Mar 8, 2022

Howard Lee of Morgan Stanley

DID HOWARD LEE CAUSE YOU INVESTMENT LOSSES? Howard Lee of Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct Who is Howard Lee of Morgan Stanley? Howard Lee (CRD #305269) who is currently registered with Morgan Stanley and located in Westlake Village, California is a subject of one of our many securities industry sales practice abuse investigations. Howard Lee Customer Complaints Howard Lee 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. Two of Howard Lee’s 3 customer complaints were settled in favor of investors. One of Howard Lee’s customers’ complaints was denied and the customers did not take any further action. Allegations Against Howard Lee A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged that Howard Lee made unsuitable investment recommendations and engaged in unauthorized trading. Client alleged misrepresentation by Howard Lee with respect to managed accounts. The claimants are alleged, among other things, unsuitable recommendations with respect to investments in accounts made by Howard Lee. Howard Lee Red Flags & Your Rights As An Investor Of course, Howard Lee 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 Howard Lee at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Howard Lee 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 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 Morgan Stanley Due To Howard Lee If you have questions about Morgan Stanley and/or Howard Lee 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

Christopher Cochrane of Wells Fargo Clearing Services

DID CHRISTOPHER R. COCHRANE CAUSE YOU INVESTMENT LOSSES? Christopher Cochrane Of Wells Fargo Clearing Services Has 8 Customer Complaints For Alleged Broker Misconduct Who is Christopher Cochrane of Wells Fargo Clearing Services? Christopher Cochrane (CRD #2121318) who is currently registered with Wells Fargo Clearing Services and located in Appleton, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Christopher Cochrane Customer Complaints Christopher Cochrane has been the subject of 8 customer complaints that we know about. Seven of Christopher Cochrane’s 8 customer complaints were settled in favor of investors. One of Christopher Cochrane’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Christopher Cochrane 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 Christopher Cochrane was part of a team that over-concentrated her portfolio in unsuitable investments. Claimant alleged violation of the Wisconsin Uniform Securities Law; common law fraud and misrepresentation; violation of NASD Conduct Rules 2110, 2120, 2310 and 3010; breach of fiduciary duty; negligence; and negligent supervision allegedly committed by Christopher Cochrane. Client alleged that Christopher Cochrane recommended the client invest half her portfolio in high risk energy stocks. Client alleged Christopher Cochrane’s unsuitable energy investments. Client verbally alleged that she lost money and told Christopher Cochrane she wanted more diversity in her accounts and he failed to follow her instructions. Client verbally alleged Christopher Cochrane did not properly represent the risk of a position held within the account. Christopher Cochrane Red Flags & Your Rights As An Investor Of course, Christopher Cochrane 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 Christopher Cochrane at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Christopher Cochrane 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 Christopher Cochrane If you have questions about Wells Fargo Clearing Services and/or Christopher Cochrane 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 Christopher of Raymond James Financial Services

DID THOMAS VENUTE CHRISTOPHER CAUSE YOU INVESTMENT LOSSES? Thomas Christopher Of Raymond James Financial Services And Raymond James Financial Services Advisors Has 5 Customer Complaints For Alleged Broker Misconduct Who is Thomas Christopher of Raymond James Financial Services? Thomas Christopher (CRD #3032812) who is currently registered with Raymond James Financial Services, Raymond James Financial Services Advisors and located in Conshohocken, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Thomas Christopher Customer Complaints Thomas Christopher has been the subject of 5 customer complaints that we know about. One of Thomas Christopher’s 5 customer complaints was settled in favor of investors. Four of Thomas Christopher’s customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against Thomas Christopher A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Thomas Christopher allegedly failed to exercise good faith and due care and therefore allowed third party to convert claimant’s funds to the benefit of the third party by way of fraudulent general power of attorney.  Client states that her former financial advisor, Thomas Christopher, allegedly recommended unsuitable investments. Client alleged that the investments in her account were not appropriate and that Thomas Christopher allegedly assured her that he would monitor her account. Pennsylvania client complains that Thomas Christopher allegedly failed to represent her AIG annuity contract as an annuity at the time of purchase, the broker annuitized this annuity without the client’s authorization and the broker failed to disclose that the client would be liable for federal taxes on minimum distributions from the annuity. The client further complained that the broker did not disclose that the client’s Lake Forest 3.4% CD could lose value. Client alleged investments were mismanaged by Thomas Christopher. Thomas Christopher Red Flags & Your Rights As An Investor Of course, Thomas Christopher 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 Christopher at Raymond James Financial Services and Raymond James Financial Services Advisors on alert to review carefully the activity and performance of their accounts and question whether Thomas Christopher has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services and Raymond James Financial Services Advisors also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Raymond James Financial Services Due To Thomas Christopher If you have questions about Raymond James Financial Services, Raymond James Financial Services Advisors, and/or Thomas Christopher 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

Loran Coffman formerly with EF Legacy Securities

DID LORAN SCOTT COFFMAN CAUSE YOU INVESTMENT LOSSES? Loran Coffman Formerly With EF Legacy Securities And Sanders Morris Harris Has 4 Customer Complaints For Alleged Broker Misconduct Who is Loran Coffman formerly with EF Legacy Securities? Loran Coffman (CRD #1678917) who was formerly registered with EF Legacy Securities and located in Troy, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to EF Legacy Securities, Loran Coffman was associated with Sanders Morris Harris and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Loran Coffman Customer Complaints Loran Coffman has been the subject of 4 customer complaints that we know about. One of Loran Coffman’s 4 customer complaints was settled in favor of investors. Three of Loran Coffman’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Loran Coffman 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 portfolio was over-concentrated in unsuitable investments that were inconsistent with client’s investment objectives and risk tolerance by Loran Coffman. The client claimed that he was sold NY Muni Auction Rate securities allegedly by Loran Coffman and it was not disclosed the risks and the fact that certain auctions were failing at the time of the sales. Unauthorized and unsuitable purchase allegedly by Loran Coffman. Loran Coffman Red Flags & Your Rights As An Investor Of course, Loran Coffman 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 Loran Coffman at EF Legacy Securities and Sanders Morris Harris on alert to review carefully the activity and performance of their accounts and question whether Loran Coffman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at EF Legacy Securities and Sanders Morris Harris 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 EF Legacy Securities Due To Loran Coffman If you have questions about EF Legacy Securities, Sanders Morris Harris, and/or Loran Coffman 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 Chung of J.P. Morgan Securities

DID KENNETH HWAN CHUNG CAUSE YOU INVESTMENT LOSSES? Kenneth Chung Of J.P. Morgan Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Kenneth Chung of J.P. Morgan Securities? Kenneth Chung (CRD #2980181) who is currently registered with J.P. Morgan Securities and located in Cerritos, California is a subject of one of our many securities industry sales practice abuse investigations. Kenneth Chung Customer Complaint Kenneth Chung 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 client alleges poor advice regarding managed account investment. Kenneth Chung’s customer complaint was denied and, to date, the customer has not taken any further action. Kenneth Chung Red Flags & Your Rights As An Investor Of course, Kenneth Chung 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 Kenneth Chung at J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Kenneth Chung has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities also raises questions about the brokerage 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 J.P. Morgan Securities Due To Kenneth Chung If you have questions about J.P. Morgan Securities and/or Kenneth Chung 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

Larry Cohen of Aegis Capital

DID LARRY OVADIA COHEN CAUSE YOU INVESTMENT LOSSES? Larry Cohen Of Aegis Capital And Formerly With Osprey Partners And Paulson Investment Company Has 2 Customer Complaints For Alleged Broker Misconduct Who is Larry Cohen of Aegis Capital? Larry Cohen (CRD #3191796) who is currently registered with Aegis Capitaland located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Larry Cohen was associated with Osprey Partners, Paulson Investment Company and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Larry Cohen Customer Complaints Larry Cohen has been the subject of 2 customer complaints that we know about. One of Larry Cohen’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Osprey Partners for investment losses caused by Larry Cohen’s alleged misconduct. Allegations Against Larry Cohen A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: A group of claimants alleged that Larry Cohen failed to make material disclosures regarding the claimants’ investments in two real estate projects. Client alleged that Larry Cohen executed trades in his account without his authorization. Larry Cohen Red Flags & Your Rights As An Investor Of course, Larry Cohen 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 Larry Cohen at Aegis Capital, Osprey Partners, and Paulson Investment Company on alert to review carefully the activity and performance of their accounts and question whether Larry Cohen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital, Osprey Partners, and Paulson Investment Company 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 Aegis Capital Due To Larry Cohen If you have questions about Aegis Capital, Osprey Partners, Paulson Investment Company, and/or Larry Cohen 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

Stephen Whittaker Formerly With First Financial Equity

DID STEPHEN LEROY WHITTAKER CAUSE YOU INVESTMENT LOSSES? Stephen Whittaker Formerly With First Financial Equity Has 2 Customer Complaints For Alleged Broker Misconduct Who is Stephen Whittaker formerly with First Financial Equity? Stephen Whittaker (CRD #831764) who was formerly registered with First Financial Equity and located in Surprise, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Stephen Whittaker has also been the subject of a FINRA investigation which was settled by consent with a 3 month suspension and $5,000 fine for allegedly engaging in outside business activities without the firm’s approval. Stephen Whittaker Customer Complaints Stephen Whittaker has been the subject of 2 customer complaints that we know about. One of Stephen Whittaker’s 2 customer complaints was settled in favor of investors.  One of Stephen Whittaker’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Stephen Whittaker A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Stephen Whittaker’s unauthorized trades and suitability. Customer alleged she was not told of potential tax liability by Stephen Whittaker when liquidating an annuity and not redepositing within 60 days. Stephen Whittaker Red Flags & Your Rights As An Investor Of course, Stephen Whittaker 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 Stephen Whittaker at First Financial Equity on alert to review carefully the activity and performance of their accounts and question whether Stephen Whittaker has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Financial Equity 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 First Financial Equity Due To Stephen Whittaker If you have questions about First Financial Equity and/or Stephen Whittaker 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

Anthony Williams Formerly With Merrill Lynch Pierce Fenner & Smith

DID ANTHONY WAYNE WILLIAMS CAUSE YOU INVESTMENT LOSSES? Anthony Williams Formerly With Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Anthony Williams formerly with Merrill Lynch Pierce Fenner & Smith? Anthony Williams (CRD #710963) who was formerly registered with Merrill Lynch Pierce Fenner & Smith and located in Huntington, West Virginia is a subject of one of our many securities industry sales practice abuse investigations. Stephen Whittaker Customer Complaints Anthony Williams has been the subject of 2 customer complaints that we know about. One of Anthony Williams’ 2 customer complaints was settled in favor of investors. One of Anthony Williams’ customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Anthony Williams A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client claims that he wanted a “safe” portfolio and Anthony Williams allegedly did not follow his directions. The customer’s attorney alleged Anthony Williams’ excessive trading. Anthony Williams Red Flags & Your Rights As An Investor Of course, Anthony Williams 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 Anthony Williams at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Anthony Williams 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 Anthony Williams If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Anthony Williams 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

Marc Alport of Wells Fargo Clearing Services

DID MARC HARRIS ALPORT CAUSE YOU INVESTMENT LOSSES? Marc Alport Of Wells Fargo Clearing Services And Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Marc Alport of Wells Fargo Clearing Services? Marc Alport (CRD #1567225) who is currently registered with Wells Fargo Clearing Services and located in Portland, Oregon is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Marc Alport was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Marc Alport Customer Complaints Marc Alport has been the subject of 2 customer complaints that we know about. One of Marc Alport’s 2 customer complaints was settled in favor of investors. One of Marc Alport’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Marc Alport 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 Marc Alport did not make her requested account changes at the time he was instructed. Client alleges that “I did not put in a sell on Zoltec and that Marc Alport , therefore, engage in unauthorized trading. Marc Alport Red Flags & Your Rights As An Investor Of course, Marc Alport 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 Marc Alport at Wells Fargo Clearing Services and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Marc Alport has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services and Morgan Stanley 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 Marc Alport If you have questions about Wells Fargo Clearing Services, Morgan Stanley, and/or Marc Alport 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

Donald Wojnowski Of Paulson Investment Company

DID DONALD ANTHONY WOJNOWSKI CAUSE YOU INVESTMENT LOSSES? Donald Wojnowski Of Paulson Investment Company And Formerly With Halen Capital and Newport Coast Securities Has 3 Customer Complaints For Alleged Broker Misconduct Who is Donald Wojnowski of Paulson Investment Company? Donald Wojnowski (CRD #1037990) who is currently registered with Paulson Investment Company and located in St. Petersburg, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Paulson Investment Company, Donald Wojnowski was associated with Halen Capital, Newport Coast Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Donald Wojnowski Customer Complaints Donald Wojnowski 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. Two arbitration awards were entered against Empire Financial Group, Jesup & Lamont Securities, and Paulson Investment Company for Donald Wojnowski’s alleged misconduct causing investors losses.  One of Donald Wojnowski’s customer complaints was settled in favor of investors. Allegations Against Donald Wojnowski A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Donald Wojnowski’s alleged failure to supervise. Mr. Miz alleges that he was unable to sell a security for a loss to offset gains for tax year allegedly made by Donald Wojnowski. Donald Wojnowski Red Flags & Your Rights As An Investor Of course, Donald Wojnowski 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 Donald Wojnowski at Paulson Investment Company, Halen Capital, and Newport Coast Securities on alert to review carefully the activity and performance of their accounts and question whether Donald Wojnowski has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Paulson Investment Company, Halen Capital, and Newport Coast 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 Paulson Investment Company Due To Donald Wojnowski If you have questions about Paulson Investment Company, Halen Capital, Newport Coast Securities, and/or Donald Wojnowski 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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