Mar 8, 2022

Raymond Scannell of Woodbury Financial Services

DID RAYMOND PAUL SCANNELL CAUSE YOU INVESTMENT LOSSES? Raymond Scannell Of Woodbury Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Raymond Scannell of Woodbury Financial Services? Raymond Scannell (CRD #1870166) who is currently registered with Woodbury Financial Services and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Raymond Scannell Customer Complaint Raymond Scannell 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 that a recommended variable annuity liquidation was unsuitable. Raymond Scannell’s customer complaint was denied and, to date, the customer has not taken any further action. Raymond Scannell Red Flags & Your Rights As An Investor Of course, Raymond Scannell 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 Raymond Scannell at Woodbury Financial Services on alert to review carefully the activity and performance of their accounts and question whether Raymond Scannell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Woodbury Financial 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 Woodbury Financial Services Due To Raymond Scannell If you have questions about Woodbury Financial Services and/or Raymond Scannell 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

Sandra Scanni of MML Investors Services

DID SANDRA SCANNI CAUSE YOU INVESTMENT LOSSES? Sandra Scanni Of MML Investors Services And Formerly With NYLIFE Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Sandra Scanni of MML Investors Services? Sandra Scanni (CRD #2179046) who is currently registered with MML Investors Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Sandra Scanni was associated with NYLIFE Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sandra Scanni Customer Complaints Sandra Scanni has been the subject of 2 customer complaints that we know about. One of Sandra Scanni’s 2 customer complaints was settled in favor of the investors.  One of Sandra Scanni’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Sandra Scanni A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The customer alleged that the establishment of three variable annuities was unsuitable and unauthorized. The customer also alleged she did not authorize Sandra Scanni to electronically sign her initials. The policy owner alleged that he was never told of the illiquidity and fees associated with the variable annuity purchased by Sandra Scanni.  Sandra Scanni Red Flags & Your Rights As An Investor Of course, Sandra Scanni 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 Sandra Scanni at MML Investors Services and NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Sandra Scanni has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services 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 MML Investors Services Due To Sandra Scanni If you have questions about MML Investors Services, NYLIFE Securities, and/or Sandra Scanni 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

Robert Scarborough of Morgan Stanley

DID ROBERT C. SCARBOROUGH CAUSE YOU INVESTMENT LOSSES? Robert Scarborough Of Morgan Stanley And Formerly With Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Robert Scarborough of Morgan Stanley? Robert Scarborough (CRD #4300571) who is currently registered with Morgan Stanley and located in West Palm Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Robert Scarborough was associated with Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Scarborough Customer Complaint Robert Scarborough 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 that the purchase of a structured product in her account was unsuitable. Robert Scarborough’s customer complaint was denied and, to date, the customer has not taken any further action. Robert Scarborough Red Flags & Your Rights As An Investor Of course, Robert Scarborough 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 Robert Scarborough at Morgan Stanley and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Robert Scarborough has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and Merrill Lynch Pierce Fenner & Smith 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 Robert Scarborough If you have questions about Morgan Stanley, Merrill Lynch Pierce Fenner & Smith, and/or Robert Scarborough 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

Kenneth Schmidle of Key Investment Services

DID KENNETH FRANCIS SCHMIDLE CAUSE YOU INVESTMENT LOSSES? Kenneth Schmidle Of Key Investment Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Kenneth Schmidle of Key Investment Services? Kenneth Schmidle (CRD #2367487) who is currently registered with Key Investment Services and located in Cleveland, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Kenneth Schmidle Customer Complaints Kenneth Schmidle has been the subject of 2 customer complaints that we know about. One of Kenneth Schmidle’s 2 customer complaints was settled in favor of investors. One of Kenneth Schmidle’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Kenneth Schmidle 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 the AIG Variable Annuity purchase of $100,012.42 was misrepresented by Kenneth Schmidle. Client alleged the recommendation to purchase $175,000 of Mutual Fund, FABLX was misrepresented by Kenneth Schmidle. Kenneth Schmidle Red Flags & Your Rights As An Investor Of course, Kenneth Schmidle 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 Kenneth Schmidle at Key Investment Services on alert to review carefully the activity and performance of their accounts and question whether Kenneth Schmidle has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Key Investment 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 Key Investment Services Due To Kenneth Schmidle If you have questions about Key Investment Services and/or Kenneth Schmidle 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

Robert Schultz of Wells Fargo Clearing Services

DID ROBERT NATHAN SCHULTZ CAUSE YOU INVESTMENT LOSSES? Robert Schultz Of Wells Fargo Clearing Services And Formerly With UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Robert Schultz of Wells Fargo Clearing Services? Robert Schultz (CRD #1769129) who is currently registered with Wells Fargo Clearing Services and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Robert Schultz was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Schultz Customer Complaints Robert Schultz 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. One of Robert Schultz’s 2 customer complaints was settled in favor of investors. One of Robert Schultz’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Robert Schultz A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Attorney for client complained that client did not have the need to invest in aggressive growth vehicles, which resulted in losses, as advised allegedly by Robert Schultz in an effort to generate commissions. Claimants alleged Robert Schultz’s unsuitable and excessive trading, commissions and fees in the accounts. Robert Schultz Red Flags & Your Rights As An Investor Of course, Robert Schultz 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 Robert Schultz at Wells Fargo Clearing Services and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Robert Schultz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services and UBS 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 Wells Fargo Clearing Services Due To Robert Schultz If you have questions about Wells Fargo Clearing Services, UBS Financial Services, and/or Robert Schultz 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

Eric Schulze of RBC Capital Markets

DID ERIC PAUL SCHULZE CAUSE YOU INVESTMENT LOSSES? Eric Schulze Of RBC Capital Markets Has 4 Customer Complaints For Alleged Broker Misconduct Who is Eric Schulze of RBC Capital Markets? Eric Schulze (CRD #2648340) who is currently registered with RBC Capital Markets and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Eric Schulze Customer Complaints Eric Schulze has been the subject of 4 customer complaints that we know about. Three of Eric Schulze’s 4 customer complaints were settled in favor of investors. One of Eric Schulze’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Eric Schulze 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 Eric Schulze executed trades without her authorization, and her portfolio under performed against benchmarks. Client alleged an investment recommended/sold to them by Eric Schulze was unsuitable and outside their risk tolerance. Client alleged losses to their investment portfolio due to negligence, breach of fiduciary duty, negligent supervision, breach of contract and fraud allegedly by Eric Schulze. Clients alleged Eric Schulze’s misrepresentation and unsuitable investment recommendations resulting in damages. Eric Schulze Red Flags & Your Rights As An Investor Of course, Eric Schulze 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 Eric Schulze at RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Eric Schulze has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 RBC Capital Markets Due To Eric Schulze If you have questions about RBC Capital Markets and/or Eric Schulze 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

Daniel Smith of Morgan Stanley

DID DANIEL RICHARD SMITH CAUSE YOU INVESTMENT LOSSES? Daniel Smith Of Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct Who is Daniel Smith of Morgan Stanley? Daniel Smith (CRD #3053940) who is currently registered with Morgan Stanley and located in Sarasota, Florida is a subject of one of our many securities industry sales practice abuse investigations. Daniel Smith Customer Complaints Daniel Smith 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. One of Daniel Smith’s 3 customer complaints was settled in favor of investors. One of Daniel Smith’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Morgan Stanley for investment losses caused by Daniel Smith’s alleged misconduct. Allegations Against Daniel Smith 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, inter alia, Daniel Smith’s unsuitable investment recommendations with respect to alternate investments. Client alleged that “high risk funds were something that I could not, and would not accept.” She went on to allege that her “entire account has been invested in very high risk, speculative funds” by Daniel Smith. Claimant alleged that Daniel Smith assured him that his investment in Lehman Brothers Structured Notes would be safe and secure, and further alleged that the Lehman Brothers Structured Notes he purchased were misrepresented and unsuitable, and that the risk of loss of principal was not properly disclosed to him. Daniel Smith Red Flags & Your Rights As An Investor Of course, Daniel Smith 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 Daniel Smith at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Daniel Smith 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 Daniel Smith If you have questions about Morgan Stanley and/or Daniel Smith 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

Chester Sobuta of MML Investors Services

DID CHESTER ANTHONY SOBUTA CAUSE YOU INVESTMENT LOSSES? Chester Sobuta Of MML Investors Services And Formerly With MSI Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Chester Sobuta of MML Investors Services? Chester Sobuta (CRD #2323058) who is currently registered with MML Investors Services and located in Moosic, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Chester Sobuta was associated with MSI Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Chester Sobuta Customer Complaints Chester Sobuta 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. One of Chester Sobuta’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against MSI Financial Services for investment losses caused by Chester Sobuta’s alleged misconduct. Allegations Against Chester Sobuta 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 Chester Sobuta misrepresented the value of death benefit on a variable annuity. The complainant alleged that Chester Sobuta misrepresented the sale of mutual funds. The complainant stated the representative assured the complainant that his account would only appreciate, but the investment failed to perform, as the representative had promised, and only resulted in a loss. Chester Sobuta Red Flags & Your Rights As An Investor Of course, Chester Sobuta 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 Chester Sobuta at MML Investors Services and MSI Financial Services on alert to review carefully the activity and performance of their accounts and question whether Chester Sobuta has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services and MSI 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 MML Investors Services Due To Chester Sobuta If you have questions about MML Investors Services, MSI Financial Services, and/or Chester Sobuta 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

Steve Soma of Edward Jones

DID STEVE LEVERN SOMA CAUSE YOU INVESTMENT LOSSES? Steve Soma Of Edward Jones Has 3 Customer Complaints For Alleged Broker Misconduct Who is Steve Soma of Edward Jones? Steve Soma (CRD #1754268) who is currently registered with Edward Jones and located in Madison, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Steve Soma Customer Complaints Steve Soma has been the subject of 3 customer complaints that we know about. Two of Steve Soma’s 3 customer complaints were settled in favor of investors. One of Steve Soma’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Steve Soma 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 stated when she visited with the Steve Soma informing him she may need to pull some income from her investments due to medical issues.  Client stated she was sent information on advisory solutions. She stated she was informed by Steve Soma that she could earn $1, 100 in income, the client approved. However, the client did not realize the risks involved in advisory solutions. She indicated when she visited with the Steve Soma she was not well.  Client stated she lost over $9, 000 due to the change in investments. The client would like to be reimbursed the amount she lost due to the investment in advisory solutions. Client alleged that transactions in his Advisory Solutions account made by Steve Soma was not suitable. Client claimed Steve Soma allegedly took two requests from her husband to remove funds from her daughters’ custodial account. Client stated she was the owner of the custodial account. Client stated the first transaction at which time her husband requested $15,000.00 from the account. Client stated the second transaction, at which time $1,594.91 was removed, leaving a zero balance. The client claimed she spoke with the Steve Soma who stated he took the requests from her husband on good faith, not knowing they were in the middle of a divorce. Client wanted the funds restored to her daughters’ account and wanted any future requests to either of her daughters’ custodial accounts handled by signed written request from her. Steve Soma Red Flags & Your Rights As An Investor Of course, Steve Soma 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 Steve Soma at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Steve Soma 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 Steve Soma If you have questions about Edward Jones and/or Steve Soma 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

John Sommo Formerly With UBS Financial Services

DID JOHN ANTHONY SOMMO CAUSE YOU INVESTMENT LOSSES? John Sommo Formerly With UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is John Sommo formerly with UBS Financial Services? John Sommo (CRD #3141638) who was formerly registered with UBS Financial Services and located in New Haven, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. John Sommo Customer Complaints John Sommo 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 John Sommo’s 3 customer complaints were settled in favor of investors. One of John Sommo’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against John Sommo A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client stated he was not informed by John Sommo that he could lose principal or that he would have penalties for early withdrawals prior to purchasing a variable annuity. This complaint arose out of the sale of an auction rate security (ARS) that was made prior to the widespread illiquidity in the ARS market by John Sommo. The client alleged she was placed in unsuitable securities and was over-concentrated in the Master a Limited Partnership (MLP) energy sector by John Sommo. John Sommo Red Flags & Your Rights As An Investor Of course, John Sommo did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of John Sommo at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether John Sommo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS 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 UBS Financial Services Due To John Sommo If you have questions about UBS Financial Services and/or John Sommo 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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