Mar 8, 2022

Thomas Heidenrich of Robert W. Baird & Co.

DID THOMAS SCOTT HEIDENRICH CAUSE YOU INVESTMENT LOSSES? Thomas Heidenrich Of Robert W. Baird & Co. Has A Customer Complaint For Alleged Broker Misconduct Who is Thomas Heidenrich of Robert W. Baird & Co.? Thomas Heidenrich (CRD #2803223) who is currently registered with Robert W. Baird & Co.and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Thomas Heidenrich Customer Complaint Thomas Heidenrich 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  third party ex-wife non-client of a Baird associate alleged that the Baird associate’s Baird Financial Advisor provided her inaccurate information regarding the accounts of the adult sons of the Baird associate and his ex-wife. Thomas Heidenrich’s customer complaint was denied and, to date, the customer has not taken any further action. Thomas Heidenrich Red Flags & Your Rights As An Investor Of course, Thomas Heidenrich 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 Heidenrich at Robert W. Baird & Co. on alert to review carefully the activity and performance of their accounts and question whether Thomas Heidenrich has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Robert W. Baird & Co. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Robert W. Baird & Co. Due To Thomas Heidenrich If you have questions about Robert W. Baird & Co. and/or Thomas Heidenrich 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

Arthur Hoffman formerly with Ameriprise Financial Services

DID ARTHUR STEWART HOFFMAN CAUSE YOU INVESTMENT LOSSES? Arthur Hoffman Formerly With Ameriprise Financial Services And Wedbush Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Arthur Hoffman formerly with Ameriprise Financial Services? Arthur Hoffman (CRD #3193754) who was formerly registered with Ameriprise Financial Services and located in Glendale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, Arthur Hoffman was associated with Wedbush Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Arthur Hoffman has also had his share of regulatory problems.  Last year, he consented to the sanction and to the entry of findings that he failed to abide documents and information requested by FINRA in connection with an investigation about whether he violated company policy, and FINRA rules related to outside business activities in private securities transactions.  The sanction for his failure to cooperate with the FINRA investigation was a permanent bar from any further association with any member firm in any capacity. Arthur Hoffman Customer Complaints Arthur Hoffman 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 Arthur Hoffman’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Ameriprise Financial Services for investment losses caused by Arthur Hoffman’s alleged misconduct. Allegations Against Arthur Hoffman A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged that respondent Arthur Hoffman recommended the claimants invest $172,688.03 in Zima Global Ventures, LLC a/k/a Zima Digital Assets. The complaint included claims for Arizona securities fraud; fraud in provision of investment advisory services, common law fraud and misrepresentation; breach of fiduciary duties; fraudulent concealment; negligent misrepresentation; negligence; negligent supervision; and document turnover and accounting allegedly committed by Arthur Hoffman. Arthur Hoffman Red Flags & Your Rights As An Investor Of course, Arthur Hoffman 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 Arthur Hoffman at Ameriprise Financial Services and Wedbush Securities on alert to review carefully the activity and performance of their accounts and question whether Arthur Hoffman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services and Wedbush 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 Ameriprise Financial Services Due To Arthur Hoffman If you have questions about Ameriprise Financial Services, Wedbush Securities, and/or Arthur Hoffman 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 Hoffman of J.P. Morgan Securities

DID MATTHEW STEPHEN HOFFMAN CAUSE YOU INVESTMENT LOSSES? Matthew Hoffman Of J.P. Morgan Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Matthew Hoffman of J.P. Morgan Securities? Matthew Hoffman (CRD #2558496) who is currently registered with J.P. Morgan Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Matthew Hoffman Customer Complaints Matthew Hoffman has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Both of Matthew Hoffman’s 2 customer complaints were settled in favor of investors. Allegations Against Matthew Hoffman A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged that their financial advisor Matthew Hoffman recommended unsuitable investments. Client alleged Matthew Hoffman’s misrepresentation regarding mutual fund investment. Subsequent correspondence received. Client alleged misrepresentation and unauthorized trading regarding mutual fund investment. Matthew Hoffman Red Flags & Your Rights As An Investor Of course, Matthew Hoffman 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 Hoffman at J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Matthew Hoffman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan 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 J.P. Morgan Securities Due To Matthew Hoffman If you have questions about J.P. Morgan Securities and/or Matthew Hoffman 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

Meredith Hoffman of Edward Jones

DID MEREDITH MCCLURE HOFFMAN CAUSE YOU INVESTMENT LOSSES? Meredith Hoffman Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Meredith Hoffman of Edward Jones? Meredith Hoffman (CRD #3128895) who is currently registered with Edward Jones and located in Klamath Falls, Oregon is a subject of one of our many securities industry sales practice abuse investigations. Meredith Hoffman Customer Complaint Meredith Hoffman 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 a check was issued from her 529 account without her knowledge or authorization. Meredith Hoffman’s customer complaint was settled in favor of the investors. Meredith Hoffman Red Flags & Your Rights As An Investor Of course, Meredith Hoffman 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 Meredith Hoffman at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Meredith Hoffman 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 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 Edward Jones Due To Meredith Hoffman If you have questions about Edward Jones and/or Meredith Hoffman and the management or performance of your accounts, and/or David Heide 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

Howell Holland of ProEquities

DID HOWELL BOOTH HOLLAND CAUSE YOU INVESTMENT LOSSES? Howell Holland Of ProEquities Has A Customer Complaint For Alleged Broker Misconduct Who is Howell Holland of ProEquities? Howell Holland (CRD #2430593) who is currently registered with ProEquities and located in Birmingham, Alabama is a subject of one of our many securities industry sales practice abuse investigations. Howell Holland Customer Complaint Howell Holland has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were client alleged misrepresentation of facts on annuity value causing loss. Howell Holland’s customer complaint was settled in favor of the investors. Howell Holland Red Flags & Your Rights As An Investor Of course, Howell Holland 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 Howell Holland at ProEquities on alert to review carefully the activity and performance of their accounts and question whether Howell Holland has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at ProEquities 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 ProEquities Due To Howell Holland If you have questions about ProEquities and/or Howell Holland 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

Linda Howard of Waddell & Reed

DID LINDA KAREN HOWARD CAUSE YOU INVESTMENT LOSSES? Linda Howard Of Waddell & Reed Has 5 Customer Complaints For Alleged Broker Misconduct Who is Linda Howard of Waddell & Reed? Linda Howard (CRD #1922648) who is currently registered with Waddell & Reed and located in San Antonio, Texas is a subject of one of our many securities industry sales practice abuse investigations. Linda Howard Customer Complaints Linda Howard 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. Four of Linda Howard’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 Waddell & Reed for investment losses caused by Linda Howard’s alleged misconduct. Allegations Against Linda Howard 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 the executor of the client’s estate alleged Linda Howard engaged in false and misleading conduct with former POA agent in relation to opening an account in the client’s name, allowing the agent to designate beneficiaries other than the estate, and conspiring with the agent to deplete the assets of the estate. Client alleged Linda Howard’s purchase of a Exchange Traded Product was not authorized. Client also claimed her signature was forged. Client stated Linda Howard allegedly suggested moving funds from an annuity to a regular account with Edward Jones which resulted in creating a significant tax liability. Client alleged Howard should have been aware of the tax liability and should have provided this information to her prior to the surrender of the annuity. Client’s children, one of whom holds power of attorney, stated the client conducted business with Linda Howard allegedly unbeknownst to them. Children stated that their mother was evaluated and determined to have cognitive deficits. Children further alleged that their mother began living in a nursing home. Guardian for deceased client stated Linda Howard allegedly recommended investments that were unsuitable for the ward. Linda Howard Red Flags & Your Rights As An Investor Of course, Linda Howard 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 Linda Howard at Waddell & Reed on alert to review carefully the activity and performance of their accounts and question whether Linda Howard has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Waddell & Reed 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 Linda Howard If you have questions about Waddell & Reed and/or Linda Howard 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

Paul Hulen of Raymond James & Associates

DID PAUL MICHAEL HULEN CAUSE YOU INVESTMENT LOSSES? Paul Hulen Of Raymond James & Associates And Formerly With Edward Jones Has 8 Customer Complaints For Alleged Broker Misconduct Who is Paul Hulen of Raymond James & Associates? Paul Hulen (CRD #2237101) who is currently registered with Raymond James & Associates and located in St Louis, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James & Associates, Paul Hulen was associated with Edward Jones and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Paul Hulen Customer Complaints Paul Hulen has been the subject of 8 customer complaints that we know about. One of Paul Hulen’s 8 customer complaints was settled in favor of investors. Seven of Paul Hulen’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Paul Hulen 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 Paul Hulen was not managing her accounts in a responsible manner and has no way to replace the funds that she has lost. Allegations of breach of fiduciary duty, negligence, and breach of SEC and NASD regulations; conversion and fraud by Paul Hulen. Client alleged misrepresentation as to fees and commissions by Paul Hulen. Client claimed due to Paul Hulen’s alleged mismanagement of their accounts, the value of their portfolio was reduced by 50%. Clients claimed the losses “grossly” exceeded their ability and willingness to front such risk to their savings. Client claimed her objectives were incorrect. She claimed she is 66 years old and on a fixed income. Client claimed she did not need the money for 2 years, however, did not expect to have any aggressive investments. Client is dissatisfied with the service and advice she received allegedly from Paul Hulen. Cousin for client wrote stating the client was placed in all mutual funds and did not understand commissions nor was it explained that the income from the account could be taken out of her original principal investment. Paul Hulen Red Flags & Your Rights As An Investor Of course, Paul Hulen 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 Paul Hulen at Raymond James & Associates and Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Paul Hulen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates and 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 Raymond James & Associates Due To Paul Hulen If you have questions about Raymond James & Associates, Edward Jones, and/or Paul Hulen 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 Fahey of Wellington Shields & Co.

DID JAMES EDWARD FAHEY CAUSE YOU INVESTMENT LOSSES? James Fahey Of Wellington Shields & Co. And Formerly With Oppenheimer & Co. Has 4 Customer Complaints For Alleged Broker Misconduct Who is James Fahey of Wellington Shields & Co.? James Fahey (CRD #2191811) who is currently registered with Wellington Shields & Co.and located in Locust Valley, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wellington Shields & Co., James Fahey was associated with Oppenheimer & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Fahey Customer Complaints James Fahey has been the subject of 4 customer complaints that we know about. Three of James Fahey’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 Wellington Shields & Co. and Oppenheimer & Co. for investment losses caused by James Fahey’s alleged misconduct. Allegations Against James Fahey 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 James Fahey made unauthorized trade and misrepresentations concerning auction rate securities. Damages unspecified. Customer alleged unsuitable investment recommendations by James Fahey. The customer alleged James Fahey’s misrepresentation and omission of material facts. The customer alleged unsuitable investment recommendations by James Fahey. James Fahey Red Flags & Your Rights As An Investor Of course, James Fahey 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 Fahey at Wellington Shields & Co. and Oppenheimer & Co. on alert to review carefully the activity and performance of their accounts and question whether James Fahey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wellington Shields & 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 Wellington Shields & Co. Due To James Fahey If you have questions about Wellington Shields & Co., Oppenheimer & Co., and/or James Fahey 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

Kerry Farley of Cetera Investment Advisers

DID KERRY GEROW FARLEY CAUSE YOU INVESTMENT LOSSES? Kerry Farley Of Cetera Investment Services, Cetera Investment Advisers And Formerly With SunTrust Investment Services, SunTrust Advisory Services Has A Customer Complaint For Alleged Broker Misconduct Who is Kerry Farley of Cetera Investment Advisers? Kerry Farley (CRD #1560826) who is currently registered with Cetera Investment Services, Cetera Investment Advisers and located in Palm Harbor, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Investment Services and Cetera Investment Advisers, Kerry Farley was associated with SunTrust Investment Services, SunTrust Advisory Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kerry Farley Customer Complaint Kerry Farley 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 the profit-sharing plan administrator for the law firm alleges Kerry Farley recommended purchase of $500,000 SILCs which could not be transferred into a new 401K plan. The investments would have to be liquidated at a possible loss. Kerry Farley’s customer complaint was settled in favor of the investors. Kerry Farley Red Flags & Your Rights As An Investor Of course, Kerry Farley 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 Kerry Farley at Cetera Investment Services, Cetera Investment Advisers, SunTrust Investment Services, and SunTrust Advisory Services and on alert to review carefully the activity and performance of their accounts and question whether Kerry Farley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Investment Services, Cetera Investment Advisers, SunTrust Investment Services, and SunTrust Advisory 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 Cetera Investment Services Due To Kerry Farley If you have questions about Cetera Investment Services, Cetera Investment Advisers, SunTrust Investment Services, SunTrust Advisory Services, and/or Kerry Farley 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

Michael Farrell Formerly With Aegis Capital

DID MICHAEL JAMES FARRELL CAUSE YOU INVESTMENT LOSSES? Michael Farrell Formerly With Aegis Capital, National Securities And Newbridge Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Farrell formerly with Aegis Capital? Michael Farrell (CRD #2282842) who was formerly registered with Aegis Capital and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Michael Farrell was associated with National Securities, Newbridge Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Farrell Customer Complaint Michael Farrell 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 unsuitability, breach of contract, breach of fiduciary duty. The customer complaint filed against Michael Farrell’s former employer Aegis Capital for investment losses caused by the alleged misconduct is pending as of the date of this report. Michael Farrell Red Flags & Your Rights As An Investor Of course, Michael Farrell 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 Michael Farrell at Aegis Capital, National Securities, and Newbridge Securities on alert to review carefully the activity and performance of their accounts and question whether Michael Farrell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital, National Securities, and Newbridge 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 Aegis Capital Due To Michael Farrell If you have questions about Aegis Capital, National Securities, Newbridge Securities, and/or Michael Farrell 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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