Mar 8, 2022

Barry Mitchell of UBS Financial Services

DID BARRY PETER MITCHELL JR CAUSE YOU INVESTMENT LOSSES? Barry Mitchell Of UBS Financial Services Has 5 Customer Complaints For Alleged Broker Misconduct Who is Barry Mitchell of UBS Financial Services? Barry Mitchell (CRD #1807506) who is currently registered with UBS Financial Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Barry Mitchell Customer Complaints Barry Mitchell has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Barry Mitchell’s 5 customer complaints were settled in favor of investors. Two of Barry Mitchell’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by Barry Mitchell’s alleged misconduct. Allegations Against Barry Mitchell 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 Barry Mitchell’s misrepresentation concerning the liquidity of auction market securities. New York client claimed advisors, allegedly Barry Mitchell, mishandled her account. The customer alleged that Barry Mitchell failed to follow his instructions. Claimant’s counsel alleged Barry Mitchell executed transactions that resulted in a substantial tax bill without adequately discussing the tax consequences with Claimant. Barry Mitchell Red Flags & Your Rights As An Investor Of course, Barry Mitchell 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 Barry Mitchell at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Barry Mitchell 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 Barry Mitchell If you have questions about UBS Financial Services and/or Barry Mitchell 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 Mitchell of Stifel, Nicolaus & Company

DID ROBERT LYNN MITCHELL CAUSE YOU INVESTMENT LOSSES? Robert Mitchell Of Stifel, Nicolaus & Company And Formerly With Morgan Stanley Has 4 Customer Complaints For Alleged Broker Misconduct Who is Robert Mitchell of Stifel, Nicolaus & Company? Robert Mitchell (CRD #1523211) who is currently registered with Stifel, Nicolaus & Company and located in Frisco, Texas is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Stifel, Nicolaus & Company, Robert Mitchell was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Mitchell Customer Complaints Robert Mitchell has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Robert Mitchell’s 4 customer complaints was settled in favor of investors. Three of Robert Mitchell’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Robert Mitchell 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, Robert Mitchell solicited outside investment opportunities not authorized by firm. Claimant alleged, inter alia, that Robert Mitchell’s recommendation to liquidate municipal bonds in account and purchase a variable annuity was unsuitable. Client alleged losses in connection with the purchases of four bonds allegedly made by Robert Mitchell and that they were unsuitable. Clients alleged Robert Mitchell’s failure to follow instructions with respect to investment guidelines. Robert Mitchell Red Flags & Your Rights As An Investor Of course, Robert Mitchell 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 Mitchell at Stifel, Nicolaus & Company and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Robert Mitchell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company and 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 Stifel, Nicolaus & Company Due To Robert Mitchell If you have questions about Stifel, Nicolaus & Company, Morgan Stanley, and/or Robert Mitchell 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

Christopher Mizzi of Merrill Lynch Pierce Fenner & Smith

DID CHRISTOPHER MICHAEL MIZZI CAUSE YOU INVESTMENT LOSSES? Christopher Mizzi Of Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Christopher Mizzi of Merrill Lynch Pierce Fenner & Smith? Christopher Mizzi (CRD #2335020) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Dearborn, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Christopher Mizzi Customer Complaints Christopher Mizzi 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 Christopher Mizzi’s 2 customer complaints was settled in favor of investors. One of Christopher Mizzi’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Christopher Mizzi 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 Christopher Mizzi made unsuitable investment recommendations. The customer alleged Christopher Mizzi’s failure to follow instructions. Christopher Mizzi Red Flags & Your Rights As An Investor Of course, Christopher Mizzi 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 Christopher Mizzi at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Christopher Mizzi 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 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 Merrill Lynch Pierce Fenner & Smith Due To Christopher Mizzi If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Christopher Mizzi 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

Heather Molin of UBS Financial Services

DID HEATHER CARTER MOLIN CAUSE YOU INVESTMENT LOSSES? Heather Molin Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Heather Molin of UBS Financial Services? Heather Molin (CRD #2869425) who is currently registered with UBS Financial Services and located in Short Hills, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Heather Molin Customer Complaint Heather Molin 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 claimant’s counsel alleged unsuitability and misrepresentation regarding an options overlay strategy investment. The customer complaint filed against Heather Molin’s current employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Heather Molin Red Flags & Your Rights As An Investor Of course, Heather Molin 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 Heather Molin at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Heather Molin 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 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 Due To Heather Molin If you have questions about UBS Financial Services and/or Heather Molin 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

Roberto Montano Formerly With Waddell & Reed

DID ROBERTO MONTANO CAUSE YOU INVESTMENT LOSSES? Roberto Montano Formerly With Waddell & Reed And U.S. Bancorp Investments Has 2 Customer Complaints For Alleged Broker Misconduct Who is Roberto Montano formerly with Waddell & Reed? Roberto Montano (CRD #3003372) who was formerly registered with Waddell & Reed and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Waddell & Reed, Roberto Montano was associated with U.S. Bancorp Investments and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Roberto Montano has had his own share regulatory problems.  He has been the subject of 4 reported FINRA regulatory events, 2 of which appear to be related.  He has failed to pay to arbitration awards and failed to pay a fine in connection with a prior disciplinary action.  Initially, he was suspended and later his license was revoked. Roberto Montano Customer Complaints Roberto Montano has been the subject of 2 customer complaints that we know about. One of Roberto Montano’s 2 customer complaints was settled in favor of investors. One of Roberto Montano’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Roberto Montano 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 Roberto Montano misrepresented the features of his variable annuity and it was not suitable. Customer alleged unsuitability and misrepresentation against Roberto Montano in connection with equity transactions. Roberto Montano Red Flags & Your Rights As An Investor Of course, Roberto Montano 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 Roberto Montano at Waddell & Reed and U.S. Bancorp Investments on alert to review carefully the activity and performance of their accounts and question whether Roberto Montano has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Waddell & Reed and U.S. Bancorp 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 Waddell & Reed Due To Roberto Montano If you have questions about Waddell & Reed, U.S. Bancorp Investments, and/or Roberto Montano 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 Morgan of National Securities

DID DAVID GRANT CONRAD MORGAN CAUSE YOU INVESTMENT LOSSES? David Morgan Of National Securities And Formerly With National Asset Management Has 3 Customer Complaints For Alleged Broker Misconduct Who is David Morgan of National Securities? David Morgan (CRD #2035526) who is currently registered with National Securities and located in South Norwalk, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to National Securities, David Morgan was associated with National Asset Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Morgan Customer Complaints David Morgan 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 Morgan’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against National Securities for investment losses caused by David Morgan’s alleged misconduct. Allegations Against David Morgan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: David Morgan’s alleged unsuitable investment recommendations. Unsuitable recommendations allegedly made by David Morgan. David Morgan Red Flags & Your Rights As An Investor Of course, David Morgan 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 Morgan at National Securities and National Asset Management on alert to review carefully the activity and performance of their accounts and question whether David Morgan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Securities and National Asset Management 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 National Securities Due To David Morgan If you have questions about National Securities, National Asset Management, and/or David Morgan 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

Anthony Morris of International Assets Advisory

DID ANTHONY RYAN MORRIS CAUSE YOU INVESTMENT LOSSES? Anthony Morris Of International Assets Advisory And Formerly With Lincoln Investment And Investors Capital Has 4 Customer Complaints For Alleged Broker Misconduct Who is Anthony Morris of International Assets Advisory? Anthony Morris (CRD #2849581) who is currently registered with International Assets Advisory and located in El Paso, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to International Assets Advisory, Anthony Morris was associated with Lincoln Investment, Investors Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Anthony Morris Customer Complaints Anthony Morris has been the subject of 4 customer complaints that we know about. One of Anthony Morris’ 4 customer complaints was settled in favor of investors. Three of Anthony Morris’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Anthony Morris A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Clients alleged that they received inadequate disclosures and that their investment had been misrepresented allegedly by Anthony Morris. In an attempt to obtain a surrender-free withdrawal outside of the free-look period, client claimed to have not received a prospectus or contract allegedly from Anthony Morris. Anthony Morris’ alleged Investment losses, failure to process transfer. The client purchased an annuity allegedly recommended by Anthony Morris. The client alleged he purchased the annuity to provide income for his spouse after his death. The client contacted the annuity carrier and was advised the income rider ends upon his death. Anthony Morris Red Flags & Your Rights As An Investor Of course, Anthony Morris 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 Anthony Morris at International Assets Advisory, Lincoln Investment, and Investors Capital on alert to review carefully the activity and performance of their accounts and question whether Anthony Morris has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at International Assets Advisory, Lincoln Investment, and Investors Capital and 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 Anthony Morris If you have questions about International Assets Advisory, Lincoln Investment, Investors Capital, and/or Anthony Morris 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 Moran of Merrill Lynch Pierce Fenner & Smith

DID DANIEL JOHN MORAN CAUSE YOU INVESTMENT LOSSES? Daniel Moran Of Merrill Lynch Pierce Fenner & Smith Has 5 Customer Complaints For Alleged Broker Misconduct Who is Daniel Moran of Merrill Lynch Pierce Fenner & Smith? Daniel Moran (CRD #1864762) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Bloomington, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Daniel Moran Customer Complaints Daniel Moran has been the subject of 5 customer complaints that we know about. Two of Daniel Moran’s 5 customer complaints were settled in favor of investors. Three of Daniel Moran’s customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against Daniel Moran 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 Daniel Moran’s unauthorized and unsuitable trading. It is alleged that an inappropriate investment was recommended by Daniel Moran. The clients alleged that the degree of separation between their concerns and the actual investments is much too great, allegedly committed by Daniel Moran. The customer alleged Daniel Moran’s failure to follow instructions. The customer alleged unsuitable investment recommendations by Daniel Moran. Daniel Moran Red Flags & Your Rights As An Investor Of course, Daniel Moran 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 Moran at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Daniel Moran 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 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 Merrill Lynch Pierce Fenner & Smith Due To Daniel Moran If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Daniel Moran 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 Murray formerly with Corinthian Partners

DID RICHARD NORMAN MURRAY CAUSE YOU INVESTMENT LOSSES? Richard Murray Formerly With Corinthian Partners, J.P. Turner & Company And National Securities Has A Customer Complaint For Alleged Broker Misconduct Who Richard Murray formerly with Corinthian Partners? Richard Murray (CRD #2398820) who was formerly registered with Corinthian Partners and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Corinthian Partners, Richard Murray was associated with J.P. Turner & Company, National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Murray Customer Complaint Richard Murray 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 suitability, breach of fiduciary duty, negligence, breach of contract. The customer complaint filed against Richard Murray’s former employer National Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Richard Murray Red Flags & Your Rights As An Investor Of course, Richard Murray 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 Murray at Corinthian Partners, J.P. Turner & Company, and National Securities on alert to review carefully the activity and performance of their accounts and question whether Richard Murray has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Corinthian Partners, J.P. Turner & Company, and National 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 Corinthian Partners Due To Richard Murray If you have questions about Corinthian Partners, J.P. Turner & Company, National Securities, and/or Richard Murray 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

Thomas Munker of Client One Securities

DID THOMAS ERWIN MUNKER CAUSE YOU INVESTMENT LOSSES? Thomas Munker Of Client One Securities And Formerly With LPL Financial Has 2 Customer Complaints For Alleged Broker Misconduct Who is Thomas Munker of Client One Securities? Thomas Munker (CRD #2861111) who is currently registered with Client One Securities and located in Topeka, Kansas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Client One Securities, Thomas Munker was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Thomas Munker Customer Complaints Thomas Munker has been the subject of 2 customer complaints that we know about. Both of Thomas Munker’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Thomas Munker 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 lost money committed by Thomas Munker. The advisory service was not satisfactory to client generating a complaint. His alleged losses were much smaller due to client’s inclusion of fees and costs as a loss of investment performance. Customer alleged losses due to frequent trading and “whipsaw effect” by Thomas Munker. Thomas Munker Red Flags & Your Rights As An Investor Of course, Thomas Munker 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 Thomas Munker at Client One Securities and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Thomas Munker has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Client One Securities and LPL 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 Client One Securities Due To Thomas Munker If you have questions about Client One Securities, LPL Financial, and/or Thomas Munker 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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