Jan 18, 2023

Henry Hernandez of UBS Financial Services Inc.

DID HENRY ANTHONY HERNANDEZ CAUSE YOU INVESTMENT LOSSES? Henry Hernandez Of UBS Financial Services Inc. And Formerly With Wells Fargo Clearing Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Henry Hernandez of UBS Financial Services Inc.? Henry Hernandez (CRD #2044909) who is currently registered with UBS Financial Services Inc. and located in Irvine, California, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services Inc., Henry Hernandez 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. Henry Hernandez Customer Complaints Henry Hernandez has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by Chase Investment Services in favor of the investor. The other customer complaint was denied by his former employer Wells Fargo Advisors comment today, the customer has not taken any further action. Henry Hernandez Red Flags & Your Rights As An Investor Of course, Henry Hernandez 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 Hernandez at UBS Financial Services Inc. and Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Henry Hernandez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. 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 UBS Financial Services Inc. Due To Henry Hernandez If you have questions about UBS Financial Services Inc., Wells Fargo Clearing Services, LLC and/or Henry Hernandez 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

Hector Colon Rivera of Oriental Financial Services LLC

DID HECTOR LUIS COLON RIVERA CAUSE YOU INVESTMENT LOSSES? Hector Colon Rivera Of Oriental Financial Services LLC Has 13 Customer Complaints For Alleged Broker Misconduct Who is Hector Colon Rivera of Oriental Financial Services LLC? Hector Colon Rivera (CRD #4826616) who is currently registered with Oriental Financial Services LLC and located in San Juan, Puerto Rico, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Oriental Financial Services LLC, Hector Colon Rivera was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Hector Colon Rivera Customer Complaints Hector Colon Rivera has been the subject of 13 customer complaints that we know about to recover investment losses. Twelve of the customer complaints were settled by Oriental financial services in favor of investors. One customer complaint remains pending. Allegations Against Hector Colon Rivera A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Hector Colon Rivera Red Flags & Your Rights As An Investor Of course, Hector Colon Rivera 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 Hector Colon Rivera at Oriental Financial Services LLC on alert to review carefully the activity and performance of their accounts and question whether Hector Colon Rivera has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oriental 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. File A Claim To Recover Your Investment Losses At Oriental Financial Services LLC Due To Hector Colon Rivera If you have questions about Oriental Financial Services LLC and/or Hector Colon Rivera 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 17, 2023

Hayes Clark, IV formerly with Stifel, Nicolaus & Company, Incorporated

DID HAYES A. CLARK IV CAUSE YOU INVESTMENT LOSSES? Hayes Clark, IV Formerly With Stifel, Nicolaus & Company, Incorporated Has 3 Customer Complaints For Alleged Broker Misconduct Who is Hayes Clark, IV formerly with Stifel, Nicolaus & Company, Incorporated? Hayes Clark, IV (CRD #1197605) who is formerly registered with Stifel, Nicolaus & Company, Incorporated and located in Lebanon, Pennsylvania, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Stifel, Nicolaus & Company, Incorporated, Hayes Clark, IV was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Hayes Clark, IV Customer Complaints Hayes Clark, IV has been the subject of 3 customer complaints that we know about to recover investment losses. One customer complaint was settled in favor of the investor. The other 2 customer complaints were denied, and today, the customers have not taken any further action. Allegations Against Hayes Clark, IV A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Hayes Clark, IV Red Flags & Your Rights As An Investor Of course, Hayes Clark, IV 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 Hayes Clark, IV at Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Hayes Clark, IV 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 Hayes Clark, IV If you have questions about Stifel, Nicolaus & Company, Incorporated and/or Hayes Clark, IV 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 17, 2023

Heath Grossman formerly with Silver Oak Securities, Incorporated

DID HEATH G. GROSSMAN CAUSE YOU INVESTMENT LOSSES? Heath Grossman Formerly With Silver Oak Securities, Incorporated Has A Customer Complaint For Alleged Broker Misconduct Who is Heath Grossman formerly with Silver Oak Securities, Incorporated? Heath Grossman (CRD #4018002) who was formerly registered with Silver Oak Securities, Incorporated and located in Wethersfield, Connecticut, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Silver Oak Securities, Incorporated, Heath Grossman was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Heath Grossman Customer Complaint Heath Grossman 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 made unsuitable recommendations to over concentrate portfolio in non-traded REITs. The customer complaint was settled in favor of the investor by Silver Oak Securities. Heath Grossman Red Flags & Your Rights As An Investor Of course, Heath Grossman 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 Heath Grossman at Silver Oak Securities, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Heath Grossman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Silver Oak Securities, 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 Silver Oak Securities, Incorporated Due To Heath Grossman If you have questions about Silver Oak Securities, Incorporated and/or Heath Grossman 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 17, 2023

Hassan Lopez of Equity Services, Inc.

DID HASSAN LOPEZ CAUSE YOU INVESTMENT LOSSES? Hassan Lopez Of Equity Services, Inc. And Formerly With Eagle Strategies LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Hassan Lopez of Equity Services, Inc.? Hassan Lopez (CRD #4685114) who is currently registered with Equity Services, Inc. and located in Sunrise, Florida, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Equity Services, Inc., Hassan Lopez was associated with Eagle Strategies LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Hassan Lopez Customer Complaints Hassan Lopez has been the subject of 3 customer complaints that we know about to recover investment losses. All 3 customer complaints have been denied by Hassan Lopez’s former employers and to date, the customers have not taken any further action. Allegations Against Hassan Lopez A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Hassan Lopez Red Flags & Your Rights As An Investor Of course, Hassan Lopez 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 Hassan Lopez at Equity Services, Inc. and Eagle Strategies LLC  on alert to review carefully the activity and performance of their accounts and question whether Hassan Lopez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equity Services, Inc. and Eagle Strategies 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 Equity Services, Inc. Due To Hassan Lopez If you have questions about Equity Services, Inc., Eagle Strategies LLC and/or Hassan Lopez 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 17, 2023

James Beste of Ameriprise Financial Services

DID JAMES JOHN BESTE CAUSE YOU INVESTMENT LOSSES? James Beste Of Ameriprise Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is James Beste of Ameriprise Financial Services? James Beste (CRD #4303186) who is currently registered with Ameriprise Financial Services and located in St. Cloud, Minnesota, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Ameriprise Financial Services, James Beste was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Beste Customer Complaint James Beste 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 of a REIT investment which was subsequently withdrawn by customer. James Beste Red Flags & Your Rights As An Investor Of course, James Beste did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, the customer complaint was withdrawn or the customer complaint is still pending, any allegations made by customers are red flags which should put all current and former customers of James Beste at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether James Beste has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial 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 Ameriprise Financial Services Due To James Beste If you have questions about Ameriprise Financial Services and/or James Beste 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 17, 2023

Heather Hardee of RBC Capital Markets, LLC

DID HEATHER L. HARDEE CAUSE YOU INVESTMENT LOSSES? Heather Hardee Of RBC Capital Markets, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Heather Hardee of RBC Capital Markets, LLC? Heather Hardee (CRD #5435385) who is currently registered with RBC Capital Markets, LLC and located in Houston, Texas, is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, LLC, Heather Hardee was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Heather Hardee Customer Complaint Heather Hardee 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 failing to execute sell orders prior to transfer of accounts. RBC Capital Markets denied the customer’s complaint, and to date, the customer has not taken any further action. Heather Hardee Red Flags & Your Rights As An Investor Of course, Heather Hardee 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 Heather Hardee at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Heather Hardee has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, 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 RBC Capital Markets, LLC Due To Heather Hardee If you have questions about RBC Capital Markets, LLC and/or Heather Hardee 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 17, 2023

Harry Toro of J.W. Cole Financial, Inc.

DID HARRY DEJESUS TORO CAUSE YOU INVESTMENT LOSSES? Harry Toro Of J.W. Cole Financial, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Harry Toro of J.W. Cole Financial, Inc.? Harry Toro (CRD #2861845) who is currently registered with J.W. Cole Financial, Inc. and located in St. Petersburg, Florida, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to J.W. Cole Financial, Inc., Harry Toro was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Harry Toro Customer Complaint Harry Toro 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 an unsuitable investment in an inherited IRA. The customer complaint was denied, and today, the customer has not taken any further action. Harry Toro Red Flags & Your Rights As An Investor Of course, Harry Toro 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 Harry Toro at J.W. Cole Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Harry Toro has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.W. Cole Financial, 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 J.W. Cole Financial, Inc. Due To Harry Toro If you have questions about J.W. Cole Financial, Inc. and/or Harry Toro 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 16, 2023

Harpreet Mangat of White Knight Strategic Wealth Advisors, LLC

DID HARPREET SINGH MANGAT CAUSE YOU INVESTMENT LOSSES? Harpreet Mangat Of White Knight Strategic Wealth Advisors, LLC And Formerly With Ameriprise Financial Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Harpreet Mangat of White Knight Strategic Wealth Advisors, LLC? Harpreet Mangat (CRD #4442530) who is currently registered with White Knight Strategic Wealth Advisors, LLC and located in Princeton, New Jersey, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to White Knight Strategic Wealth Advisors, LLC, Harpreet Mangat was associated with Ameriprise Financial Services, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Harpreet Mangat Customer Complaints Harpreet Mangat has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint resulted in an arbitration award in favor of the customer in the amount of $200,000. The other customer complaint was denied, and to date the customer is not taken any further action. Allegations Against Harpreet Mangat A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Harpreet Mangat Red Flags & Your Rights As An Investor Of course, Harpreet Mangat 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 Harpreet Mangat at White Knight Strategic Wealth Advisors, LLC and Ameriprise Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Harpreet Mangat has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at White Knight Strategic Wealth Advisors, LLC and Ameriprise 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 White Knight Strategic Wealth Advisors, LLC Due To Harpreet Mangat If you have questions about White Knight Strategic Wealth Advisors, LLC, Ameriprise Financial Services, Inc. and/or Harpreet Mangat 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 16, 2023

Harold Gross, Jr. of Janney Montgomery Scott LLC

DID HAROLD BERTRAM GROSS, JR. CAUSE YOU INVESTMENT LOSSES? Harold Gross, Jr. Of Janney Montgomery Scott LLC Has 5 Customer Complaints For Alleged Broker Misconduct Who is Harold Gross, Jr. of Janney Montgomery Scott LLC? Harold Gross, Jr. (CRD #817550) who is currently registered with Janney Montgomery Scott LLC and located in Purchase, New York, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Janney Montgomery Scott LLC, Harold Gross, Jr. was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Harold Gross, Jr. Customer Complaints Harold Gross, Jr. has been the subject of 5 customer complaints that we know about to recover investment losses. Two customer complaints resulted in arbitration awards in favor of the investors. Two more customer complaints were settled by Janney Montgomery Scott in favor of the investors. The last customer complaint was denied, and today, the customer has not taken any further action. Allegations Against Harold Gross, Jr. A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Harold Gross, Jr. Red Flags & Your Rights As An Investor Of course, Harold Gross, Jr. 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 Harold Gross, Jr. at Janney Montgomery Scott LLC on alert to review carefully the activity and performance of their accounts and question whether Harold Gross, Jr. has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Janney Montgomery Scott 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 Janney Montgomery Scott LLC Due To Harold Gross, Jr. If you have questions about Janney Montgomery Scott LLC and/or Harold Gross, Jr. 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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