Mar 8, 2022

Kirk Knollman formerly with Cetera Advisor Networks

DID KIRK WILLIAM KNOLLMAN CAUSE YOU INVESTMENT LOSSES? Kirk Knollman Formerly With Cetera Advisor Networks  And Summit Brokerage Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Kirk Knollman formerly with Cetera Advisor Networks? Kirk Knollman (CRD #2089445) who was formerly registered with Cetera Advisor Networks and located in Loveland, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisor Networks, Kirk Knollman was associated with Summit Brokerage Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kirk Knollman Customer Complaints Kirk Knollman has been the subject of 2 customer complaints that we know about. Both of Kirk Knollman’s customer complaints were settled in favor of investors. Allegations Against Kirk Knollman A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customers alleged that Kirk Knollman made unauthorized and unsuitable trades in their accounts. Former client alleged unsuitable recommendations and unauthorized trading by Kirk Knollman. Kirk Knollman Red Flags & Your Rights As An Investor Of course, Kirk Knollman 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 Kirk Knollman at Cetera Advisor Networks and Summit Brokerage Services on alert to review carefully the activity and performance of their accounts and question whether Kirk Knollman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks and Summit Brokerage 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 Cetera Advisor Networks Due To Kirk Knollman If you have questions about Cetera Advisor Networks, Summit Brokerage Services, and/or Kirk Knollman 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

Ronald Kresel of Ameriprise Financial Services

DID RONALD JOHN KRESEL CAUSE YOU INVESTMENT LOSSES? Ronald Kresel Of Ameriprise Financial Services And Formerly With First Allied Securities, First Allied Advisory Services and Hermening Advisory Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Ronald Kresel of Ameriprise Financial Services? Ronald Kresel (CRD #2202293) who is currently registered with Ameriprise Financial Services and located in Eau Claire, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, Ronald Kresel was associated with First Allied Securities, First Allied Advisory Services, Hermening Advisory Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ronald Kresel Customer Complaints Ronald Kresel has been the subject of 3 customer complaints that we know about. All of Ronald Kresel’s customers’ complaints were settled in favor of investors. Allegations Against Ronald Kresel 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 Ronald Kresel made an unsuitable recommendation causing unintended tax consequences. Clients alleged they were sold a variable life insurance policy that was unsuitable for their needs. Clients further alleged policy premiums and future costs were never completely explained by Ronald Kresel. Clients requested the firm to cancel the policy and refund their full investment. Ronald Kresel Red Flags & Your Rights As An Investor Of course, Ronald Kresel 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 Ronald Kresel at Ameriprise Financial Services, First Allied Securities, First Allied Advisory Services, and Hermening Advisory Services on alert to review carefully the activity and performance of their accounts and question whether Ronald Kresel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, First Allied Securities, First Allied Advisory Services, and Hermening Advisory 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 Ronald Kresel If you have questions about Ameriprise Financial Services, First Allied Securities, First Allied Advisory Services, Hermening Advisory Services, and/or Ronald Kresel 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 Kreuzer of Morgan Stanley

DID THOMAS ANTHONY KREUZER CAUSE YOU INVESTMENT LOSSES? Thomas Kreuzer Of Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct Who is Thomas Kreuzer of Morgan Stanley? Thomas Kreuzer (CRD #1499883) who is currently registered with Morgan Stanley and located in Beverly Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Thomas Kreuzer Customer Complaints Thomas Kreuzer 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 Thomas Kreuzer’s 3 customer complaints was settled in favor of investors. Two of Thomas Kreuzer’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Thomas Kreuzer 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 Thomas Kreuzer’s negligence, unsuitability, fraud and omission of material facts, breach of fiduciary duty, violation of FINRA rules, breach of contract, and violation of California securities laws in connection with an investment in a structured product. Client alleged Thomas Kreuzer’s failure to follow instructions with respect to liquidation of accounts. Client alleged that investment of 57% of portfolio in stocks is inappropriate for elderly client. Client further alleged Thomas Kreuzer failed to follow the client’s instructions to invest in instruments that provided security and income, not unsafe investments. Thomas Kreuzer Red Flags & Your Rights As An Investor Of course, Thomas Kreuzer 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 Kreuzer at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Thomas Kreuzer 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 Thomas Kreuzer If you have questions about Morgan Stanley and/or Thomas Kreuzer 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

Solomon Krispeal Formerly With PHX Financial

DID SOLOMON DAVID KRISPEAL CAUSE YOU INVESTMENT LOSSES? Solomon Krispeal Formerly With PHX Financial And Legend Securities Has 8 Customer Complaints For Alleged Broker Misconduct Who is Solomon Krispeal formerly with PHX Financial? Solomon Krispeal (CRD #2735776) who was formerly registered with PHX Financial and located in Hauppauge, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to PHX Financial, Solomon Krispeal was associated with Legend Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.  Solomon Krispeal has also been the subject of a FINRA investigation for failure to disclose an arbitration filed against him for sales practice violations .  As a result, he was suspended for 30 days and fined $2,500. Solomon Krispeal Customer Complaints Solomon Krispeal has been the subject of 8 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Solomon Krispeal’s 8 customer complaints were settled in favor of investors. Five of Solomon Krispeal’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 PHX Financial for investment losses caused by Solomon Krispeal’s alleged misconduct. Allegations Against Solomon Krispeal 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 an unauthorized trade by Solomon Krispeal. Client alleged Solomon Krispeal’s unapproved transactions, excessive trading, and unsuitability. Client alleged Solomon Krispeal’s unsuitability, improper use of margin and unauthorized trades. In an email alleging unauthorized trading, the customer also alleged Solomon Krispeal forged documents for his clients. Solomon Krispeal alleged unsuitability, breach of fiduciary duty, common law fraud, breach of contract, churning and violation of the Arkansas Securities Act. Unsuitable investments allegedly by Solomon Krispeal. Customer alleged that Solomon Krispeal recommended unsuitable investments, churned his account and misrepresented the facts in a Regulation D offering. Solomon Krispeal Red Flags & Your Rights As An Investor Of course, Solomon Krispeal 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 Solomon Krispeal at PHX Financial and Legend Securities on alert to review carefully the activity and performance of their accounts and question whether Solomon Krispeal has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PHX Financial and Legend 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 PHX Financial Due To Solomon Krispeal If you have questions about PHX Financial, Legend Securities, and/or Solomon Krispeal 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

Mitchell Kurtz Formerly With Henley & Company

DID MITCHELL ALLEN KURTZ CAUSE YOU INVESTMENT LOSSES? Mitchell Kurtz Formerly With Henley & Company Has 4 Customer Complaints For Alleged Broker Misconduct Who is Mitchell Kurtz formerly with Henley & Company? Mitchell Kurtz (CRD #2437746) who was formerly registered with Henley & Company and located in Roslyn Heights, New York is a subject of one of our many securities industry sales practice abuse investigations. Mitchell Kurtz has also been the subject of a FINRA investigation into whether he engage in outside business activities, selling away, violated professional standards in the firm’s code of ethics.  He refused to provide FINRA with the requested documents and information in connection with its investigation and consequently he was permanently barred from any further association with any member firm in any capacity. Mitchell Kurtz Customer Complaints Mitchell Kurtz has been the subject of 4 customer complaints that we know about. Three of Mitchell Kurtz’s 4 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Henley & Company for investment losses caused by Mitchell Kurtz’s alleged misconduct. Allegations Against Mitchell Kurtz A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged churning, unsuitability by Mitchell Kurtz. Mitchell Kurtz alleged breach of fiduciary duty, breach of the covenant of good faith and fair dealing, breach of contract, breach of broker’s duty of reasonable care, churning, unsuitable transactions, unauthorized transactions, breach of a brokerage’s duty to supervise and ensure compliance, negligent and intentional misrepresentation; fraud & deceit, negligence, tortious malpractice as a licensed securities professionals, violations of various state securities laws, violations of state consumer protection laws prohibiting deceptive and unfair trade practices, violations of NASD, NYSE, FINRA and American Stock Exchange rules. Claim made against the firm that we had failed to monitor and adequately supervise Mitchell Kurtz while employed by the firm. Mitchell Kurtz’s alleged suitability, breach of contractual duty, misrepresentation, breach of fiduciary duty. Mitchell Kurtz Red Flags & Your Rights As An Investor Of course, Mitchell Kurtz 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 Mitchell Kurtz at Henley & Company on alert to review carefully the activity and performance of their accounts and question whether Mitchell Kurtz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Henley & Company 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 Henley & Company Due To Mitchell Kurtz If you have questions about Henley & Company and/or Mitchell Kurtz 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

Stephen Kwan of Madison Avenue Securities

DID STEPHEN YAUMAN KWAN CAUSE YOU INVESTMENT LOSSES? Stephen Kwan Of Madison Avenue Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Stephen Kwan of Madison Avenue Securities? Stephen Kwan (CRD #3183681) who is currently registered with Madison Avenue Securities and located in Austin, Texas is a subject of one of our many securities industry sales practice abuse investigations. Stephen Kwan Customer Complaint Stephen Kwan 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 claimants alleged failure to conduct Due Diligence on several points, unsuitable recommendation, over concentration, misrepresentations and omissions in violation of Texas and FINRA regulations in the sale of GPB. Stephen Kwan’s customer complaint was settled in favor of the investors. Stephen Kwan Red Flags & Your Rights As An Investor Of course, Stephen Kwan 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 Stephen Kwan at Madison Avenue Securities on alert to review carefully the activity and performance of their accounts and question whether Stephen Kwan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Madison Avenue 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 Madison Avenue Securities Due To Stephen Kwan If you have questions about Madison Avenue Securities and/or Stephen Kwan 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

Ronald Lacis of Charles Schwab & Co.

DID RONALD ANDREJS LACIS CAUSE YOU INVESTMENT LOSSES? Ronald Lacis Of Charles Schwab & Co. And Formerly With OptionsXpress Has A Customer Complaint For Alleged Broker Misconduct Who is Ronald Lacis of Charles Schwab & Co.? Ronald Lacis (CRD #2630156) who is currently registered with Charles Schwab & Co. and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to Charles Schwab & Co., Ronald Lacis was associated with OptionsXpress and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ronald Lacis Customer Complaint Ronald Lacis has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that Schwab and its representative , Ronald Lacis recommended an unsuitable option trading strategy to them, resulting in investment losses in their account(s). The customer complaint filed against Ronald Lacis’ current employer Charles Schwab & Co. for investment losses caused by the alleged misconduct is pending as of the date of this report. Ronald Lacis Red Flags & Your Rights As An Investor Of course, Ronald Lacis 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 Ronald Lacis at Charles Schwab & Co. and OptionsXpress on alert to review carefully the activity and performance of their accounts and question whether Ronald Lacis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & Co. and OptionsXpress 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 Ronald Lacis If you have questions about Charles Schwab & Co., OptionsXpress, and/or Ronald Lacis 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 Lacy Formerly With NYLIFE Securities

DID JOHN EDWARD LACY CAUSE YOU INVESTMENT LOSSES? John Lacy Formerly With NYLIFE Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is John Lacy formerly with NYLIFE Securities? John Lacy (CRD #2467197) who was formerly registered with NYLIFE Securities and located in Madison, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. John Lacy Customer Complaints John Lacy has been the subject of 2 customer complaints that we know about. Both of John Lacy’s customer complaints were settled in favor of investors. Allegations Against John Lacy A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer questioned the recommendation allegedly by John Lacy to replace an existing variable annuity with another variable annuity with a new surrender period. Customer requested the reinstatement of the original variable annuity. With regard to the purchases of variable annuity policies, the customer alleged that she did not understand the policies that she purchased, the John Lacy should have been overseeing her policies better and making investments that would get a better rate of return. Customer also alleged that John Lacy misled her about the policies. John Lacy Red Flags & Your Rights As An Investor Of course, John Lacy 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 Lacy at NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether John Lacy 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 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 NYLIFE Securities Due To John Lacy If you have questions about NYLIFE Securities and/or John Lacy 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

Larry Laio Formerly With Voya Financial Advisors

DID LARRY MARTIN LAIO CAUSE YOU INVESTMENT LOSSES? Larry Laio Formerly With Voya Financial Advisors Has 4 Customer Complaints For Alleged Broker Misconduct Who is Larry Laio formerly with Voya Financial Advisors? Larry Laio (CRD #1742714) who was formerly registered with Voya Financial Advisors and located in Lasalle, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Larry Laio Customer Complaints Larry Laio has been the subject of 4 customer complaints that we know about. Three of Larry Laio’s 4 customer complaints were settled in favor of investors. One of Larry Laio’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Larry Laio A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: After requesting a withdrawal from his account the customer alleged funds were not transferred from his retirement account to the product allegedly discussed with Larry Laio. Regarding the purchase of a variable appreciable life insurance policy, the client alleged Larry Laio’s misrepresentation concerning the abbreviated payment plan. The client alleged that Larry Laio misrepresented the variable annuity contracts as having a guaranteed monthly income payment for the lifetime of the contract owner and beneficiary without depletion of principle and a 7% guaranteed rate of return on the investment. The client alleged Larry Laio’s unsuitability in the sale of a variable universal life insurance policy. Larry Laio Red Flags & Your Rights As An Investor Of course, Larry Laio 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 Larry Laio at Voya Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Larry Laio has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Voya Financial Advisors 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 Voya Financial Advisors Due To Larry Laio If you have questions about Voya Financial Advisors and/or Larry Laio 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 Lane of RBC Capital Markets

DID MATTHEW FARLEY LANE CAUSE YOU INVESTMENT LOSSES? Matthew Lane Of RBC Capital Markets And Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Matthew Lane of RBC Capital Markets? Matthew Lane (CRD #2217533) who is currently registered with RBC Capital Markets and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, Matthew Lane was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Matthew Lane Customer Complaints Matthew Lane 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 Matthew Lane’s 2 customer complaints was settled in favor of investors. One of Matthew Lane’s customers complaints was denied and, to date, the customer has not taken any further action. Allegations Against Matthew Lane 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, inter alia, that Matthew Lane’s recommendation to sell his bond funds and purchase municipal bonds was misrepresented. Clients claim that an investment grade municipal bond they purchased at a previous firm was an unsuitable investment and complained that they weren’t informed of subsequent rating and price changes allegedly by Matthew Lane. Matthew Lane Red Flags & Your Rights As An Investor Of course, Matthew Lane 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 Lane at RBC Capital Markets and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Matthew Lane has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets 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 RBC Capital Markets Due To Matthew Lane If you have questions about RBC Capital Markets, Morgan Stanley, and/or Matthew Lane 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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