Jan 20, 2023

Howard Owens of Equitable Advisors, LLC

DID HOWARD EDWARD OWENS CAUSE YOU INVESTMENT LOSSES? Howard Owens Of Equitable Advisors, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Howard Owens of Equitable Advisors, LLC? Howard Owens (CRD #5907110) who is currently registered with Equitable Advisors, LLC and located in Irvington, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Equitable Advisors, LLC, Howard Owens was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Howard Owens Customer Complaint Howard Owens 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 inability to access funds placed in a 403(B) Plan involving a variable annuity. The customer complaint was settled by AXA Advisors for an undisclosed amount. Howard Owens Red Flags & Your Rights As An Investor Of course, Howard Owens 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 Owens at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Howard Owens has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, 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 Equitable Advisors, LLC Due To Howard Owens If you have questions about Equitable Advisors, LLC and/or Howard Owens 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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Jan 20, 2023

Horacio Gomez-Rabago of Oppenheimer & Co. Inc.

DID HORACIO GOMEZ-RABAGO CAUSE YOU INVESTMENT LOSSES? Horacio Gomez-Rabago Of Oppenheimer & Co. Inc. And Formerly With Morgan Stanley Has 7 Customer Complaints For Alleged Broker Misconduct Who is Horacio Gomez-Rabago of Oppenheimer & Co. Inc.? Horacio Gomez-Rabago (CRD #4437037) who is currently registered with Oppenheimer & Co. Inc. and located in Houston, Texas, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Oppenheimer & Co. Inc., Horacio Gomez-Rabago was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Horacio Gomez-Rabago Customer Complaints Horacio Gomez-Rabago has been the subject of 7 customer complaints that we know about to recover investment losses. One customer complaint was settled by UBS International for $700,000. Another customer complaint was settled by UBS International $175,000 in favor of the investor. Four customer complaints were denied by his employers and, today, those customers have not taken any further action. Allegations Against Horacio Gomez-Rabago A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Horacio Gomez-Rabago Red Flags & Your Rights As An Investor Of course, Horacio Gomez-Rabago 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 Horacio Gomez-Rabago and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Horacio Gomez-Rabago has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. Inc. 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 Oppenheimer & Co. Inc. Due To Horacio Gomez-Rabago If you have questions about Oppenheimer & Co. Inc., Morgan Stanley and/or Horacio Gomez-Rabago 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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Jan 20, 2023

Hillary Wertlieb of American Portfolios Financial Services, Inc.

DID HILLARY JOY WERTLIEB CAUSE YOU INVESTMENT LOSSES? Hillary Wertlieb Of American Portfolios Financial Services, Inc. And Formerly With Cetera Advisors LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Hillary Wertlieb of American Portfolios Financial Services, Inc.? Hillary Wertlieb (CRD #2239224) who is currently registered with American Portfolios Financial Services, Inc. and located in Lynbrook, New York, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to American Portfolios Financial Services, Inc., Hillary Wertlieb was associated with Cetera Advisors LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Hillary Wertlieb Customer Complaints Hillary Wertlieb has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by Cetera Advisors in favor of the investor. The other customer complaint was denied by Investor’s Capital Corp. and the customer took no further action. Allegations Against Hillary Wertlieb A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Hillary Wertlieb Red Flags & Your Rights As An Investor Of course, Hillary Wertlieb 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 Hillary Wertlieb at American Portfolios Financial Services, Inc. and formerly with Cetera Advisors LLC on alert to review carefully the activity and performance of their accounts and question whether Hillary Wertlieb has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Portfolios Financial Services, Inc. and Cetera 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 American Portfolios Financial Services, Inc. Due To Hillary Wertlieb If you have questions about American Portfolios Financial Services, Inc., Cetera Advisors LLC and/or Hillary Wertlieb 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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Jan 19, 2023

Henry Goodman Formerly With UBS Financial Services Inc.

DID HENRY NATHAN GOODMAN CAUSE YOU INVESTMENT LOSSES? Henry Goodman Formerly With UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Henry Goodman Formerly With UBS Financial Services Inc.? Henry Goodman (CRD #1789359) who was formerly registered with UBS Financial Services Inc. and located in New York New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., Henry Goodman was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Henry Goodman Customer Complaints Henry Goodman has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by UBS Financial Services in favor of the investor. The other customer complaint remains pending in a FINRA arbitration proceeding. Allegations Against Henry Goodman The allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses relate to unsuitable investment recommendations and misrepresentations about and options overlay strategy investment known as “YES,” the Yield Enhancement Strategy. Henry Goodman Red Flags & Your Rights As An Investor Of course, Henry Goodman 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 Henry Goodman formerly with UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Henry Goodman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. 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 UBS Financial Services Inc. Due to Henry Goodman If you have questions about UBS Financial Services Inc. and/or Henry Goodman 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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Jan 19, 2023

Henry Jakobsze of UBS Financial Services Inc.

DID HENRY PAUL JAKOBSZE CAUSE YOU INVESTMENT LOSSES? Henry Jakobsze Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Henry Jakobsze of UBS Financial Services Inc.? Henry Jakobsze (CRD #2792685) who is currently registered with UBS Financial Services Inc. and located in Chicago, Illinois, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services Inc., Henry Jakobsze was associated with UBS Financial Services Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Henry Jakobsze Customer Complaint Henry Jakobsze 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 fraud, misrepresentation, unsuitable investment recommendations, breach of fiduciary duty, negligence, and violations of federal state securities laws and FINRA regulations. The arbitration complaint filed against UBS Financial Services resulted in an arbitration award in favor of the investor in the amount of over $468,000. Henry Jakobsze Red Flags & Your Rights As An Investor Of course, Henry Jakobsze 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 Henry Jakobsze at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Henry Jakobsze has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. 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 UBS Financial Services Inc. Due To Henry Jakobsze If you have questions about UBS Financial Services Inc. and/or Henry Jakobsze 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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Jan 19, 2023

Herbert Weith, IV formerly with Equitable Advisors, LLC

DID HERBERT C. WHITE CAUSE YOU INVESTMENT LOSSES? Herbert Weith IV Formerly With Equitable Advisors, LLC and Wells Fargo Clearing Services, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Herbert Weith, IV formerly with Equitable Advisors, LLC? Herbert Weith IV (CRD #5453866) who was formerly registered with Equitable Advisors, LLC and located in Columbia, Maryland, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Equitable Advisors, LLC, Herbert Weith IV was associated with Wells Fargo Clearing Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Herbert Weith IV has had his own regulatory problems. He refused to cooperate with FINRA and an investigation and was permanently barred from any further Association with any FINRA member firm. Herbert Weith IV Customer Complaints Herbert Weith IV has been the subject of 3 customer complaints that we know about to recover investment losses. All 3 customer complaints were settled by Wells Fargo Clearing Services in favor of the investors. Allegations Against Herbert Weith IV A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Herbert Weith IV Red Flags & Your Rights As An Investor Of course, Herbert Weith 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 Herbert Weith formerly with Equitable Advisors, LLC and Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Herbert Weith has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, LLC and Wells Fargo Clearing 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 Equitable Advisors, LLC Due To Herbert Weith IV If you have questions about Equitable Advisors, LLC, Wells Fargo Clearing Services, LLC and/or Herbert Weith 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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Jan 19, 2023

Herbert White of Woodbury Financial Services, Inc.

DID HERBERT C. WHITE CAUSE YOU INVESTMENT LOSSES? Herbert White Of Woodbury Financial Services, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Herbert White of Woodbury Financial Services, Inc.? Herbert White (CRD #3125223) who is currently registered with Woodbury Financial Services, Inc. and located in Greenwood Village, Colorado, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Woodbury Financial Services, Inc., Herbert White was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Herbert White Customer Complaints Herbert White has been the subject of 4 customer complaints that we know about to recover investment losses. All 4 customer complaints were denied by Herbert White’s current employer Woodberry Financial Services. Allegations Against Herbert White A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Herbert White Red Flags & Your Rights As An Investor Of course, Herbert White 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 Herbert White at Woodbury Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Herbert White has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Woodbury Financial Services, Inc. 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 Woodbury Financial Services, Inc. Due To Herbert White If you have questions about Woodbury Financial Services, Inc. and/or Herbert White 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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Jan 19, 2023

Henry Klausman formerly with Triad Advisors, Inc.

DID HENRY MARTIN KLAUSMAN CAUSE YOU INVESTMENT LOSSES? Henry Klausman Formerly With Triad Advisors, Inc. Has 10 Customer Complaints For Alleged Broker Misconduct Who is Henry Klausman formerly with Triad Advisors, Inc.? Henry Klausman (CRD #271217) who was formerly registered with Triad Advisors, Inc. and located in Marietta, Georgia, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Triad Advisors, Inc., Henry Klausman was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Henry Klausman Customer Complaints Henry Klausman has been the subject of 10 customer complaints that we know about to recover investment losses. One customer complaint was settled by PeachCap Securities in favor of the investor. The other 9 customer complaints were recently denied by Henry Klausman’s former employer and, to date, the customers have not taken any further action. Allegations Against Henry Klausman A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Henry Klausman Red Flags & Your Rights As An Investor Of course, Henry Klausman 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 Henry Klausman, formerly at Triad Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Henry Klausman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Triad Advisors, Inc. 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 Triad Advisors, Inc. Due To Henry Klausman If you have questions about Triad Advisors, Inc. and/or Henry Klausman 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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Jan 19, 2023

Henry Crosby of Hightower Securities, LLC

DID HENRY E. CROSBY CAUSE YOU INVESTMENT LOSSES? Henry Crosby Of Hightower Securities, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Henry Crosby of Hightower Securities, LLC? Henry Crosby (CRD #4897365) who is currently registered with Hightower Securities, LLC and located in Huntsville, Alabama, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Hightower Securities, LLC, Henry Crosby was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Henry Crosby Customer Complaint Henry Crosby 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 sales practice violations, including a violation of Henry Crosby’s suitability obligations in connection with a private placement investment. The arbitration claim was settled in favor of the investor by Hightower Advisors. Henry Crosby Red Flags & Your Rights As An Investor Of course, Henry Crosby 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 Henry Crosby at Hightower Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Henry Crosby has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Hightower 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 Hightower Securities, LLC Due To Henry Crosby If you have questions about Hightower Securities, LLC and/or Henry Crosby 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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Jan 18, 2023

Henrique Lucena of Laidlaw & Company (UK) Ltd.

DID HENRIQUE DAVID LUCENA CAUSE YOU INVESTMENT LOSSES? Henrique Lucena Of Laidlaw & Company (UK) Ltd. And Formerly With Morgan Stanley and UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Henrique Lucena of Laidlaw & Company (UK) Ltd.? Henrique Lucena (CRD #5605196) who is currently registered with Laidlaw & Company (UK) Ltd. and located in Coral Gables, Florida, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Laidlaw & Company (UK) Ltd., Henrique Lucena was associated with Morgan Stanley and UBS Financial Services Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Henrique Lucena Customer Complaint Henrique Lucena 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 misrepresentation and unauthorized trading. The arbitration claim was settled for $350,000 by UBS financial services in favor of the investor. Henrique Lucena Red Flags & Your Rights As An Investor Of course, Henrique Lucena 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 Henrique Lucena at Laidlaw & Company (UK) Ltd., Morgan Stanley and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Henrique Lucena has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Laidlaw & Company (UK) Ltd., Morgan Stanley and UBS Financial Services 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 Laidlaw & Company (UK) Ltd. Due To Henrique Lucena If you have questions about Laidlaw & Company (UK) Ltd., Morgan Stanley, UBS Financial Services Inc. and/or Henrique Lucena 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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