Mar 8, 2022

Scott Smallman Of Wedbush Securities

DID SCOTT ALAN SMALLMAN CAUSE YOU INVESTMENT LOSSES? Scott Smallman Of Wedbush Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Scott Smallman of Wedbush Securities? Scott Smallman (CRD #1022862) who is currently registered with Wedbush Securities and located in Seattle, Washington is a subject of one of our many securities industry sales practice abuse investigations. Scott Smallman Customer Complaint Scott Smallman 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 excessive trading and poor performance to their investments. Scott Smallman’s customer complaint was denied and, to date, the customer has not taken any further action. Scott Smallman Red Flags & Your Rights As An Investor Of course, Scott Smallman did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Scott Smallman at Wedbush Securities on alert to review carefully the activity and performance of their accounts and question whether Scott Smallman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wedbush 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 Wedbush Securities Due To Scott Smallman If you have questions about Wedbush Securities and/or Scott Smallman 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

Andrew Soltis Of Vanguard Marketing

DID ANDREW SOLTIS CAUSE YOU INVESTMENT LOSSES? Andrew Soltis Of Vanguard Advisers, Vanguard Marketing Has A Customer Complaint For Alleged Broker Misconduct Who is Andrew Soltis of Vanguard Marketing? Andrew Soltis (CRD #1286238) who is currently registered with Vanguard Advisers, Vanguard Marketing and located in Malvern, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations Andrew Soltis Customer Complaint Andrew Soltis 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 refused to change her plan after she informed him she would not have enough for living expenses.  The customer complaint was denied, and, to date, the customer has not taken any further action. Andrew Soltis Red Flags & Your Rights As An Investor Of course, Andrew Soltis 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 Andrew Soltis at Vanguard Advisers and Vanguard Marketing on alert to review carefully the activity and performance of their accounts and question whether Andrew Soltis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vanguard Advisers and Vanguard Marketing 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 Vanguard Marketing and Vanguard Advisers Due To Andrew Soltis If you have questions about Vanguard Advisers, Vanguard Marketing, and/or Andrew Soltis 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

Roberta Stafford Of Wellington Shields & Co.

DID ROBERTA KAY STAFFORD CAUSE YOU INVESTMENT LOSSES? Roberta Stafford Of Wellington Shields Capital Management, Wellington Shields & Co. Has A Customer Complaint For Alleged Broker Misconduct Who is Roberta Stafford of Wellington Shields  & Co.? Roberta Stafford (CRD #865356) who is currently registered with Wellington Shields Capital Management, Wellington Shields & Co. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Roberta Stafford Customer Complaint Roberta Stafford 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 in late January and early February, 2020. Client emailed the firm and the registered representative denying the opening of the new account (and, in fact, denying any client relationship) and demanding that the securities be transferred back to the sister’s account at the higher value existing before the market turmoil. In so claiming, the client alleged that the new account was never opened or that if opened, the holdings should have been immediately sold, without offering any foundation or basis for such contention. The client seeks damages consisting of the difference in value of the holdings prior to the transfer and their current value. Roberta Stafford’s customer complaint was denied and, to date, the customer has not taken any further action. Roberta Stafford Red Flags & Your Rights As An Investor Of course, Roberta Stafford 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 Roberta Stafford at Wellington Shields Capital Management, Wellington Shields & Co. on alert to review carefully the activity and performance of their accounts and question whether Roberta Stafford has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wellington Shields Capital Management, Wellington Shields & Co. 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 Wellington Shields & Co. and Wellington Shields Capital Management Due To Roberta Stafford If you have questions about Wellington Shields & Co., Wellington Shields Capital Management, and/or Roberta Stafford 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

Randall Thompkins Formerly With Morgan Stanley

DID RANDALL JAY THOMPKINS CAUSE YOU INVESTMENT LOSSES? Randall Thompkins Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Randall Thompkins formerly with Morgan Stanley? Randall Thompkins (CRD #1047554) who was formerly registered with Morgan Stanley and located in San Francisco, California is a subject of one of our many securities industry sales practice abuse investigations. Randall Thompkins Customer Complaint Randall Thompkins 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 instructions to reallocate her mother’s accounts were not followed timely. Randall Thompkins’ customer complaint was settled in favor of the investors. Randall Thompkins Red Flags & Your Rights As An Investor Of course, Randall Thompkins 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 Randall Thompkins at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Randall Thompkins 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 Randall Thompkins If you have questions about Morgan Stanley and/or Randall Thompkins 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

Clinton Tighe Of Wells Fargo Clearing Services

DID CLINTON GEORGE TIGHE CAUSE YOU INVESTMENT LOSSES? Clinton Tighe Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Clinton Tighe of Wells Fargo Clearing Services? Clinton Tighe (CRD #715565) who is currently registered with Wells Fargo Clearing Services and located in Orlando, Florida is a subject of one of our many securities industry sales practice abuse investigations. Clinton Tighe Customer Complaint Clinton Tighe 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 financial advisor provided incorrect tax advice, resulting in a significant tax liability. Clinton Tighe’s customer complaint was settled in favor of the investors. Clinton Tighe Red Flags & Your Rights As An Investor Of course, Clinton Tighe 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 Clinton Tighe at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Clinton Tighe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services Due To Clinton Tighe If you have questions about Wells Fargo Clearing Services and/or Clinton Tighe 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 Tonyan Of SagePoint Financial

DID JOSEPH WILLIAM TONYAN CAUSE YOU INVESTMENT LOSSES? Joseph Tonyan Of SagePoint Financial Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joseph Tonyan of SagePoint Financial? Joseph Tonyan (CRD #1252187) who is currently registered with SagePoint Financial and located in Springfield, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Joseph Tonyan Customer Complaints Joseph Tonyan 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. One of Joseph Tonyan’s customer complaint was settled in favor of the investors. One of Joseph Tonyan’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Joseph Tonyan 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 suitability concerns regarding portfolio allocation by Joseph Tonyan. Customer alleged that Joseph Tonyan made unsuitable investment recommendations. Joseph Tonyan Red Flags & Your Rights As An Investor Of course, Joseph Tonyan 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 Tonyan at SagePoint Financial on alert to review carefully the activity and performance of their accounts and question whether Joseph Tonyan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SagePoint Financial 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 SagePoint Financial Due To Joseph Tonyan If you have questions about SagePoint Financial and/or Joseph Tonyan 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

Craig Senn of Securities America

DID CRAIG SMITH SENN CAUSE YOU INVESTMENT LOSSES? Craig Senn Of Securities America, Securities America Advisors Has 4 Customer Complaints For Alleged Broker Misconduct Who is Craig Senn of Securities America? Craig Senn (CRD #866245) who is currently registered with Securities America, Securities America Advisors and located in Mendota Heights, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Craig Senn Customer Complaints Craig Senn has been the subject of 4 customer complaints that we know about. One of Craig Senn’s 4 customer complaints was settled in favor of investors. Three of Craig Senn’s customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against Craig Senn 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 two ING variable annuities were sold with an income rider by Craig Senn, however, the contracts were not issued with the income rider discussed. Customer also alleges the contracts were not delivered to him. Customer alleged Craig Senn failed to place trades to reallocate funds in an ING variable annuity. The client alleged that Craig Senn’s recommendation to purchase a variable annuity was not suitable. The complaint alleged that in the sale of Allianz Vision variable annuities, Craig Senn misrepresented the tax benefit of using a tax deferred annuity within a 401(k) plan, and that he misrepresented that the product guaranteed a 7% return and certain guarantees locking in values on the contract anniversary dates, and that participants did not receive policies or account statements for approximately one year. The complaint also alleges that in four contracts, employees instructed that funds be exchanged from a money market subaccount to various other subaccounts, and that Allianz rebalanced each contract entirely back to the money market. Craig Senn Red Flags & Your Rights As An Investor Of course, Craig Senn 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 Craig Senn at Securities America and Securities America Advisors on alert to review carefully the activity and performance of their accounts and question whether Craig Senn has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America and Securities America 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 Securities America Due To Craig Senn If you have questions about Securities America, Securities America Advisors, and/or Craig Senn and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Peter Shanahan of Robert W. Baird Co.

DID PETER HARRY SHANAHAN CAUSE YOU INVESTMENT LOSSES? Peter Shanahan Of Robert W. Baird Co. And Formerly With J.J.B. Hilliard W.L. Lyons Has 3 Customer Complaints For Alleged Broker Misconduct Who is Peter Shanahan of Robert W. Baird Co.? Peter Shanahan (CRD #1386092) who is currently registered with Robert W. Baird Co.and located in Hendersonville, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Robert W. Baird Co., Peter Shanahan was associated with J.J.B. Hilliard W.L. Lyons and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Peter Shanahan Customer Complaints Peter Shanahan has been the subject of 3 customer complaints that we know about. Three of Peter Shanahan’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Peter Shanahan 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 Peter Shanahan had their stock portfolio at another firm liquidated against their wishes. Client alleged that although liquidation authorizations were signed, authorization was not given to Mr. Shanahan to forward the liquidation requests to their prior firm. Client alleged poor advice was given to her by Peter Shanahan regarding the purchase of a variable annuity. The client alleged his Universal Life Insurance Policy by Peter Shanahan was unsuitable. Peter Shanahan Red Flags & Your Rights As An Investor Of course, Peter Shanahan did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Peter Shanahan at Robert W. Baird Co. and J.J.B. Hilliard W.L. Lyons on alert to review carefully the activity and performance of their accounts and question whether Peter Shanahan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Robert W. Baird Co. and J.J.B. Hilliard W.L. Lyons 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 Robert W. Baird Co. Due To Peter Shanahan If you have questions about Robert W. Baird Co., J.J.B. Hilliard W.L. Lyons, and/or Peter Shanahan 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

J Powers Shepard of Morgan Stanley

DID J POWERS SHEPARD CAUSE YOU INVESTMENT LOSSES? Powers Shepard Of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is J Powers Shepard of Morgan Stanley? J Powers Shepard (CRD #1334664) who is currently registered with Morgan Stanley and located in Oak Bluffs, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. J Powers Shepard Customer Complaints J Powers Shepard 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. One of J Shepard’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Morgan Stanley for investment losses caused by J Shepard’s alleged misconduct. Allegations Against J Powers Shepard 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 J Powers Shepard recommended a structured note issued by Lehman Brothers and misrepresented the terms of the investment. Client’s agent alleged, inter alia, that hedge funds purchased for the client by J Powers Shepard were unsuitable. J Powers Shepard Red Flags & Your Rights As An Investor Of course, J. Powers Shepard 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 J Powers Shepard at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether J Powers Shepard 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 J Powers Shepard If you have questions about Morgan Stanley and/or J Powers Shepard 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

Bryan Shevak of LPL Financial

DID BRYAN KEITH SHEVAK CAUSE YOU INVESTMENT LOSSES? Bryan Shevak Of LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Bryan Shevak of LPL Financial? Bryan Shevak (CRD #1038351) who is currently registered with LPL Financial and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Bryan Shevak Customer Complaint Bryan Shevak 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 by claimant, who is the son of the deceased customer and brother-in-law of the representative, were that the representative used his influence over the customer, his mother-in-law, to misappropriate money from her account and to remove claimant as the trustee of the customer’s trust. Claimant further alleged that representative’s investments for the customer’s accounts declined in value when the accounts should have increased in value above what was being withdrawn for customer’s necessary living expenses. The customer complaint filed against Bryan Shevak’s current employer LPL Financial for investment losses caused by the alleged misconduct is pending as of the date of this report. Bryan Shevak Red Flags & Your Rights As An Investor Of course, Bryan Shevak 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 Bryan Shevak at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Bryan Shevak has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial 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 Bryan Shevak If you have questions about LPL Financial and/or Bryan Shevak 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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