Mar 8, 2022

Glenn Fasani of Ameriprise Financial Services

DID GLENN DAVID FASANI CAUSE YOU INVESTMENT LOSSES? Glenn Fasani Of Ameriprise Financial Services And Formerly With AXA Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Glenn Fasani of Ameriprise Financial Services? Glenn Fasani (CRD #2832856) who is currently registered with Ameriprise Financial Services and located in Tampa, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, Glenn Fasani was associated with AXA Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Glenn Fasani Customer Complaint Glenn Fasani 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 Glenn Fasani sold him an unsuitable variable annuity. Glenn Fasani’s customer complaint was denied and, to date, the customer has not taken any further action. Glenn Fasani Red Flags & Your Rights As An Investor Of course, Glenn Fasani 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 Glenn Fasani at Ameriprise Financial Services and AXA Advisors on alert to review carefully the activity and performance of their accounts and question whether Glenn Fasani has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services and AXA Advisors 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 Ameriprise Financial Services Due To Glenn Fasani If you have questions about Ameriprise Financial Services, AXA Advisors, and/or Glenn Fasani 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.

Continue Reading

Mar 8, 2022

Geoff Feinstein of The Jeffrey Matthews Financial Group

DID GEOFF IRA FEINSTEIN CAUSE YOU INVESTMENT LOSSES? Geoff Feinstein Of The Jeffrey Matthews Financial Group Has 2 Customer Complaints For Alleged Broker Misconduct Who is Geoff Feinstein of The Jeffrey Matthews Financial Group? Geoff Feinstein (CRD #2259310) who is currently registered with The Jeffrey Matthews Financial Group and located in Florham Park, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Geoff Feinstein Customer Complaints Geoff Feinstein has been the subject of 2 customer complaints that we know about. Customers alleged unauthorized and undisclosed transactions in his account. One of Geoff Feinstein’s 2 customer complaints was settled in favor of investors. One of Geoff Feinstein’s customers’ complaints was denied and, to date, the customer has not taken any further action. Geoff Feinstein Red Flags & Your Rights As An Investor Of course, Geoff Feinstein 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 Geoff Feinstein at The Jeffrey Matthews Financial Group on alert to review carefully the activity and performance of their accounts and question whether Geoff Feinstein has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The Jeffrey Matthews Financial Group 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 The Jeffrey Matthews Financial Group Due To Geoff Feinstein If you have questions about The Jeffrey Matthews Financial Group and/or Geoff Feinstein 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.

Continue Reading

Mar 8, 2022

Xavier Felipe of American Portfolios Financial Services

DID XAVIER CLEMENTE FELIPE CAUSE YOU INVESTMENT LOSSES? Xavier Felipe Of American Portfolios Financial Services, American Portfolios Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Xavier Felipe of American Portfolios Financial Services? Xavier Felipe (CRD #2024428) who is currently registered with American Portfolios Financial Services, American Portfolios Advisors and located in Bohemia, New York is a subject of one of our many securities industry sales practice abuse investigations. Xavier Felipe Customer Complaint Xavier Felipe 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 unsuitable investments, breach of fiduciary duty, violation of FINRA Rule 2090, and violation of FINRA Rule 2010. The customer complaint filed against Xavier Felipe’s current employer American Portfolios Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Xavier Felipe Red Flags & Your Rights As An Investor Of course, Xavier Felipe 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 Xavier Felipe at American Portfolios Financial Services and American Portfolios Advisors on alert to review carefully the activity and performance of their accounts and question whether Xavier Felipe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Portfolios Financial Services and American Portfolios Advisors 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 American Portfolios Financial Services Due To Xavier Felipe If you have questions about American Portfolios Financial Services, American Portfolios Advisors, and/or Xavier Felipe 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.

Continue Reading

Mar 8, 2022

Rodney Ferguson of NYLIFE Securities

DID RODNEY STUART FERGUSON CAUSE YOU INVESTMENT LOSSES? Rodney Ferguson Of NYLIFE Securities, Eagle Strategies Has 6 Customer Complaints For Alleged Broker Misconduct Who is Rodney Ferguson of NYLIFE Securities? Rodney Ferguson (CRD #2482868) who is currently registered with NYLIFE Securities, Eagle Strategies and located in Chesterfield, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Rodney Ferguson Customer Complaints Rodney Ferguson has been the subject of 6 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Five of Rodney Ferguson’s 6 customer complaints were settled in favor of investors. One of Rodney Ferguson’s customers complaints was denied and, to date, the customer has not taken any further action. Allegations Against Rodney Ferguson 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 she was advised by Rodney Ferguson to purchase a variable annuity from the proceeds of her 401K. She alleged that she didn’t need the costly annuity since the money is in an IRA and already growing tax deferred. Customer alleged Rodney Ferguson made an unsuitable recommendation to liquidate an annuity from another financial institution and to purchase mutual funds through NYLIFE Securities, LLC. Customer alleged that incorrect or incomplete information was given to him by Rodney Ferguson regarding the 401k plan his company purchased. The customer alleged the terms and conditions of her policies including variable universal life insurance, variable annuities, and 529 plans purchased allegedly by Rodney Ferguson were not properly explained to her, including that her life insurance investments were referred to as a savings accounts. With regard to the existing two variable life insurance policies that were purchased, the customer alleges that Rodney Ferguson failed to stop the premiums on the variable life policy at their request. The customer further alleges that the money was not put into the intended money market brokerage account as discussed. Rodney Ferguson Red Flags & Your Rights As An Investor Of course, Rodney Ferguson 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 Rodney Ferguson at NYLIFE Securities and Eagle Strategies on alert to review carefully the activity and performance of their accounts and question whether Rodney Ferguson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLIFE Securities and Eagle Strategies 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 Rodney Ferguson If you have questions about NYLIFE Securities, Eagle Strategies, and/or Rodney Ferguson 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.

Continue Reading

Mar 8, 2022

Orlando Fernandez Formerly With Moloney Securities Co.

DID ORLANDO CIPRIANO FERNANDEZ CAUSE YOU INVESTMENT LOSSES? Orlando Fernandez Formerly With Moloney Securities Co. And Sandlapper Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Orlando Fernandez formerly with Moloney Securities Co.? Orlando Fernandez (CRD #1980142) who was formerly registered with Moloney Securities Co.and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to Moloney Securities Co., Orlando Fernandez was associated with Sandlapper Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Orlando Fernandez Customer Complaint Orlando Fernandez 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 unsuitable recommendation. Orlando Fernandez’s customer complaint was denied and, to date, the customer has not taken any further action. Orlando Fernandez Red Flags & Your Rights As An Investor Of course, Orlando Fernandez 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 Orlando Fernandez at Moloney Securities Co. and Sandlapper Securities on alert to review carefully the activity and performance of their accounts and question whether Orlando Fernandez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Moloney Securities Co. and Sandlapper 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 Moloney Securities Co. Due To Orlando Fernandez If you have questions about Moloney Securities Co., Sandlapper Securities, and/or Orlando Fernandez 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.

Continue Reading

Mar 8, 2022

John Findley of Lincoln Financial Advisors

DID JOHN RANDALL FINDLEY CAUSE YOU INVESTMENT LOSSES? John Findley Of Lincoln Financial Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is John Findley of Lincoln Financial Advisors? John Findley (CRD #2472449) who is currently registered with Lincoln Financial Advisors and located in San Ramon, California is a subject of one of our many securities industry sales practice abuse investigations. John Findley Customer Complaint John Findley 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 client stated John Findley did not understand the variable annuity product he sold to him and it was a poor recommendation for his needs. John Findley’s customer complaint was denied and, to date, the customers have not taken any further action. John Findley Red Flags & Your Rights As An Investor Of course, John Findley 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 Findley at Lincoln Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether John Findley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lincoln Financial Advisors 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 Lincoln Financial Advisors Due To John Findley If you have questions about Lincoln Financial Advisors and/or John Findley 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.

Continue Reading

Mar 8, 2022

James Flanagan of Independent Financial Group

DID JAMES LUKE FLANAGAN CAUSE YOU INVESTMENT LOSSES? James Flanagan Of Independent Financial Group Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Flanagan of Independent Financial Group? James Flanagan (CRD #1812317) who is currently registered with Independent Financial Group and located in Downers Grove, Illinois is a subject of one of our many securities industry sales practice abuse investigations. James Flanagan Customer Complaints James Flanagan 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 James Flanagan’s customers’ complaints was denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Independent Financial Group for investment losses caused by James Flanagan’s alleged misconduct. Allegations Against James Flanagan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged that James Flanagan’s actions have resulted in losses in equity listed common and preferred stocks and mutual funds. The client was misled allegedly by James Flanagan regarding the duration of the premium payments. James Flanagan Red Flags & Your Rights As An Investor Of course, James Flanagan 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 Flanagan at Independent Financial Group on alert to review carefully the activity and performance of their accounts and question whether James Flanagan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Independent Financial Group 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 Independent Financial Group Due To James Flanagan If you have questions about Independent Financial Group and/or James Flanagan 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.

Continue Reading

Mar 8, 2022

Jose Ferrari of Oppenheimer & Co.

DID JOSE R JAUNARENA FERRARI CAUSE YOU INVESTMENT LOSSES? Jose Ferrari Of Oppenheimer & Co. And Formerly With Popular Securities Has 8 Customer Complaints For Alleged Broker Misconduct Who is Jose Ferrari of Oppenheimer & Co.? Jose Ferrari (CRD #4058515) who is currently registered with Oppenheimer & Co. and located in Fort Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co., Jose Ferrari was associated with Popular Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jose Ferrari Customer Complaints Jose Ferrari has been the subject of 8 customer complaints that we know about. Five of Jose Ferrari’s 8 customer complaints were settled in favor of investors. There are currently three pending customer complaints filed against Popular Securities for investment losses caused by Jose Ferrari’s alleged misconduct. Allegations Against Jose Ferrari 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 Jose Ferrari’s investment recommendations to purchase and to hold P.R. securities were unsuitable in light of the clients’ risk profile causing losses. Claimant alleged that Jose Ferrari’s investment recommendations to purchase and to hold P.R. securities were unsuitable in light of the clients’ risk tolerance. Claimants also allege that recommendations made by the Financial Consultant were particularly egregious in light of Puerto Rico’s well known deteriorating financial condition. Client alleged that investment recommendations by Jose Ferrari to purchase and to hold P.R. Government bonds resulted in an over concentrated and high risk portfolio, which were unsuitable positions in light of the client’s risk tolerance and wish to preserve his capital. Claimants also alleged that financial consultant made false and misleading representations regarding the products risks. Claimant also states that the financial consultant recommended a margin account unsuitable for the claimant. Customer alleged Jose Ferrari’s unauthorized trades in mutual funds. Oriental cancelled trades with no loss to the customer. Jose Ferrari Red Flags & Your Rights As An Investor Of course, Jose Ferrari 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 Jose Ferrari at Oppenheimer & Co. and Popular Securities on alert to review carefully the activity and performance of their accounts and question whether Jose Ferrari has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. and Popular 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 Oppenheimer & Co. Due To Jose Ferrari If you have questions about Oppenheimer & Co., Popular Securities, and/or Jose Ferrari 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.

Continue Reading

Mar 8, 2022

Peter Gabor Formerly With First Citizens Investor Services

DID PETER IVAN GABOR CAUSE YOU INVESTMENT LOSSES? Peter Gabor Formerly With First Citizens Investor Services Has A Customer Complaint For Alleged Broker Misconduct Who is Peter Gabor formerly with First Citizens Investor Services? Peter Gabor (CRD #1997360) who was formerly registered with First Citizens Investor Services and located in Raleigh, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Peter Gabor Customer Complaint Peter Gabor 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 the firm received an email from the client’s spouse stating concerns regarding a change in the floor of their variable universal life policy issued. In addition, the client’s spouse claimed they were significantly misled and not informed of fees that would be incurred as a result of the new policy. Peter Gabor’s customer complaint was denied and, to date, the customer has not taken any further action. Peter Gabor Red Flags & Your Rights As An Investor Of course, Peter Gabor 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 Peter Gabor at First Citizens Investor Services on alert to review carefully the activity and performance of their accounts and question whether Peter Gabor has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Citizens Investor 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 First Citizens Investor Services Due To Peter Gabor If you have questions about First Citizens Investor Services and/or Peter Gabor 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.

Continue Reading

Mar 8, 2022

John Foery of Wells Fargo Clearing Services

DID JOHN CHRISTIAN FOERY CAUSE YOU INVESTMENT LOSSES? John Foery Of Wells Fargo Clearing Services Has 5 Customer Complaints For Alleged Broker Misconduct Who is John Foery of Wells Fargo Clearing Services? John Foery (CRD #2531983) who is currently registered with Wells Fargo Clearing Services and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. John Foery Customer Complaints John Foery 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 John Foery’s 5 customer complaints were settled in favor of investors. Three of John Foery’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against John Foery A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Clients complained that John Foery allegedly mismanaged and neglected their accounts. A North Carolina resident allegedly gave instructions for John Foery to liquidate diversified managed allocations account (internally managed account). Client said she was not made aware that liquidation of managed account could take several days. Executions were done and client felt she suffered damages as the result of not having the trades done in a timely manner. Client was allegedly persuaded by John Forey to open two Fundsource accounts and after disappointing recent performance, client requested, but did not receive a plan to reallocate his account. North Carolina resident says she was not told of any liquidity risk when she purchased $75,000 Nuveen Auction Rate Preferreds allegedly on the recommendation of John Foery. The client alleged that John Foery’s purchase of an equity was not made in accordance with her conservative investment objective. John Foery Red Flags & Your Rights As An Investor Of course, John Foery 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 Foery at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether John Foery has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services Due To John Foery If you have questions about Wells Fargo Clearing Services and/or John Foery 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.

Continue Reading