Mar 8, 2022

Michael Erpelding of Northwestern Mutual Investment Services

DID MICHAEL MERLE ERPELDING CAUSE YOU INVESTMENT LOSSES? Michael Erpelding Of Northwestern Mutual Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Erpelding of Northwestern Mutual Investment Services? Michael Erpelding (CRD #1709152) who is currently registered with Northwestern Mutual Investment Services and located in Edina, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Michael Erpelding Customer Complaint Michael Erpelding 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 that Michael Erpelding misrepresented the growth potential of a Northwestern Mutual Custom Variable Universal Life (CVUL) insurance policy and the policy did not perform as initially illustrated.  Michael Erpelding’s customer complaint was denied and, to date, the customer has not taken any further action Michael Erpelding Red Flags & Your Rights As An Investor Of course, Michael Erpelding 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 Erpelding at Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Michael Erpelding has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment 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 Northwestern Mutual Investment Services Due To Michael Erpelding If you have questions about Northwestern Mutual Investment Services and/or Michael Erpelding 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

Chikezie Esiobu of Ameriprise Financial Services

DID CHIKEZIE REGINALD ESIOBU CAUSE YOU INVESTMENT LOSSES? Chikezie Esiobu Of Ameriprise Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Chikezie Esiobu of Ameriprise Financial Services? Chikezie Esiobu (CRD #2674859) who is currently registered with Ameriprise Financial Services and located in Plantation, Florida is a subject of one of our many securities industry sales practice abuse investigations. Chikezie Esiobu Customer Complaint Chikezie Esiobu 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 Chikezie Esiobu recommended Plaintiff surrender her certificates in two parts to spread the income over 2 years and lessen the impact on her taxes. Plaintiff alleges she followed Chikezie Esiobu’s advice and incurred tax consequences resulting in her owing approximately $10k in additional taxes. The customer complaint filed against Chikezie Esiobu’s current employer Ameriprise Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Chikezie Esiobu Red Flags & Your Rights As An Investor Of course, Chikezie Esiobu 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 Chikezie Esiobu at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Chikezie Esiobu has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Ameriprise Financial Services Due To Chikezie Esiobu If you have questions about Ameriprise Financial Services and/or Chikezie Esiobu 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 Curtis of Dawson James Securities

DID THOMAS RUSSELL CURTIS CAUSE YOU INVESTMENT LOSSES? Thomas Curtis Of Dawson James Securities Has 7 Customer Complaints For Alleged Broker Misconduct Who is Thomas Curtis of Dawson James Securities? Thomas Curtis (CRD #1402285) who is currently registered with Dawson James Securities and located in Dayton, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Thomas Curtis Customer Complaints Thomas Curtis has been the subject of 7 customer complaints that we know about.  One of Thomas Curtis’ 7 customer complaints resulted in an arbitration award in favor of the investors. One of Thomas Curtis’ 7 customer complaints was settled in favor of investors. Five of Thomas Curtis’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Thomas Curtis 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 failure to execute and misrepresentation. The client continues to reiterate and expand his allegation of misrepresentation by Thomas Curtis. Client alleged misrepresentation and unsuitable recommendation by Thomas Curtis. Misrepresentation relating to their purchase of unregistered securities as part of a private placement offering allegedly by Thomas Curtis. Unsuitable investment recommendations, misrepresentation allegedly made by Thomas Curtis. The customers sent an email requesting the return of $30,000 for unrealized losses in ABIO based on the allegation that Thomas Curtis made exaggerated claims relative to potential performance when the security was purchased. Thomas Curtis Red Flags & Your Rights As An Investor Of course, Thomas Curtis 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 Curtis at Dawson James Securities on alert to review carefully the activity and performance of their accounts and question whether Thomas Curtis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Dawson James 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 Dawson James Securities Due To Thomas Curtis If you have questions about Dawson James Securities and/or Thomas Curtis 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

Jon Ewing of MML Investors Services

DID JON PATRICK EWING CAUSE YOU INVESTMENT LOSSES? Jon Ewing Of MML Investors Services And Formerly With MSI Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Jon Ewing of MML Investors Services? Jon Ewing (CRD #2283838) who is currently registered with MML Investors Services and located in Cincinnati, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Jon Ewing was associated with MSI Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jon Ewing Customer Complaint Jon Ewing 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 her 403(b) was transferred into an IRA, and invested into a new annuity. The complainant says this was an unauthorized transaction and placed her account under surrender charges that were not in place on her existing contract. Jon Ewing’s customer complaint was denied and, to date, the customer has not taken any further action. Jon Ewing Red Flags & Your Rights As An Investor Of course, Jon Ewing 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 Jon Ewing at MML Investors Services and MSI Financial Services on alert to review carefully the activity and performance of their accounts and question whether Jon Ewing has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services and MSI Financial Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At MML Investors Services Due To Jon Ewing If you have questions about MML Investors Services, MSI Financial Services, and/or Jon Ewing 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 Iannarino Formerly With Stifel Nicolaus & Company, Private Client Services and BCG Securities

DID MICHAEL JOSEPH IANNARINO CAUSE YOU INVESTMENT LOSSES? Michael Iannarino Formerly With Stifel Nicolaus & Company , Private Client Services and BCG Securities Has 4 Customer Complaints For Alleged Broker Misconduct Who is Michael Iannarino formerly with Stifel Nicolaus & Company? Michael Iannarino (CRD #1258453) who was formerly registered with Stifel Nicolaus & Company and located in Columbus, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Stifel Nicolaus & Company, Michael Iannarino was associated with Private Client Services, BCG Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Innarino has had his own regulatory problems.  Last year, FINRA barred him permanently from association with any member firm in any capacity for failure of supply documents and information requested by FINRA during its investigation of his potential recommendation and sale of promissory notes to individuals without firm approval.  He is also the subject of a cease-and-desist order for the sale of unregistered securities and acting as an unlicensed investment adviser in the State of Ohio. Michael Iannarino Customer Complaints Michael Iannarino has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Michael Iannarino’s 4 customer complaints was settled in favor of investors. Two of Michael Iannarino’s customers’ complaints were denied and the customers did not take any further action. There is currently one pending customer complaint filed against Private Client Services for investment losses caused by Michael Iannarino’s alleged misconduct.  Allegations Against Michael Iannarino A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:  Client complained that sell instructions were not followed allegedly by Michael Iannarino.  Ohio resident said that trades done in a discretionary account allegedly by Michael Iannarino were not authorized.  The claimants alleged the representative Michael Iannarino recommended an investment into an unregistered security through the use of promissory notes which he misrepresented as a safe low-risk investment with a specified or high return. Michael Iannarino Red Flags & Your Rights As An Investor Of course, Michael Iannarino 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 Iannarino at Stifel Nicolaus & Company, Private Client Services, and BCG Securities on alert to review carefully the activity and performance of their accounts and question whether Michael Iannarino has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel Nicolaus & Company, Private Client Services, and BCG 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 Stifel Nicolaus & Company Due To Michael Iannarino If you have questions about Stifel Nicolaus & Company, Private Client Services, BCG Securities, and/or Michael Iannarino 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

Roger Ingwersen of Purshe Kaplan Sterling Investments

DID ROGER HENRY INGWERSEN CAUSE YOU INVESTMENT LOSSES? Roger Ingwersen Of Purshe Kaplan Sterling Investments, The Harvest Group And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct  Who is Roger Ingwersen of Purshe Kaplan Sterling Investments? Roger Ingwersen (CRD #255050) who is currently registered with Purshe Kaplan Sterling Investments, The Harvest Group and located in Waltham, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to Purshe Kaplan Sterling Investments, The Harvest Group, Roger Ingwersen was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Roger Ingwersen Customer Complaint Roger Ingwersen has been the subject ofat least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were negligence, breach of fiduciary duty, violation of suitability rules, and misrepresentation/fraud in advisory accounts held at Schwab and managed through an unaffiliated Registered Advisory firm The Harvest Group. The customer complaint filed against Roger Ingwersen’s current employer Purshe Kaplan Sterling Investments and The Harvest Group for investment losses caused by the alleged misconduct is pending as of the date of this report. Roger Ingwersen Red Flags & Your Rights As An Investor Of course, Roger Ingwersen 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 Roger Ingwersen at Purshe Kaplan Sterling Investments, The Harvest Group and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Roger Ingwersen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Purshe Kaplan Sterling Investments, The Harvest Group and UBS Financial Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Purshe Kaplan Sterling Investments Due To Roger Ingwersen If you have questions about Purshe Kaplan Sterling Investments, The Harvest Group, UBS Financial Services, and/or Roger Ingwersen 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

Edward Johnson of Morgan Stanley

DID EDWARD NICKOLAS JOHNSON CAUSE YOU INVESTMENT LOSSES? Edward Johnson Of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Edward Johnson of Morgan Stanley? Edward Johnson (CRD #1027142) who is currently registered with Morgan Stanley and located in Bloomington, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Edward Johnson Customer Complaint Edward Johnson has been the subject of 2 customer complaints that we know about. One of Edward Johnson’s customer complaints was settled in favor of investors. One of Edward Johnson’s customers’ complaints was denied and the customers did not take any further action. Allegations Against Edward Johnson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:  Successor trustee alleges unsuitability, among other things, with respect to variable annuity purchased by Edward Johnson for client. Clients alleged that Edward Johnson misrepresented the risk of their closed-end bond fund investment and purchased units of a realty trust without authorization. Edward Johnson Red Flags & Your Rights As An Investor Of course, Edward Johnson 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 Edward Johnson at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Edward Johnson 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 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 Morgan Stanley Due To Edward Johnson If you have questions about Morgan Stanley and/or Edward Johnson 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

Mark Jones of Merrill Lynch Pierce Fenner & Smith

DID MARK E JONES CAUSE YOU INVESTMENT LOSSES? Mark Jones of Merrill Lynch Pierce Fenner & Smith Has 9 Customer Complaints For Alleged Broker Misconduct Who is Mark Jones of Merrill Lynch Pierce Fenner & Smith? Mark Jones (CRD #261512) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Mark Jones Customer Complaints Mark Jones has been the subject of 9 customer complaints that we know about. One of Mark Jones’ 9 customer complaints resulted in an arbitration award in favor of the investors. Eight of Mark Jones’ 9 customer complaints were settled in favor of investors. Allegations Against Mark Jones 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 Mark Jones’ breach of agreement to invest in an outside business venture.  Client alleged he had significant losses in covered call trades due to discretionary trading by Mark Jones.  The customer alleged failure to follow instructions by Mark Jones. The customer alleged misrepresentation by Mark Jones. The customers alleged unsuitable investment recommendations and misrepresentation and omission of material facts allegedly committed by Mark Jones. Unsuitable investment recommendations allegedly made by Mark Jones. Mark Jones Red Flags & Your Rights As An Investor Of course, Mark Jones 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 Mark Jones at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Mark Jones 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 Mark Jones If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Mark Jones 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

Kenneth Hutkin of Wedbush Securities

DID JERRY LEON JUNAS CAUSE YOU INVESTMENT LOSSES? Jerry Junas of MML Investors Services Has A Customer Complaint For Alleged Broker Misconduct  Who is Jerry Junas of MML Investors Services? Jerry Junas (CRD #262672) who is currently registered with MML Investors Services and located in Libertyville, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Jerry Junas Customer Complaint Jerry Junas 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 complainant alleges that his representative convinced him to surrender $105,000 in Whole Life policies for a Variable Universal Life policy, despite explaining to the representative that he was going to be forcibly retired due to a takeover at his company. The complainant says that his entire whole life portfolio that he assembled over three decades was destroyed, and the only surviving item of value was the fees his representative earned. Jerry Junas’ customer complaint was denied and the customers did not take any further action. Jerry Junas Red Flags & Your Rights As An Investor Of course, Jerry Junas 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 Jerry Junas at MML Investors Services on alert to review carefully the activity and performance of their accounts and question whether Jerry Junas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors 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 MML Investors Services Due To Jerry Junas If you have questions about MML Investors Services and/or Jerry Junas 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

Steven Brodie Formerly With Equitable Advisors

DID STEVEN NELSON BRODIE CAUSE YOU INVESTMENT LOSSES? Steven Brodie Formerly With Equitable Advisors And Charles Schwab & Co. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Steven Brodie formerly with Equitable Advisors? Steven Brodie (CRD #1492095) who was formerly registered with Equitable Advisors and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to Equitable Advisors, Steven Brodie was associated with Charles Schwab & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Steven Brodie Customer Complaints Steven Brodie has been the subject of 2 customer complaints that we know about. One of Steven Brodie’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Charles Schwab & Co. for investment losses caused by Steven Brodie’s alleged misconduct. Allegations Against Steven Brodie 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 instructions to exercise TerraForm Power, Inc. options were not followed by Steven Brodie. Customers alleged that Schwab and its representative Steven Brodie recommended an unsuitable option trading strategy to them, resulting in investment losses in their account(s). Steven Brodie Red Flags & Your Rights As An Investor Of course, Steven Brodie 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 Steven Brodie at Equitable Advisors and Charles Schwab & Co. on alert to review carefully the activity and performance of their accounts and question whether Steven Brodie has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors and Charles Schwab & 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 Equitable Advisors and Charles Schwab & Co. Due To Steven Brodie If you have questions about Equitable Advisors, Charles Schwab & Co., and/or Steven Brodie 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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