Jan 26, 2023

James Merrill of Edward Jones

DID JAMES D. MERRILL CAUSE YOU INVESTMENT LOSSES? James Merrill Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is James Merrill of Edward Jones? James Merrill (CRD #4198174) who is currently registered with Edward Jones and located in Albany, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Edward Jones, James Merrill was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Merrill Customer Complaint James Merrill has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were allegations by a person holding a power of attorney of a mentally impaired client that the financial advisor was aware of the misappropriation from customer’s account and did not report same. Further, that the financial advisor did not act in the best interest of the client with regard to the purchase of an annuity. James Merrill Red Flags & Your Rights As An Investor Of course, James Merrill did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Merrill at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether James Merrill 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 James Merrill If you have questions about Edward Jones and/or James Merrill and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 25, 2023

James Docster of Cambridge Investments Research, Inc.

DID JAMES C. DOCSTER CAUSE YOU INVESTMENT LOSSES? James Docster Of Cambridge Investments Research, Inc. And Formerly With LPL Financial LLC and Waddell & Reed Has 3 Customer Complaints For Alleged Broker Misconduct Who is James Docster of Cambridge Investments Research, Inc.? James Docster (CRD #4278411) who is currently registered with Cambridge Investments Research, Inc. and located in Jacksonville, Florida, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Cambridge Investments Research, Inc., James Docster was associated with LPL Financial LLC and Waddell & Reed and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Docster Customer Complaints James Docster has been the subject of 3 customer complaints that we know about to recover investment losses. One customer complaint was settled by James Docster’s former employer in favor of the investor. The other 2 customer complaints were denied and, to date, the customers took no further action. Allegations Against James Docster A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Docster Red Flags & Your Rights As An Investor Of course, James Docster did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Docster at Cambridge Investments Research, Inc., LPL Financial LLC and Waddell & Reed on alert to review carefully the activity and performance of their accounts and question whether James Docster has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investments Research, Inc., LPL Financial LLC and Waddell & Reed 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 Cambridge Investments Research, Inc.  Due To James Docster If you have questions about Cambridge Investments Research, Inc., LPL Financial LLC, Waddell & Reed and/or James Docster and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 25, 2023

James Killeen of Stifel, Nicolaus & Company Incorporated

DID JAMES CHARLES KILLEEN CAUSE YOU INVESTMENT LOSSES? James Killeen Of Stifel, Nicolaus & Company Incorporated Has A Customer Complaint For Alleged Broker Misconduct Who is James Killeen of Stifel, Nicolaus & Company Incorporated? James Killeen (CRD #2666093) who is currently registered with Stifel, Nicolaus & Company Incorporated and located in Pasadena, California, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Stifel, Nicolaus & Company Incorporated, James Killeen was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Killeen Customer Complaint James Killeen has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for failure to disclose risks associated with purchase of a security. James Killeen’s employer denied the complaint and today, the customer has not taken any further action. James Killeen Red Flags & Your Rights As An Investor Of course, James Killeen did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Killeen at Stifel, Nicolaus & Company Incorporated on alert to review carefully the activity and performance of their accounts and question whether James Killeen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company Incorporated 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 Stifel, Nicolaus & Company Incorporated Due To James Killeen If you have questions about Stifel, Nicolaus & Company Incorporated and/or James Killeen and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 25, 2023

James Wagner of LPL Financial LLC

DID JAMES BRUCE WAGNER CAUSE YOU INVESTMENT LOSSES? James Wagner Of LPL Financial LLC And Formerly With Waddell & Reed Has A Customer Complaint For Alleged Broker Misconduct Who is James Wagner of LPL Financial LLC? James Wagner (CRD #1485336) who is currently registered with LPL Financial LLC and located in New Albany, Indiana, is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, James Wagner was associated with Waddell & Reed and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Wagner Customer Complaint James Wagner has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were the financial advisor’s delay in settling a deceased client’s accounts caused damages. The complaint was settled in favor of the investor. James Wagner Red Flags & Your Rights As An Investor Of course, James Wagner did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Wagner at LPL Financial LLC and Waddell & Reed on alert to review carefully the activity and performance of their accounts and question whether James Wagner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Waddell & Reed 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 LPL Financial LLC Due To James Wagner If you have questions about LPL Financial LLC, Waddell & Reed and/or James Wagner and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 25, 2023

James Schwartz formerly with Joseph Gunnar & Co. LLC

DID JAMES BRADLEY SCHWARTZ CAUSE YOU INVESTMENT LOSSES? James Schwartz Formerly With Joseph Gunnar & Co. LLC Has 12 Customer Complaints For Alleged Broker Misconduct Who is James Schwartz formerly with Joseph Gunnar & Co. LLC? James Schwartz (CRD #3043085) who was formerly registered with Joseph Gunnar & Co. LLC and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Joseph Gunnar & Co. LLC, James Schwartz was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Schwartz has had his own share regulatory problems. In 2019, James Schwartz was permanently barred by FINRA from any further association with any member firm for allegedly excessively trading the accounts of customers of his member firm and other sales practice violations. James Schwartz Customer Complaints James Schwartz has been the subject of 12 customer complaints that we know about to recover investment losses. Eleven customer complaints were settled by his former employers in favor of the investors. One customer complaint for unauthorized trading was denied by the brokerage firm and the customer took no further action. Allegations Against James James Schwartz A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Schwartz Red Flags & Your Rights As An Investor Of course, James Schwartz did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Schwartz at Joseph Gunnar & Co. LLC on alert to review carefully the activity and performance of their accounts and question whether James Schwartz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Joseph Gunnar & Co. LLC 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 Gunnar & Co. LLC Due To James Schwartz If you have questions about Joseph Gunnar & Co. LLC and/or James Schwartz and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 25, 2023

James Barrett J.P. Morgan Securities LLC

DID JAMES BARRETT CAUSE YOU INVESTMENT LOSSES? James Barrett Of J.P. Morgan Securities LLC And Formerly With Northwestern Mutual Investment Services, LLC, Has A Customer Complaint For Alleged Broker Misconduct Who is James Barrett of J.P. Morgan Securities LLC? James Barrett (CRD #6040059) who is currently registered with J.P. Morgan Securities LLC and located in Chicago Illinois, is a subject of one of our many securities industry sales practice abuse investigations. Prior to J.P. Morgan Securities LLC, James Barrett was associated with Northwestern Mutual Investment Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Barrett Customer Complaint James Barrett has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for allegedly making misrepresentations regarding a variable annuity investment. J.P. Morgan Securities settled the customer complaint in favor of the investor. James Barrett Red Flags & Your Rights As An Investor Of course, James Barrett did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Barrett at J.P. Morgan Securities LLC and Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether James Barrett has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities LLC and Northwestern Mutual Investment Services, LLC 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 J.P. Morgan Securities LLC Due To James Barrett If you have questions about J.P. Morgan Securities LLC, Northwestern Mutual Investment Services, LLC and/or James Barrett and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 25, 2023

James Allen of Oppenheimer & Co. Inc.

DID JAMES ARTHUR ALLEN CAUSE YOU INVESTMENT LOSSES? James Allen Of Oppenheimer & Co. Inc. And Formerly With Sanctuary Advisors, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Allen of Oppenheimer & Co. Inc.? James Allen (CRD #2287824) who is currently registered with Oppenheimer & Co. Inc. and located in Chicago, Illinois, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Oppenheimer & Co. Inc., James Allen was associated with Oppenheimer & Co. Inc., Sanctuary Advisors, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Allen Customer Complaints James Allen has been the subject of 2 customer complaints that we know about to recover investment losses. Both customer complaints were settled by James Allen’s employer in favor of the investors. Allegations Against James Allen A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Allen Red Flags & Your Rights As An Investor Of course, James Allen did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Allen at Oppenheimer & Co. Inc. and Sanctuary Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether James Allen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. Inc. and Sanctuary Advisors, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Oppenheimer & Co. Inc. Due To James Allen If you have questions about Oppenheimer & Co. Inc., Sanctuary Advisors, LLC and/or James Allen and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 24, 2023

James Bologna of Allstate Financial Services, LLC

DID JAMES ANTHONY BOLOGNA CAUSE YOU INVESTMENT LOSSES? James Bologna Of Allstate Financial Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Bologna of Allstate Financial Services, LLC? James Bologna (CRD #3232798) who is currently registered with Allstate Financial Services, LLC and located in Macomb, Michigan, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Allstate Financial Services, LLC, James Bologna was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Investment Losses? We Can Help. or, give us a ring at (800) 732-2889. James Bologna Customer Complaints James Bologna has been the subject of 2 customer complaints that we know about to recover investment losses. Both customer disputes were settled in favor of the investors. Allegations Against James Bologna A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Bologna Red Flags & Your Rights As An Investor Of course, James Bologna did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Bologna at Allstate Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether James Bologna has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Allstate Financial Services, LLC 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. Did You Lose Money Because of Stockbroker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Allstate Financial Services, LLC Due To James Bologna If you have questions about Allstate Financial Services, LLC and/or James Bologna and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 24, 2023

James Franklin Of Cetera Advisor Networks LLC

DID JAMES A. FRANKLIN CAUSE YOU INVESTMENT LOSSES? James Franklin Of Cetera Advisor Networks LLC And Formerly With 1st Global Advisors Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Franklin Of Cetera Advisor Networks LLC? James Franklin (CRD #4799613) who is currently registered with Cetera Advisor Networks LLC and located in Houston, Texas, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Cetera Advisor Networks LLC, James Franklin was associated with1st Global Advisors Inc, and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Franklin Customer Complaints James Franklin has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by Investor’s Capital Corporation in favor of the investor. The same brokerage firm denied another customer complaint and it appears that the customer has not taken any further action. Allegations Against James Franklin A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: James Franklin Red Flags & Your Rights As An Investor Of course, James Franklin did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Franklin at Cetera Advisor Networks LLC and 1st Global Advisors Inc. on alert to review carefully the activity and performance of their accounts and question whether James Franklin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks LLC and 1st Global Advisors Inc. 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 Cetera Advisor Networks LLC Due To James Franklin If you have questions about Cetera Advisor Networks LLC, 1st Global Advisors Inc. and/or James Franklin and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 24, 2023

James Breslin formerly with Park Avenue Securities LLC

DID JAMES A. BRESLIN CAUSE YOU INVESTMENT LOSSES? James Breslin Formerly With Park Avenue Securities LLC Has A Customer Complaint For Alleged Broker Misconduct Who is James Breslin formerly with Park Avenue Securities LLC? James Breslin (CRD #1067932) who was formerly registered with Park Avenue Securities LLC and located in Middleton, Massachusetts, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Park Avenue Securities LLC, James Breslin was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Breslin Customer Complaint James Breslin has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for failure to follow customer’s instructions to execute in order to purchase shares of Tesla stock. James Breslin’s employer settle the dispute in favor of the investor. James Breslin Red Flags & Your Rights As An Investor Of course, James Breslin did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Breslin at Park Avenue Securities LLC on alert to review carefully the activity and performance of their accounts and question whether James Breslin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Park Avenue Securities LLC 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 Park Avenue Securities LLC Due To James Breslin If you have questions about Park Avenue Securities LLC and/or James Breslin and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading