Red Flags & Your Rights As An Investor Of course, James Pecoraro 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 Pecoraro at Spartan Capital Securities, SW Financial, Primary Capital, and Rockwell Global Capital on alert to review carefully the activity and performance of their accounts and question whether James Pecoraro has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities, SW Financial, Primary Capital, and Rockwell Global Capital 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 James Pecoraro If you have questions about Spartan Capital Securities, SW Financial, Primary Capital, Rockwell Global Capital, and/or James Pecoraro 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

Richard Perkins Formerly With Morgan Stanley

DID RICHARD ALDEN PERKINS CAUSE YOU INVESTMENT LOSSES? Richard Perkins Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Richard Perkins formerly with Morgan Stanley? Richard Perkins (CRD #3155348) who was formerly registered with Morgan Stanley and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Richard Perkins Customer Complaints Richard Perkins has been the subject of 2 customer complaints that we know about. Both of Richard Perkins’ 2 customer complaints were settled in favor of investors for $850,000 and $245,000. Allegations Against Richard Perkins 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 Richard Perkins’ unsuitability, inter alia, with respect to investments in closed-end funds and structured products. Claimant alleged, inter alia, Richard Perkins’ selling away with respect to investments. Richard Perkins Red Flags & Your Rights As An Investor Of course, Richard Perkins did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Richard Perkins at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Richard Perkins 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 Richard Perkins If you have questions about Morgan Stanley and/or Richard Perkins and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Richard Petersen of Allstate Financial Services

DID RICHARD CHARLES PETERSEN CAUSE YOU INVESTMENT LOSSES? Richard Petersen Of Allstate Financial Services And Formerly With NYLIFE Securities Has 3 Customer Complaints For Alleged Broker Misconduct Who is Richard Petersen of Allstate Financial Services? Richard Petersen (CRD #3062994) who is currently registered with Allstate Financial Services and located in Deer Park, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Allstate Financial Services, Richard Petersen was associated with NYLIFE Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Petersen Customer Complaints Richard Petersen has been the subject of 3 customer complaints that we know about. Two of Richard Petersen’s 3 customer complaints were settled in favor of investors. One of Richard Petersen’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Richard Petersen A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged that Richard Petersen’s recommendation to use withdrawals from his variable annuity to fund purchases of fixed annuities and long term care policies was not in his best interest. The customer alleged that, in connection with her variable annuity issued, Richard Petersen’s recommendation was unsuitable and the annuity’s fees and surrender charges were not disclosed. The customer requested reimbursement of surrender charges as well as the taxes incurred in purchasing the annuity. The customer alleged that Richard Petersen’s recommendation to use withdrawals from his variable annuity to fund purchases of fixed annuities and long term care policies were unsuitable. Richard Petersen Red Flags & Your Rights As An Investor Of course, Richard Petersen 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 Richard Petersen at Allstate Financial Services and NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Richard Petersen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Allstate Financial Services and NYLIFE 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 Allstate Financial Services Due To Richard Petersen If you have questions about Allstate Financial Services, NYLIFE Securities, and/or Richard Petersen 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

Randy Peyman of LPL Financial

DID RANDY LEE PEYMAN CAUSE YOU INVESTMENT LOSSES? Randy Peyman Of LPL Financial And Formerly With SII Investments Has 3 Customer Complaints For Alleged Broker Misconduct Who is Randy Peyman of LPL Financial? Randy Peyman (CRD #2204437) who is currently registered with LPL Financial and located in Fairmont, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Randy Peyman was associated with SII Investments and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Randy Peyman Customer Complaints Randy Peyman has been the subject of 3 customer complaints that we know about. All 3 of Randy Peyman’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Randy Peyman 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 Randy Peyman promised him he would not lose money and he would earn 5% interest yearly on his accounts. Client alleged she incurred a tax liability when excess distributions were processed from her IRA. Client also alleged Randy Peyman failed to follow instructions to increase non-taxable income that would also impact tax liability. Customer alleged Randy Peyman’s misrepresentation of a variable annuity. Randy Peyman Red Flags & Your Rights As An Investor Of course, Randy Peyman 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 Randy Peyman at LPL Financial and SII Investments on alert to review carefully the activity and performance of their accounts and question whether Randy Peyman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and SII 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 LPL Financial Due To Randy Peyman If you have questions about LPL Financial, SII Investments, and/or Randy Peyman 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

Matthew Pfeiffer of IFP Securities

DID MATTHEW JOSEPH PFEIFFER CAUSE YOU INVESTMENT LOSSES? Matthew Pfeiffer Of IFP Securities And Formerly With Key Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is Matthew Pfeiffer of IFP Securities? Matthew Pfeiffer (CRD #3106722) who is currently registered with IFP Securities and located in Camillus, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to IFP Securities, Matthew Pfeiffer was associated with Key Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Matthew Pfeiffer Customer Complaint Matthew Pfeiffer 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 client hand delivered letter to KeyBank branch alleging misrepresentation in March 2020 purchase of Polaris Platinum III annuity.  Matthew Pfeiffer’s customer complaint was denied and, to date, the customer has not taken any further action. Matthew Pfeiffer Red Flags & Your Rights As An Investor Of course, Matthew Pfeiffer 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 Matthew Pfeiffer at IFP Securities and Key Investment Services on alert to review carefully the activity and performance of their accounts and question whether Matthew Pfeiffer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at IFP Securities and Key Investment Services 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 IFP Securities Due To Matthew Pfeiffer If you have questions about IFP Securities, Key Investment Services, and/or Matthew Pfeiffer 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

Kevin Phillips Formerly With Securities America

DID KEVIN SCOTT PHILLIPS CAUSE YOU INVESTMENT LOSSES? Kevin Phillips Formerly With Securities America And J.W. Cole Financial Has 4 Customer Complaints For Alleged Broker Misconduct Who is Kevin Phillips formerly with Securities America? Kevin Phillips (CRD #1591468) who was formerly registered with Securities America and located in Phoenix, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securities America, Kevin Phillips was associated with J.W. Cole Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kevin Phillips Customer Complaints Kevin Phillips has been the subject of 4 customer complaints that we know about. Two of Kevin Phillips’ 4 customer complaints were settled in favor of investors. Two of Kevin Phillips’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Kevin Phillips A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged that Kevin Phillips made unsuitable recommendations to purchase two private placement REITs and an energy sector investment. Client alleged Kevin Phillips misrepresented the mutual funds into which she invested. Client claimed agent never told her about penalty fees or administrative fees. Client wanted a full refund of what she invested. Client alleged that Kevin Phillips failed to adequately advise him of the risk associated with a recommended REIT. Client alleged Kevin Phillips misrepresented the nature of his real estate investment trust purchase. Kevin Phillips Red Flags & Your Rights As An Investor Of course, Kevin Phillips 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 Kevin Phillips at Securities America and J.W. Cole Financial on alert to review carefully the activity and performance of their accounts and question whether Kevin Phillips has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America and J.W. Cole Financial 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 Securities America Due To Kevin Phillips If you have questions about Securities America, J.W. Cole Financial, and/or Kevin Phillips 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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