Mar 8, 2022

Timothy Gilmore of Pruco Securities

DID TIMOTHY JOHN GILMORE CAUSE YOU INVESTMENT LOSSES? Timothy Gilmore Of Pruco Securities Has 3 Customer Complaints For Alleged Broker Misconduct Who is Timothy Gilmore of Pruco Securities? Timothy Gilmore (CRD #2479049) who is currently registered with Pruco Securities and located in Irvine, California is a subject of one of our many securities industry sales practice abuse investigations. Timothy Gilmore Customer Complaints Timothy Gilmore 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 Timothy Gilmore’s 3 customer complaints was settled in favor of investors. Two of Timothy Gilmore’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Timothy Gilmore A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Regarding the purchase of a strategic partners annuity, the client alleged misrepresentation by Timothy Gilmore concerning continuing surrender charges. Regarding the purchase of an annuity contract, the client alleged that the annuity was not suitable for her and that Timothy Gilmore did not fully disclose all facts regarding charges, expenses and fees. Timothy Gilmore Red Flags & Your Rights As An Investor Of course, Timothy Gilmore 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 Timothy Gilmore at Pruco Securities on alert to review carefully the activity and performance of their accounts and question whether Timothy Gilmore has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco 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 Pruco Securities Due To Timothy Gilmore If you have questions about Pruco Securities and/or Timothy Gilmore 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

Eugene Glabik Formerly With Spartan Capital Securities

DID EUGENE ANTHONY GLABIK CAUSE YOU INVESTMENT LOSSES? Eugene Glabik Formerly With Spartan Capital Securities, Paulson Investment Company and Worden Capital Management Has A Customer Complaint For Alleged Broker Misconduct Who is Eugene Glabik formerly with Spartan Capital Securities? Eugene Glabik (CRD #2757205) who was formerly registered with Spartan Capital Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Spartan Capital Securities, Eugene Glabik was associated with Paulson Investment Company, Worden Capital Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Eugene Glabik Customer Complaint Eugene Glabik 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 alleged negligence and unsuitability, failure to supervise, breach of fiduciary duty, breach of contract, and negligent misrepresentation and omissions. The customer complaint filed against Eugene Glabik’s former employer Worden Capital Management for investment losses caused by the alleged misconduct is pending as of the date of this report. Eugene Glabik Red Flags & Your Rights As An Investor Of course, Eugene Glabik 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 Eugene Glabik at Spartan Capital Securities, Paulson Investment Company, and Worden Capital Management on alert to review carefully the activity and performance of their accounts and question whether Eugene Glabik has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities, Paulson Investment Company, and Worden Capital Management 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 Spartan Capital Securities Due To Eugene Glabik If you have questions about Spartan Capital Securities, Paulson Investment Company, Worden Capital Management, and/or Eugene Glabik 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

Karen Gonzales Formerly With SWBC Investment Services

DID KAREN YVONNE GONZALES CAUSE YOU INVESTMENT LOSSES? Karen Gonzales Formerly With SWBC Investment Services, BBVA Securities And CUSO Financial Services L.P. Has A Customer Complaint For Alleged Broker Misconduct Who is Karen Gonzales formerly with SWBC Investment Services? Karen Gonzales (CRD #4067284) who was formerly registered with SWBC Investment Services and located in San Antonio, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to SWBC Investment Services, Karen Gonzales was associated with BBVA Securities, CUSO Financial Services L.P. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Karen Gonzales Customer Complaint Karen Gonzales 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 customer purchased variable annuity contract. Customer alleged that representative assured her that her contract value would reach at least $51,000.00 in 7 years.  The customer complaint was denied, and to date, the customer has not taken any further action. Karen Gonzales Red Flags & Your Rights As An Investor Of course, Karen Gonzales 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 Karen Gonzales at SWBC Investment Services, BBVA Securities, and CUSO Financial Services L.P. on alert to review carefully the activity and performance of their accounts and question whether Karen Gonzales has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SWBC Investment Services, BBVA Securities, and CUSO Financial Services L.P. 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 SWBC Investment Services Due To Karen Gonzales If you have questions about SWBC Investment Services, BBVA Securities, CUSO Financial Services L.P., and/or Karen Gonzales 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

Peter Keating of United Planners’ Financial Services Of America A Limited Partner

DID PETER JAMES KEATING CAUSE YOU INVESTMENT LOSSES? Peter Keating Of United Planners’ Financial Services Of America A Limited Partner Has A Customer Complaint For Alleged Broker Misconduct Who is Peter Keating of United Planners’ Financial Services Of America A Limited Partner? Peter Keating (CRD #3012512) who is currently registered with United Planners’ Financial Services Of America A Limited Partner and located in Columbia, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Peter Keating Customer Complaint Peter Keating 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 breach of contract and gross negligence. Peter Keating’s customer complaint was denied and, to date, the customer has not taken any further action. Peter Keating Red Flags & Your Rights As An Investor Of course, Peter Keating 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 Keating at United Planners’ Financial Services Of America A Limited Partner on alert to review carefully the activity and performance of their accounts and question whether Peter Keating has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at United Planners’ Financial Services Of America A Limited Partner 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 United Planners’ Financial Services Of America A Limited Partner Due To Peter Keating If you have questions about United Planners’ Financial Services Of America A Limited Partner and/or Peter Keating 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 Goodwin of Merrill Lynch Pierce Fenner & Smith

DID DAVID EDMUND GOODWIN CAUSE YOU INVESTMENT LOSSES? David Goodwin Of Merrill Lynch Pierce Fenner & Smith Has 4 Customer Complaints For Alleged Broker Misconduct Who is David Goodwin of Merrill Lynch Pierce Fenner & Smith? David Goodwin (CRD #2434504) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Hartford, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. David Goodwin Customer Complaints David Goodwin 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.  All of David Goodwin’s customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against David Goodwin 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 he was not informed by David Goodwin of the details involved in his purchase of a variable annuity. Client alleged inappropriate recommendations by David Goodwin. Client signed discretionary investment advisory agreement. Later client claimed she should have been in AAA municipal bonds and that the trades in the discretionary investment advisory account were unauthorized. David Goodwin Red Flags & Your Rights As An Investor Of course, David Goodwin 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 Goodwin at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether David Goodwin 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 David Goodwin If you have questions about Merrill Lynch Pierce Fenner & Smith and/or David Goodwin 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 Gordon of Wells Fargo Clearing Services

DID MATTHEW GORDON CAUSE YOU INVESTMENT LOSSES? Matthew Gordon Of Wells Fargo Clearing Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Matthew Gordon of Wells Fargo Clearing Services? Matthew Gordon (CRD #4286268) who is currently registered with Wells Fargo Clearing Services and located in Saddle Brook, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Matthew Gordon Customer Complaints Matthew Gordon has been the subject of 3 customer complaints that we know about. Two of Matthew Gordon’s 3 customer complaints were settled in favor of investors. One of Matthew Gordon’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Matthew Gordon A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Florida clients claimed that Matthew Gordon did not communicate to them the ramifications of Class B shares. The clients further claimed that Matthew Gordon purchased over $120,000 Class B shares in the wife’s IRA account spread amongst five different fund families ABWBX, FSINX, FIIBX; further that Matthew Gordon purchased some of the same fund families, Class B shares as well, in the husband’s IRA account totaling over $40,000. The clients claimed that they recently learned that they would have received breakpoints had class a shares been purchased, saving them fees from the load and decreasing the annual expense ration. The clients also mentioned that Matthew Gordon purchased some of the same fund families in their fee-based discretionary advisory joint. The clients also claimed that they purchased an AXA equitable accumulator plus series 07 variable annuity making a premium payment of $200,000. The clients claimed that Matthew Gordon told them they were guaranteed 6% on the annuity but failed to tell them the fees would run 3% per year. New York Power of Attorney for New Jersey client expressed concern about Matthew Gordon’s alleged marketing variable annuities to client at total purchase cost of about $168,300, and mutual fund shares, a total purchase cost of about $19,540. POA sought refund of commissions, surrender and exit fees. Plaintiff alleged that Matthew Gordon mismanaged her accounts and made misrepresentations about the sale of a variable annuity. Matthew Gordon Red Flags & Your Rights As An Investor Of course, Matthew Gordon 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 Gordon at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Matthew Gordon 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 Matthew Gordon If you have questions about Wells Fargo Clearing Services and/or Matthew Gordon 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

Scott Gordon of Wells Fargo Advisors Financial Network

DID SCOTT MERRITT GORDON CAUSE YOU INVESTMENT LOSSES? Scott Gordon Of Wells Fargo Advisors Financial Network Has A Customer Complaint For Alleged Broker Misconduct Who is Scott Gordon of Wells Fargo Advisors Financial Network? Scott Gordon (CRD #2293835) who is currently registered with Wells Fargo Advisors Financial Network and located in Folsom, California is a subject of one of our many securities industry sales practice abuse investigations. Scott Gordon Customer Complaint Scott Gordon 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 complained that the financial advisor gave her incorrect information and as a result she has incurred taxes and penalties. Scott Gordon’s customer complaint was settled in favor of the investors. Scott Gordon Red Flags & Your Rights As An Investor Of course, Scott Gordon 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 Scott Gordon at Wells Fargo Advisors Financial Network on alert to review carefully the activity and performance of their accounts and question whether Scott Gordon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Advisors Financial Network 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 Wells Fargo Advisors Financial Network Due To Scott Gordon If you have questions about Wells Fargo Advisors Financial Network and/or Scott Gordon 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

William Kessler of Founders Financial Securities

DID WILLIAM DAVID KESSLER CAUSE YOU INVESTMENT LOSSES? William Kessler Of Founders Financial Securities Has A Customer Complaint For Alleged Broker Misconduct Who is William Kessler of Founders Financial Securities? William Kessler (CRD #1645594) who is currently registered with Founders Financial Securities and located in Athol, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. William Kessler Customer Complaint William Kessler 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 firm received correspondence from a client that funds were not invested into an annuity contract per the client’s request. In addition, the client claimed that the rider value would be $350,000 higher if subsequent funds were invested into the annuity contract instead of other accounts. The client also claimed that certain details of the products and accounts they held were not explained to them. William Kessler’s customer complaint was denied and, to date, the customer has not taken any further action. William Kessler Red Flags & Your Rights As An Investor Of course, William Kessler 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 William Kessler at Founders Financial Securities on alert to review carefully the activity and performance of their accounts and question whether William Kessler has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Founders Financial 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 Founders Financial Securities Due To William Kessler If you have questions about Founders Financial Securities and/or William Kessler 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

Douglas Goss Formerly With Wells Fargo Clearing Services

DID DOUGLAS L GOSS CAUSE YOU INVESTMENT LOSSES? Douglas Goss Formerly With Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Douglas Goss formerly with Wells Fargo Clearing Services? Douglas Goss (CRD #1549074) who was formerly registered with Wells Fargo Clearing Services and located in Tulsa, Oklahoma is a subject of one of our many securities industry sales practice abuse investigations. Douglas Goss Customer Complaints Douglas Goss has been the subject of 2 customer complaints that we know about. One of Douglas Goss’ 2 customer complaints was settled in favor of investors. One of Douglas Goss’ customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Douglas Goss A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Trustee complained of excessive trading in trust’s account by Douglas Goss. Client alleged that Douglas Goss misrepresented the tax consequences of certain transactions and allowed client’s wife to make unauthorized transactions in his accounts. Douglas Goss Red Flags & Your Rights As An Investor Of course, Douglas Goss 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 Douglas Goss at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Douglas Goss 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 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 Wells Fargo Clearing Services Due To Douglas Goss If you have questions about Wells Fargo Clearing Services and/or Douglas Goss 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

Imtiaz Khan of Joseph Stone Capital

DID IMTIAZ A. KHAN CAUSE YOU INVESTMENT LOSSES? Imtiaz Khan Of Joseph Stone Capital And Formerly With Windsor Street Capital Has A Customer Complaint For Alleged Broker Misconduct Who is Imtiaz Khan of Joseph Stone Capital? Imtiaz Khan (CRD #4084250) who is currently registered with Joseph Stone Capitaland located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Joseph Stone Capital, Imtiaz Khan was associated with Windsor Street Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.  He was also the subject of a FINRA investigation and was sanctioned for acting in a principal capacity without being properly registered.  The sanction was a 35 day suspension and $20,000 fine. Imtiaz Khan Customer Complaint Imtiaz Khan has also 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 following actions: unsuitability and overconcentration, commission abuse, failure to supervise & control person liability, breach of fiduciary duty, negligence, fraudulent misrepresentation, breach of contract, respondent superior. Imtiaz Khan’s customer complaint was settled in favor of the investors. Imtiaz Khan Red Flags & Your Rights As An Investor Of course, Imtiaz Khan 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 Imtiaz Khan at Joseph Stone Capital and Windsor Street Capital on alert to review carefully the activity and performance of their accounts and question whether Imtiaz Khan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Joseph Stone Capital and Windsor Street Capital 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 Joseph Stone Capital Due To Imtiaz Khan If you have questions about Joseph Stone Capital, Windsor Street Capital, and/or Imtiaz Khan 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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