Mar 8, 2022

Michael O’Brien of NYLIFE Securities

DID MICHAEL J. O’BRIEN CAUSE YOU INVESTMENT LOSSES? Michael O’Brien Of NYLIFE Securities Has 4 Customer Complaints For Alleged Broker Misconduct Who is Michael O’Brien of NYLIFE Securities? Michael O’Brien (CRD #1660069) who is currently registered with NYLIFE Securities and located in Kearney, Nebraska is a subject of one of our many securities industry sales practice abuse investigations. Michael O’Brien Customer Complaints Michael O’Brien has been the subject of 4 customer complaints that we know about. Three of Michael O’Brien’s 4 customer complaints were settled in favor of investors. One of Michael O’Brien’s customers’ complaints was denied and, today, the customers not taken any further action. Allegations Against Michael O’Brien 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 unaware that the product she purchased from Michael O’Brien was a variable annuity, was subject to surrender charges, annual charges and risk to principal. The customer alleged that he wanted to move his money from his fixed annuity into an aggressive variable and was told it would be done the latest on February 25 and found out that it took almost two months later the policy was issued, which resulted in losses allegedly caused by Michael O’Brien. With regard to the purchases of variable annuity policies and variable life insurance policies, the customer alleges that Michael O’Brien misinformed the customer about these policies, gave inaccurate information and was not told about the surrender charges. Michael O’Brien Red Flags & Your Rights As An Investor Of course, Michael O’Brien 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 O’Brien at NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Michael O’Brien has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLIFE Securities also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At NYLIFE Securities Due To Michael O’Brien If you have questions about NYLIFE Securities and/or Michael O’Brien 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

Jay Brown formerly with Arete Wealth Management

DID JAY NATHAN BROWN CAUSE YOU INVESTMENT LOSSES? Jay Brown Formerly With Arete Wealth Management Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jay Brown formerly with Arete Wealth Management? Jay Brown (CRD #2312356) who was formerly registered with Arete Wealth Management and located in San Francisco, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Arete Wealth Management, Jay Brown was associated with and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jay Brown Customer Complaints Jay Brown has been the subject of 2 customer complaints that we know about. One of Jay Brown’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against The Optimized RIA for investment losses caused by Jay Brown’s alleged misconduct. Allegations Against Jay Brown A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Complaint alleged Jay Brown’s breach of fiduciary duty and common law negligence in connection with the sale of and method of funding used to purchase indexed universal life insurance product. Fraud and Financial Elder Abuse allegedly committed by Jay Brown connection with a promissory note investment. Jay Brown Red Flags & Your Rights As An Investor Of course, Jay Brown 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 Jay Brown at Arete Wealth Management on alert to review carefully the activity and performance of their accounts and question whether Jay Brown has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arete Wealth Management 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 Arete Wealth Management Due To Jay Brown If you have questions about Arete Wealth Management and/or Jay Brown 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

Joseph Burdi of Northwestern Mutual Investment Services

DID JOSEPH BURDI CAUSE YOU INVESTMENT LOSSES? Joseph Burdi Of Northwestern Mutual Investment Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joseph Burdi of Northwestern Mutual Investment Services? Joseph Burdi (CRD #1742582) who is currently registered with Northwestern Mutual Investment Services and located in Annandale, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Joseph Burdi Customer Complaints Joseph Burdi 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 Joseph Burdi’s customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against Joseph Burdi A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: A client alleged that Joseph Burdi did not liquidate funds in his advisory IRA account to cash as he requested, resulting in loss of account value during a downturn in the market. The customers alleged Joseph Burdi misrepresented the variable life insurance policies they purchased. Joseph Burdi Red Flags & Your Rights As An Investor Of course, Joseph Burdi 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 Joseph Burdi at Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Joseph Burdi 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 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 Northwestern Mutual Investment Services Due To Joseph Burdi If you have questions about Northwestern Mutual Investment Services and/or Joseph Burdi 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 Burgess of MML Investors Services

DID MICHAEL HOWARD BURGESS CAUSE YOU INVESTMENT LOSSES? Michael Burgess Of MML Investors Services And Formerly With MSI Financial Services Has 7 Customer Complaints For Alleged Broker Misconduct Who is Michael Burgess of MML Investors Services? Michael Burgess (CRD #2175907) who is currently registered with MML Investors Services and located in Bryant, Arkansas is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Michael Burgess was associated with MSI Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Burgess Customer Complaints Michael Burgess has been the subject of 7 customer complaints that we know about.  All of Michael Burgess’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Michael Burgess 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 Michael Burgess’ advice led to unsuitable investments given her age & financial situation & requests reimbursement for all sums lost due to his negligence and improper financial advice. Client alleged the variable life insurance policy she purchased was not suitable for her needs allegedly made by Michael Burgess. In addition, the client claims she continues to lose money in her variable annuities because the agent placed her in high risk technology stocks and continues to tell her to stay in the sub-accounts until the market changes. Customer alleged Michael Burgess reallocated the subaccounts of a variable annuity, without customer’s knowledge or authorization. Customer alleged Michael Burgess’ recommendation to purchase a variable annuity with funds from a home equity loan was not appropriate. Customer alleges he instructed Michael Burgess to transfers the funds in his variable annuity and the transfer was not completed as instructed. Customer alleged Michael Burgess placed her in investment vehicles that were higher than her risk tolerance and he did not evaluate her risk profile. The customer alleged that he was never informed of and misled on certain features of his Variable Universal Life Insurance policy when it was sold to him by Michael Burgess. Michael Burgess Red Flags & Your Rights As An Investor Of course, Michael Burgess 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 Burgess at MML Investors Services and MSI Financial Services on alert to review carefully the activity and performance of their accounts and question whether Michael Burgess 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 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 MML Investors Services Due To Michael Burgess If you have questions about MML Investors Services, MSI Financial Services, and/or Michael Burgess 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

Jeff Burnham formerly with Citizens Securities

DID JEFF BURNHAM CAUSE YOU INVESTMENT LOSSES? Jeff Burnham Formerly With Citizens Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Jeff Burnham formerly with Citizens Securities? Jeff Burnham (CRD #2839082) who was formerly registered with Citizens Securities and located in Bedford, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Jeff Burnham Customer Complaint Jeff Burnham 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 theft of funds. Jeff Burnham’s customer complaint was denied and, to date, the has not taken any further action. Jeff Burnham Red Flags & Your Rights As An Investor Of course, Jeff Burnham 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 Jeff Burnham at Citizens Securities on alert to review carefully the activity and performance of their accounts and question whether Jeff Burnham has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Citizens 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 Citizens Securities Due To Jeff Burnham If you have questions about Citizens Securities and/or Jeff Burnham 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

Daniel Burns of Edward Jones

DID DANIEL BURNS CAUSE YOU INVESTMENT LOSSES? Daniel Burns Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Daniel Burns of Edward Jones? Daniel Burns (CRD #3073422) who is currently registered with Edward Jones and located in Gahanna, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Daniel Burns Customer Complaint Daniel Burns 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 Daniel Burns removed her name from a joint account without her permission and “took their money for his own.” Daniel Burns’ customer complaint was denied and, to date, the customer has not taken any further action. Daniel Burns Red Flags & Your Rights As An Investor Of course, Daniel Burns 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 Daniel Burns at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Daniel Burns 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 Daniel Burns If you have questions about Edward Jones and/or Daniel Burns 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 Brown of LPL Financial

DID MATTHEW S. BROWN CAUSE YOU INVESTMENT LOSSES? Matthew Brown Of LPL Financial And Formerly With Ameriprise Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Matthew Brown of LPL Financial? Matthew Brown (CRD #2031250) who is currently registered with LPL Financial and located in Fenton, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Matthew Brown was associated with Ameriprise Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Matthew Brown Customer Complaint Matthew Brown 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 advisor placed sell orders in several of their brokerage accounts, without their authorization. Matthew Brown’s customer complaint was denied and the customers did not take any further action. Matthew Brown Red Flags & Your Rights As An Investor Of course, Matthew Brown 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 Brown at LPL Financial and Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Matthew Brown has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and 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 LPL Financial Due To Matthew Brown If you have questions about LPL Financial, Ameriprise Financial Services, and/or Matthew Brown 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

Stephanie Brown of Morgan Stanley

DID STEPHANIE M. BROWN CAUSE YOU INVESTMENT LOSSES? Stephanie Brown Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Stephanie Brown of Morgan Stanley? Stephanie Brown (CRD #3073638) who is currently registered with Morgan Stanley and located in Paramus, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Stephanie Brown Customer Complaint Stephanie Brown 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 attorney for estate alleged, inter alia, that Stephanie Brown’s team did not prevent conversion of funds by POA from accounts of now deceased client. The customer complaint filed against Stephanie Brown’s current employer MSSB for investment losses caused by the alleged misconduct is pending as of the date of this report. Stephanie Brown Red Flags & Your Rights As An Investor Of course, Stephanie Brown 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 Stephanie Brown at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Stephanie Brown 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 Stephanie Brown If you have questions about Morgan Stanley and/or Stephanie Brown 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

Shawn Burns formerly with Salomon Whitney Financial

DID SHAWN EVAN BURNS CAUSE YOU INVESTMENT LOSSES? Shawn Burns Formerly With Salomon Whitney Financial Has 24 Customer Complaints For Alleged Broker Misconduct Who is Shawn Burns formerly with Salomon Whitney Financial? Shawn Burns (CRD #3138114) who was formerly registered with Salomon Whitney Financial and located in Farmingdale, New York is a subject of one of our many securities industry sales practice abuse investigations. Shawn Burns was also the subject of a FINRA investigation and failed to respond to its request for information.  As a result, he was permanently barred from any further association with any member firm in any capacity. Shawn Burns Customer Complaints Shawn Burns has been the subject of 24 customer complaints that we know about. Eighteen of Shawn Burns’ 24 customer complaints were settled in favor of investors. Four of Shawn Burns’ customers’ complaints were denied and, to date, the customers have not taken any further action. There are currently two pending customer complaints filed against Murphy & Durieu and Salomon Whitney Financial for investment losses caused by Shawn Burns’ alleged misconduct. Allegations Against Shawn Burns A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Shawn Burns’ alleged churning, negligence, unsuitability, unauthorized trading, breach of contract. Client alleged unauthorized trading by Shawn Burns. Customer alleged excessive, unsuitable and unauthorized trading in his accounts made by Shawn Burns. Excessive trading, suitability, negligence allegedly by Shawn Burns. Excessive trading, unsuitable investment strategy recommendations, negligence, breach of contract allegedly committed by Shawn Burns. Shawn Burns’ alleged failure to follow instructions resulting in loss of investment. Shawn Burns’ alleged failure to place a stop loss order on 10,000 shares of CIENA Corp. Shawn Burns’ alleged fraud, churning, misrepresentation, suitability and breach of fiduciary duty. Allegedly Shawn Burns was not authorized to buy 1500 WNR with check received; the check allegedly should have been placed in retirement account. Shawn Burns’ alleged Suitability, Breach of Fiduciary Duty, Breach of Contract. The customer claimed Shawn Burns allegedly used high pressure sales tactics to purchase securities and/or equities. The customer claimed that during his time with Salomon Whitney and Cape Securities, Shawn Burns allegedly practiced high-pressure sales with him, churned his account, and recommended unsuitable trades. Unauthorized trading allegedly by Shawn Burns. Unsuitability, Churning, execution of trades without customer approval, misstatements/or Omission of material facts allegedly by Shawn Burns. Shawn Burns’ alleged unsuitable investments, excessive trading. Shawn Burns’ alleged unauthorized use of margin. Shawn Burns’ alleged breach of fiduciary duty, negligence, breach of contract. Churning, unauthorized trading, breach of fiduciary duty, lack of supervision, common law fraud and negligence allegedly made by Shawn Burns. Shawn Burns’ alleged unsuitability, breach of fiduciary duty, negligence, breach of contract. Shawn Burns’ alleged unsuitability, omissions and misrepresentations, breach of fiduciary duty, unauthorized trading, and negligence. Shawn Burns Red Flags & Your Rights As An Investor Of course, Shawn Burns 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 Shawn Burns at Salomon Whitney Financial on alert to review carefully the activity and performance of their accounts and question whether Shawn Burns has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Salomon Whitney Financial 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 Salomon Whitney Financial Due To Shawn Burns If you have questions about Salomon Whitney Financial and/or Shawn Burns 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 Burns Formerly With Broadridge Business Process Outsourcing

DID THOMAS BURNS CAUSE YOU INVESTMENT LOSSES? Thomas Burns Formerly With Broadridge Business Process Outsourcing Has 2 Customer Complaints For Alleged Broker Misconduct Who is Thomas Burns formerly with Broadridge Business Process Outsourcing? Thomas Burns (CRD #2819081) who was formerly registered with Broadridge Business Process Outsourcing and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Thomas Burns Customer Complaints Thomas Burns has been the subject of 2 customer complaints that we know about. Two of Thomas Burns’ 2 customer complaints were settled in favor of investors. Allegations Against Thomas Burns 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 failure to supervise with respect to Thomas Burns’ management of account. The customer alleged misrepresentation by Thomas Burns. Thomas Burns Red Flags & Your Rights As An Investor Of course, Thomas Burns 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 Burns at Broadridge Business Process Outsourcing on alert to review carefully the activity and performance of their accounts and question whether Thomas Burns has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Broadridge Business Process Outsourcing 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 Broadridge Business Process Outsourcing Due To Thomas Burns If you have questions about Broadridge Business Process Outsourcing and/or Thomas Burns 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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