Mar 8, 2022

Anthony Sica of Joseph Gunnar & Co.

DID ANTHONY SICA CAUSE YOU INVESTMENT LOSSES? Anthony Sica of Joseph Gunnar & Co. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Anthony Sica of Joseph Gunnar & Co.? Anthony Sica (CRD #1332626) who is currently registered with Joseph Gunnar & Co.and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Anthony Sica has had he share of regulatory problems with 2 state investigations and one FINRA investigation resulting in a suspension for 3 months, an order of restitution, and a $20,000 fine for allegedly repeatedly recommending that an elderly customer living on a fixed income purchase high risk, speculative securities that were inconsistent with her investment profile.  Further, Anthony Sica’s alleged recommendations resulted in an undue concentration of the customer’s account speculative securities.  Moreover, the allegedly engaged in short-term in-and-out trading of’s the speculative investments in the customer’s account, causing substantial losses. Anthony Sica Customer Complaints Anthony Sica has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of Anthony Sica’s 4 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Joseph Gunnar & Co. for investment losses caused by Anthony Sica’s alleged misconduct. Allegations Against Anthony Sica 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 unsuitable investments, negligent supervision, and related causes in connection with certain private placements made by Anthony Sica. Letter received alleging Anthony Sica’s unsuitability, frequent trading, unauthorized trading and KYC customer rules. Poor performance, mismanagement and unsuitable investments allegedly by Anthony Sica. Anthony Sica Red Flags & Your Rights As An Investor Of course, Anthony Sica 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 Sica at Joseph Gunnar & Co. on alert to review carefully the activity and performance of their accounts and question whether Anthony Sica has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Joseph Gunnar & Co. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Joseph Gunnar & Co. Due To Anthony Sica If you have questions about Joseph Gunnar & Co. and/or Anthony Sica 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

Stuart Sierer of UBS Financial Services

DID STUART EDWARD SIERER CAUSE YOU INVESTMENT LOSSES? Stuart Sierer Of UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Stuart Sierer of UBS Financial Services? Stuart Sierer (CRD #423614) who is currently registered with UBS Financial Services and located in Seattle, Washington is a subject of one of our many securities industry sales practice abuse investigations. Stuart Sierer Customer Complaints Stuart Sierer 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 Stuart Sierer’s 2 customer complaints were settled in favor of investors. Allegations Against Stuart Sierer 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 unsuitable recommendations, breach of fiduciary duty, fraud, and negligence in connection with the purchase of securities in her UBS account made by Stuart Sierer. The client alleged unauthorized trading by Stuart Sierer. Stuart Sierer Red Flags & Your Rights As An Investor Of course, Stuart Sierer 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 Stuart Sierer at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Stuart Sierer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS 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 UBS Financial Services Due To Stuart Sierer If you have questions about UBS Financial Services, and/or Stuart Sierer 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

William Simmons of Ingalls & Snyder

DID WILLIAM REED SIMMONS CAUSE YOU INVESTMENT LOSSES? William Simmons Of Ingalls & Snyder Has A Customer Complaint For Alleged Broker Misconduct Who is William Simmons of Ingalls & Snyder? William Simmons (CRD #839098) who is currently registered with Ingalls & Snyder and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. William Simmons Customer Complaint William Simmons 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 poor performance with particular focus on the first quarter of 2020. Customer also alleged failure to communicate on a timely basis, failure to follow instructions and breach of fiduciary duty. William Simmons’ customer complaint was settled in favor of the investors. William Simmons Red Flags & Your Rights As An Investor Of course, William Simmons 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 William Simmons at Ingalls & Snyder on alert to review carefully the activity and performance of their accounts and question whether William Simmons has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ingalls & Snyder 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 Ingalls & Snyder Due To William Simmons If you have questions about Ingalls & Snyder and/or William Simmons 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

Rick Staggs Of Commonwealth Financial Network

DID RICK RAY STAGGS CAUSE YOU INVESTMENT LOSSES? Rick Staggs Of Commonwealth Financial Network Has A Customer Complaint For Alleged Broker Misconduct Who is Rick Staggs of Commonwealth Financial Network? Rick Staggs (CRD #1261156) who is currently registered with Commonwealth Financial Network and located in Fresno, California is a subject of one of our many securities industry sales practice abuse investigations. Rick Staggs Customer Complaint Rick Staggs 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 the representative placed trades in her account, after having already resigned himself as her advisor, without any communication prior to or after the transactions. Rick Staggs’ customer complaint was denied and, to date, the customer has not taken any further action. Rick Staggs Red Flags & Your Rights As An Investor Of course, Rick Staggs 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 Rick Staggs at Commonwealth Financial Network on alert to review carefully the activity and performance of their accounts and question whether Rick Staggs has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Commonwealth Financial Network 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 Commonwealth Financial Network Due To Rick Staggs If you have questions about Commonwealth Financial Network and/or Rick Staggs 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 Steege of Western International Securities

DID PETER BENEDICT STEEGE CAUSE YOU INVESTMENT LOSSES? Peter Steege Of Western International Securities Has 10 Customer Complaints For Alleged Broker Misconduct Who is Peter Steege of Western International Securities? Peter Steege (CRD #1060713) who is currently registered with Western International Securities and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. It appears from FINRA’s BrokerCheck that Peter Steege has had his share problems with the authorities, including 4 regulatory events with state regulators in Illinois and Georgia and the New York Stock Exchange.  Remarkably he is still registered in working in the industry with those regulatory black marks and the 10 customer complaints discussed below. Peter Steege Customer Complaints Peter Steege has been the subject of 10 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Five of Peter Steege’s 10 customer complaints were settled in favor of investors. Five of Peter Steege’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Peter Steege A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged unsuitable investment and orders being executed without authorization of the customer by Peter Steege. Breach of Fiduciary Duty, Breach of Contract, Misrepresentation allegedly by Peter Steege. Clients allege that investments recommended by Peter Steege did not match their investment objectives. Peter Steege alleged unauthorized activity. Peter Steege alleged unauthorized trade – purchase of 4000 NTPA. Unsuitable investment and unauthorized trading by Peter Steege. Peter Steege Red Flags & Your Rights As An Investor Of course, Peter Steege 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 Steege at Western International Securities on alert to review carefully the activity and performance of their accounts and question whether Peter Steege has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International 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 Western International Securities Due To Peter Steege If you have questions about Western International Securities and/or Peter Steege 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

Maurice Stuffmann of Oppenheimer & Co.

DID MAURICE GORDON STUFFMANN CAUSE YOU INVESTMENT LOSSES? Maurice Stuffmann Of Oppenheimer Asset Management, Oppenheimer & Co. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Maurice Stuffmann of Oppenheimer & Co.? Maurice Stuffmann (CRD #439058) who is currently registered with Oppenheimer Asset Management, Oppenheimer & Co.and located in Fort Worth, Texas is a subject of one of our many securities industry sales practice abuse investigations. Maurice Stuffmann Customer Complaints Maurice Stuffmann 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.  All of Maurice Stuffmann’s 3 customer complaints were settled in favor of investors. Allegations Against Maurice Stuffmann 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 Oppenheimer and Maurice Stuffmann, inter alia, misrepresented ARS as CAS equivalents. Client alleged Maurice Stuffmann’s investments were not fully explained and were unsuitable. Customer alleged that Maurice Stuffmann, along with two other RRs misrepresented a trading strategy which resulted in losses to the customer. Maurice Stuffmann Red Flags & Your Rights As An Investor Of course, Maurice Stuffmann 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 Maurice Stuffmann at Oppenheimer Asset Management, Oppenheimer & Co. on alert to review carefully the activity and performance of their accounts and question whether Maurice Stuffmann has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer Asset Management, Oppenheimer & Co. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Oppenheimer & & Co. and Oppenheimer Asset Management Due To Maurice Stuffmann If you have questions about Oppenheimer Asset Management, Oppenheimer & Co., and/or Maurice Stuffmann 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

John Taddonio formerly with Morgan Stanley

DID JOHN H TADDONIO CAUSE YOU INVESTMENT LOSSES? John Taddonio Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is John Taddonio formerly with Morgan Stanley? John Taddonio (CRD #1155530) who was formerly registered with Morgan Stanley and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. John Taddonio Customer Complaint John Taddonio 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, inter alia, unsuitability with respect to investments. The customer complaint filed against John Taddonio’s former employer Morgan Stanley for investment losses caused by the alleged misconduct is pending as of the date of this report. John Taddonio Red Flags & Your Rights As An Investor Of course, John Taddonio 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 John Taddonio at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether John Taddonio 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 John Taddonio If you have questions about Morgan Stanley and/or John Taddonio 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

George Venizelos of Wells Fargo Clearing Services

DID GEORGE NICHOLAS VENIZELOS CAUSE YOU INVESTMENT LOSSES? George Venizelos Of Wells Fargo Clearing Services Has 4 Customer Complaints For Alleged Broker Misconduct Who is George Venizelos of Wells Fargo Clearing Services? George Venizelos (CRD #1105955) who is currently registered with Wells Fargo Clearing Services and located in Westport, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. George Venizelos Customer Complaints George Venizelos has been the subject of 4 customer complaints that we know about. Two of George Venizelos’ 4 customer complaints were settled in favor of investors. One of George Venizelos’ customers’ complaints was denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Wells Fargo Advisors for investment losses caused by George Venizelos’ alleged misconduct. Allegations Against George Venizelos A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Plaintiff alleges that George Venizelos misrepresented the benefit of switching from a commission based account to a fee based account which resulted in the Plaintiff paying more in fees than he would have paid in commissions.  Claimants alleged that George Venizelos made unsuitable investments.  Client alleged suitability and churning. Counsel for the client alleged George Venizelos placed client in a portfolio of unsuitable and risky stocks utilizing margin, which resulted in losses. George Venizelos Red Flags & Your Rights As An Investor Of course, George Venizelos 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 George Venizelos at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether George Venizelos 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 George Venizelos If you have questions about Wells Fargo Clearing Services and/or George Venizelos and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Roger Vlach formerly with RBC Capital Markets

DID ROGER EUGENE VLACH CAUSE YOU INVESTMENT LOSSES? Roger Vlach Formerly With RBC Capital Markets And Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Roger Vlach formerly with RBC Capital Markets? Roger Vlach (CRD #874263) who was formerly registered with RBC Capital Markets and located in Bend, Oregon is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, Roger Vlach was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Roger Vlach Customer Complaints Roger Vlach has been the subject of 2 customer complaints that we know about.  Both of Roger Vlach’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Roger Vlach 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 Roger Vlach’s failure to follow instructions with respect to risk tolerance. Client alleged Roger Vlach represented the investments as safe investments, not as high risk investments that were inappropriate for moderate risk investors. Roger Vlach Red Flags & Your Rights As An Investor Of course, Roger Vlach did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Roger Vlach at RBC Capital Markets and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Roger Vlach has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets and 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 RBC Capital Markets and Wells Fargo Clearing Services Due To Roger Vlach If you have questions about RBC Capital Markets, Wells Fargo Clearing Services, and/or Roger Vlach 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

George Wehrheim of The O.N. Equity Sales

DID GEORGE JAMES WEHRHEIM CAUSE YOU INVESTMENT LOSSES? George Wehrheim Of The O.N. Equity Sales Has 2 Customer Complaints For Alleged Broker Misconduct Who is George Wehrheim of The O.N. Equity Sales? George Wehrheim (CRD #461431) who is currently registered with The O.N. Equity Sales and located in Mars, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. George Wehrheim Customer Complaints George Wehrheim has been the subject of 2 customer complaints that we know about. One of George Wehrheim’s 2 customer complaints was settled in favor of the investors. One of George Wehrheim’s customer complaint was denied and, to date, the customers have not taken any further action. Allegations Against George Wehrheim 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 George Wehrheim misrepresented sale of variable annuity. Customer invested in a fixed annuity.  Insurance company was shut down by Pennsylvania Insurance Dept. Customer lost part of money in annuity because guarantee fund wouldn’t cover him after he moved to Florida allegedly committed by George Wehrheim.  Complaint was settled. George Wehrheim Red Flags & Your Rights As An Investor Of course, George Wehrheim 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 George Wehrheim at The O.N. Equity Sales on alert to review carefully the activity and performance of their accounts and question whether George Wehrheim has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The O.N. Equity Sales 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 The O.N. Equity Sales Due To George Wehrheim If you have questions about The O.N. Equity Sales and/or George Wehrheim 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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