Mar 8, 2022

Sandra White of Goldman Sachs & Co.

DID SANDRA LEE WHITE CAUSE YOU INVESTMENT LOSSES? Sandra White Of Goldman Sachs & Co., Goldman Sachs Personal Financial Management, Mercer Allied Company And Formerly With Cetera Advisor Networks and Girard Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Sandra White of Goldman Sachs & Co.? Sandra White (CRD #805113) who is currently registered with Goldman Sachs & Co., Goldman Sachs Personal Financial Management, Mercer Allied Company and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Goldman Sachs & Co., Goldman Sachs Personal Financial Management, Mercer Allied Company, Sandra White was associated with Cetera Advisor Networks, Girard Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sandra White Customer Complaints Sandra White 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.  Claimants alleged Sandra White’s investment recommendations were not suitable and not diversified. Claimants generally alleged negligence, misrepresentation, and misconduct. Both of Sandra White’s 2 customer complaints were settled in favor of investors. Sandra White Red Flags & Your Rights As An Investor Of course, Sandra 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 Sandra White at Goldman Sachs & Co., Goldman Sachs Personal Financial Management, Mercer Allied Company, Cetera Advisor Networks, and Girard Securities on alert to review carefully the activity and performance of their accounts and question whether Sandra White has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Goldman Sachs & Co., Goldman Sachs Personal Financial Management, Mercer Allied Company, Cetera Advisor Networks, and Girard 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 Goldman Sachs & Co.,Mercer Allied Company and Cetera Advisor Networks Due To Sandra White If you have questions about Goldman Sachs & Co., Goldman Sachs Personal Financial Management, Mercer Allied Company, Cetera Advisor Networks, Girard Securities, and/or Sandra 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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Mar 7, 2022

Jonathan Nance of Edward Jones

DID JONATHAN RANDALL NANCE CAUSE YOU INVESTMENT LOSSES? Jonathan Nance Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Jonathan Nance of Edward Jones? Jonathan Nance (CRD #5877437) who is currently registered with Edward Jones and located in Frisco, Texas is a subject of one of our many securities industry sales practice abuse investigations. Jonathan Nance Customer Complaint Jonathan Nance 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 client alleged the financial advisor purchased First Trust Capital UIT without the client’s authorization and failed to follow her instructions to invest her account into Advisory Solutions.  Jonathan Nance’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Jonathan Nance Red Flags & Your Rights As An Investor Of course, Jonathan Nance 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 Jonathan Nance at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Jonathan Nance has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Edward Jones Due To Jonathan Nance If you have questions about Edward Jones and/or Jonathan Nance 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 7, 2022

Donald Naseef of Vanguard Marketing

DID DONALD LEWIS NASEEF CAUSE YOU INVESTMENT LOSSES? Donald Naseef Of Vanguard Marketing And Vanguard Advisers Has A Customer Complaint For Alleged Broker Misconduct Who is Donald Naseef of Vanguard Marketing? Donald Naseef (CRD #6726883) who is currently registered with Vanguard Marketing, Vanguard Advisers and located in Malvern, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Donald Naseef Customer Complaint Donald Naseef 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 Donald Naseef convinced her to make no changes to her investment strategy which resulted in losses. Donald Naseef’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Donald Naseef Red Flags & Your Rights As An Investor Of course, Donald Naseef 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 Donald Naseef at Vanguard Marketing and Vanguard Advisers on alert to review carefully the activity and performance of their accounts and question whether Donald Naseef has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vanguard Marketing and Vanguard Advisers 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 Due To Donald Naseef If you have questions about Vanguard Marketing, Vanguard Advisers, and/or Donald Naseef 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 7, 2022

John Neal of Vanguard Marketing

DID JOHN ROBERT NEAL CAUSE YOU INVESTMENT LOSSES? John Neal Of Vanguard Marketing, Vanguard Advisers And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is John Neal of Vanguard Marketing? John Neal (CRD #4939681) who is currently registered with Vanguard Marketing, Vanguard Advisers and located in Malvern, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Vanguard Marketing and Vanguard Advisers, John Neal was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Neal Customer Complaint John Neal 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 client faced substantial tax consequences from a transaction processed because the advisor did not disclose the tax consequences of moving money from one fund to another. John Neal’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. John Neal Red Flags & Your Rights As An Investor Of course, John Neal 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 Neal at Vanguard Marketing, Vanguard Advisers, and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether John Neal has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vanguard Marketing, Vanguard Advisers, and UBS 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 Vanguard Marketing Due To John Neal If you have questions about Vanguard Marketing, Vanguard Advisers, UBS Financial Services, and/or John Neal 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 7, 2022

Richard Newland of Principal Securities

DID RICHARD LYNN NEWLAND CAUSE YOU INVESTMENT LOSSES? Richard Newland Of Principal Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Richard Newland of Principal Securities? Richard Newland (CRD #4711193) who is currently registered with Principal Securities and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Richard Newland Customer Complaint Richard Newland 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 about exuberant fees on a variable universal life policy. Richard Newland’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Richard Newland Red Flags & Your Rights As An Investor Of course, Richard Newland 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 Richard Newland at Principal Securities on alert to review carefully the activity and performance of their accounts and question whether Richard Newland has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Principal 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 Principal Securities Due To Richard Newland If you have questions about Principal Securities and/or Richard Newland 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 7, 2022

Mark Nicholson of D.A. Davidson

DID MARK ALLAN NICHOLSON CAUSE YOU INVESTMENT LOSSES? Mark Nicholson Of D.A. Davidson Has A Customer Complaint For Alleged Broker Misconduct Who is Mark Nicholson of D.A. Davidson? Mark Nicholson (CRD #4340425) who is currently registered with D.A. Davidson and located in Missoula, Montana is a subject of one of our many securities industry sales practice abuse investigations. Mark Nicholson Customer Complaint Mark Nicholson 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 client expressed concern that the liquidation of her non-qualified variable annuity resulted in a $90,000 tax bill. Mark Nicholson’s customer complaint was settled in favor of the investors. Mark Nicholson Red Flags & Your Rights As An Investor Of course, Mark Nicholson 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 Mark Nicholson at D.A. Davidson on alert to review carefully the activity and performance of their accounts and question whether Mark Nicholson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at D.A. Davidson 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 D.A. Davidson Due To Mark Nicholson If you have questions about D.A. Davidson and/or Mark Nicholson 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 7, 2022

Michael Nienaber of Fidelity Brokerage Services

DID MICHAEL JOSEPH NIENABER CAUSE YOU INVESTMENT LOSSES? Michael Nienaber Of Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors And Formerly With Strategic Advisers Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Nienaber of Fidelity Brokerage Services? Michael Nienaber (CRD #6664193) who is currently registered with Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors and located in Cincinnati, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Michael Nienaber was associated with Strategic Advisers and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Nienaber Customer Complaint Michael Nienaber 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 when he established an individual brokerage account that he was informed by the representative, Michael Nienaber that he could trade a certain stock that he was previously allocated as part of a pre-IPO in the account and not be liable for capital gains taxes. However, after the stock was liquidated, he incurred a large tax liability. Michael Nienaber’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Michael Nienaber Red Flags & Your Rights As An Investor Of course, Michael Nienaber 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 Michael Nienaber at Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, and Strategic Advisers on alert to review carefully the activity and performance of their accounts and question whether Michael Nienaber has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, and Strategic Advisers 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 Fidelity Brokerage Services Due To Michael Nienaber If you have questions about Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Strategic Advisers, and/or Michael Nienaber 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 7, 2022

Joseph Ninivaggi of Fidelity Brokerage Services

DID JOSEPH PETER NINIVAGGI CAUSE YOU INVESTMENT LOSSES? Joseph Ninivaggi Of Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors And Formerly With J.P. Morgan Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joseph Ninivaggi of Fidelity Brokerage Services? Joseph Ninivaggi (CRD #6158894) who is currently registered with Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Joseph Ninivaggi was associated with J.P. Morgan Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joseph Ninivaggi Customer Complaints Joseph Ninivaggi has been the subject of 2 customer complaints that we know about. Both of Joseph Ninivaggi’s customer complaints were settled in favor of investors. Allegations Against Joseph Ninivaggi A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Excessive and unnecessary trading on margin by Joseph Ninivaggi. False and misleading statements, violations of Missouri’s regulations statutory and common law fraud, unsuitability, omissions. Misrepresentation, negligence, breach of contract, breach of fiduciary duty, unjust enrichment, unauthorized margin and violations. Joseph Ninivaggi Red Flags & Your Rights As An Investor Of course, Joseph Ninivaggi 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 Ninivaggi at Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, and J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Joseph Ninivaggi has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, and J.P. Morgan 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 Fidelity Brokerage Services Due To Joseph Ninivaggi If you have questions about Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, J.P. Morgan Securities, and/or Joseph Ninivaggi 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 7, 2022

Brion Norby of Concorde Investment Services

DID BRION L. NORBY CAUSE YOU INVESTMENT LOSSES? Brion Norby of Concorde Investment Services, Concorde Asset Management And Formerly With Lebenthal & Co. And Lebenthal Wealth Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Brion Norby of Concorde Investment Services? Brion Norby (CRD #4577786) who is currently registered with Concorde Investment Services, Concorde Asset Management and located in Williston, North Dakota is a subject of one of our many securities industry sales practice abuse investigations. Prior to Concorde Investment Services and Concorde Asset Management, Brion Norby was associated with Lebenthal & Co., Lebenthal Wealth Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brion Norby Customer Complaint Brion Norby 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 FINRA Arbitration Statement of Claim alleged misrepresentation, breach of fiduciary duty, suitability, negligence and fraud against control persons of the representative’s former broker dealer firm in relation to the sale of Aequitas Capital Management, LLC promissory notes by representative. The customer complaint filed against Brion Norby’s former employer Lebenthal Wealth Advisors for investment losses caused by the alleged misconduct is pending as of the date of this report. Brion Norby Red Flags & Your Rights As An Investor Of course, Brion Norby 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 Brion Norby at Concorde Investment Services, Concorde Asset Management, Lebenthal & Co., and Lebenthal Wealth Advisors on alert to review carefully the activity and performance of their accounts and question whether Brion Norby has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Concorde Investment Services, Concorde Asset Management, Lebenthal & Co., and Lebenthal Wealth Advisors 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 Concorde Investment Services Due To Brion Norby If you have questions about Concorde Investment Services, Concorde Asset Management, Lebenthal & Co., Lebenthal Wealth Advisors, and/or Brion Norby 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 7, 2022

Christopher Norton formerly with I-Bankers Direct

DID CHRISTOPHER TODD NORTON CAUSE YOU INVESTMENT LOSSES? Christopher Norton Formerly With I-Bankers Direct, Aegis Capital, And IAA Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Christopher Norton formerly with I-Bankers Direct? Christopher Norton (CRD #5386000) who was formerly registered with I‑Bankers Direct and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to I‑Bankers Direct, Christopher Norton was associated with Aegis Capital, IAA Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Christopher Norton Customer Complaint Christopher Norton 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 excessive and unsuitable trading, false and misleading statements. Christopher Norton’s customer complaint was settled in favor of the investors. Christopher Norton Red Flags & Your Rights As An Investor Of course, Christopher Norton 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 Christopher Norton at I-Bankers Direct, Aegis Capital, and IAA Financial on alert to review carefully the activity and performance of their accounts and question whether Christopher Norton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at I-Bankers Direct, Aegis Capital, and IAA 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 I-Bankers Direct Due To Christopher Norton If you have questions about I-Bankers Direct, Aegis Capital, IAA Financial, and/or Christopher Norton 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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