Mar 7, 2022

Jack Reich of Equitable Advisors

DID JACK REICH CAUSE YOU INVESTMENT LOSSES? Jack Reich Of Equitable Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Jack Reich of Equitable Advisors? Jack Reich (CRD #5042278) who is currently registered with Equitable Advisors and located in Williamsville, New York is a subject of one of our many securities industry sales practice abuse investigations. Jack Reich Customer Complaint Jack Reich 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 executor of the client’s trust alleged he was never informed of withdrawal charges associated with his mother’s variable annuities. Jack Reich’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. Jack Reich Red Flags & Your Rights As An Investor Of course, Jack Reich 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 Jack Reich at Equitable Advisors on alert to review carefully the activity and performance of their accounts and question whether Jack Reich has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable 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 Equitable Advisors Due To Jack Reich If you have questions about Equitable Advisors and/or Jack Reich 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.

Continue Reading

Mar 7, 2022

Vicente del Rio of UBS Financial Services

DID VICENTE ANTONIO DEL RIO CAUSE YOU INVESTMENT LOSSES? Vicente del Rio Of UBS Financial Services And Formerly With J.P. Morgan Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Vicente del Rio of UBS Financial Services? Vicente del Rio (CRD #5820218) who is currently registered with UBS Financial Services and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Vicente del Rio 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. Vicente del Rio Customer Complaint Vicente del Rio 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 former client claimed registered representatives made unsuitable recommendations in connection with his trust account. Client filed a Florida state court action that was dismissed with prejudice. Client then filed a similar FINRA arbitration. The customer complaint filed against Vicente del Rio’s former employer J.P. Morgan Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Vicente del Rio Red Flags & Your Rights As An Investor Of course, Vicente del Rio 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 Vicente del Rio at UBS Financial Services and J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Vicente del Rio has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services and J.P. Morgan 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 UBS Financial Services Due To Vicente del Rio If you have questions about UBS Financial Services, J.P. Morgan Securities, and/or Vicente del Rio 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.

Continue Reading

Mar 7, 2022

Christopher Reilly Formerly With Merrill Lynch Pierce Fenner & Smith

DID CHRISTOPHER M. REILLY CAUSE YOU INVESTMENT LOSSES? Christopher Reilly Formerly With Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Christopher Reilly formerly with Merrill Lynch Pierce Fenner & Smith? Christopher Reilly (CRD #6402830) who was formerly registered with Merrill Lynch Pierce Fenner & Smith and located in Lincoln, Rhode Island is a subject of one of our many securities industry sales practice abuse investigations. Christopher Reilly Customer Complaint Christopher Reilly 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 unsuitable investment recommendations. Christopher Reilly’s customer complaint was denied and, to date, the customer has not taken any further action. Christopher Reilly Red Flags & Your Rights As An Investor Of course, Christopher Reilly 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 Reilly at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Christopher Reilly has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith 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 Merrill Lynch Pierce Fenner & Smith Due To Christopher Reilly If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Christopher Reilly 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.

Continue Reading

Mar 7, 2022

Simon Reyes Of MML Investors Services

DID SIMON BENJAMIN REYES CAUSE YOU INVESTMENT LOSSES? Simon Reyes Of MML Investors Services And Formerly With NYLIFE Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Simon Reyes of MML Investors Services? Simon Reyes (CRD #6493225) who is currently registered with MML Investors Services and located in Las Vegas, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Simon Reyes was associated with NYLIFE Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Simon Reyes Customer Complaint Simon Reyes 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 customer alleged that the recommendation of a variable universal life insurance policy purchased was inappropriate given his short time horizon and not wanting to risk his retirement account.  Customer also alleged that he was misled regarding policy features. Simon Reyes’ customer complaint was settled in favor of the investors. Simon Reyes Red Flags & Your Rights As An Investor Of course, Simon Reyes 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 Simon Reyes at MML Investors Services and NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Simon Reyes has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services and NYLIFE 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 MML Investors Services Due To Simon Reyes If you have questions about MML Investors Services, NYLIFE Securities, and/or Simon Reyes 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.

Continue Reading

Mar 7, 2022

Michael Richard of Bankers Life Securities

DID MICHAEL CHRISTIAN RICHARD CAUSE YOU INVESTMENT LOSSES? Michael Richard Of Bankers Life Securities, Bankers Life Advisory Services And Formerly With ProEquities Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Richard of Bankers Life Securities? Michael Richard (CRD #5987114) who is currently registered with Bankers Life Securities, Bankers Life Advisory Services and located in Sarasota, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Bankers Life Securities and Bankers Life Advisory Services, Michael Richard was associated with ProEquities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Richard Customer Complaint Michael Richard 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 that in a written complaint, dated January 13, 2020, addressed to Bankers Life and Casualty Company (BLC), an insurance company affiliate of the Firm, [REDACTED] alleged that his registered representative misrepresented the rate of return associated with his Guaranteed Lifetime Income Annuity (GLIA) issued by and purchased from BLC in December of 2018. [REDACTED] alleged that his registered representative told him he would receive 50% of the total return of the S&P 500 during his policy calendar year, but received a much lower percentage. [REDACTED] requested the cancellation of his annuity without the assessment of surrender charges. BLC determined that the rate of return was disclosed to [REDACTED] both in the executed policy paperwork and verbally by his registered representative and denied [REDACTED] claim to cancel the annuity without surrender charges. While the GLIA sold to [REDACTED] was not a security and was issued by BLC, the Firm is reporting this complaint because the source of funding for the BLC annuity came from the sale of securities recommended by a registered representative of the Firm. Michael Richard’s customer complaint was denied and, to date, the customer has not taken any further action. Michael Richard Red Flags & Your Rights As An Investor Of course, Michael Richard 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 Richard at Bankers Life Securities, Bankers Life Advisory Services, and ProEquities on alert to review carefully the activity and performance of their accounts and question whether Michael Richard has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Bankers Life Securities, Bankers Life Advisory Services, and ProEquities 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 Bankers Life Securities Due To Michael Richard If you have questions about Bankers Life Securities, Bankers Life Advisory Services, ProEquities, and/or Michael Richard 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.

Continue Reading

Mar 7, 2022

Shelsey Robertson of UBS Financial Services

DID SHELSEY MEGAN ROBERTSON CAUSE YOU INVESTMENT LOSSES? Shelsey Robertson Of UBS Financial Services And Formerly With Lucia Securities, Lucia Capital Group And Lucia Capital Management Has A Customer Complaint For Alleged Broker Misconduct Who is Shelsey Robertson of UBS Financial Services? Shelsey Robertson (CRD #5772479) who is currently registered with UBS Financial Services and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Shelsey Robertson was associated with Lucia Securities, Lucia Capital Group, Lucia Capital Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Shelsey Robertson Customer Complaint Shelsey Robertson 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 WSA failed to follow instructions to have the annuity transferred to the beneficiaries. Shelsey Robertson’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. Shelsey Robertson Red Flags & Your Rights As An Investor Of course, Shelsey Robertson 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 Shelsey Robertson at UBS Financial Services, Lucia Securities, Lucia Capital Group, and Lucia Capital Management on alert to review carefully the activity and performance of their accounts and question whether Shelsey Robertson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services, Lucia Securities, Lucia Capital Group, and Lucia Capital Management 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 Due To Shelsey Robertson If you have questions about UBS Financial Services, Lucia Securities, Lucia Capital Group, Lucia Capital Management, and/or Shelsey Robertson 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.

Continue Reading

Mar 7, 2022

Brian Robinson of Robert W. Baird

DID BRIAN THOMAS ROBINSON CAUSE YOU INVESTMENT LOSSES? Brian Robinson Of Robert W. Baird Has A Customer Complaint For Alleged Broker Misconduct Who is Brian Robinson of Robert W. Baird? Brian Robinson (CRD #4824605) who is currently registered with Robert W. Baird and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Brian Robinson Customer Complaint Brian Robinson 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 an unauthorized sale of a security in client’s account.  Brian Robinson’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. Brian Robinson Red Flags & Your Rights As An Investor Of course, Brian Robinson 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 Brian Robinson at Robert W. Baird on alert to review carefully the activity and performance of their accounts and question whether Brian Robinson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Robert W. Baird 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 Robert W. Baird Due To Brian Robinson If you have questions about Robert W. Baird and/or Brian Robinson 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.

Continue Reading

Mar 7, 2022

Adam Rogers of UBS Financial Services

DID ADAM PAUL ROGERS CAUSE YOU INVESTMENT LOSSES? Adam Rogers Of UBS Financial Services And Formerly With Credit Suisse Securities (USA) Has A Customer Complaint For Alleged Broker Misconduct Who is Adam Rogers of UBS Financial Services? Adam Rogers (CRD #4906493) who is currently registered with UBS Financial Services and located in Wellesley, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Adam Rogers was associated with Credit Suisse Securities (USA) and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Adam Rogers Customer Complaint Adam Rogers 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 unsuitable investment recommendations and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. The customer complaint filed against Adam Rogers’ current employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Adam Rogers Red Flags & Your Rights As An Investor Of course, Adam Rogers 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 Adam Rogers at UBS Financial Services and Credit Suisse Securities (USA) on alert to review carefully the activity and performance of their accounts and question whether Adam Rogers has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services and Credit Suisse Securities (USA) 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 Due To Adam Rogers If you have questions about UBS Financial Services, Credit Suisse Securities (USA), and/or Adam Rogers 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.

Continue Reading

Mar 7, 2022

Robert Rogers of Cetera Advisor Networks

DID ROBERT ANTHONY ROGERS JR CAUSE YOU INVESTMENT LOSSES? Robert Rogers Of Cetera Advisor Networks Has A Customer Complaint For Alleged Broker Misconduct Who is Robert Rogers of Cetera Advisor Networks? Robert Rogers (CRD #5574011) who is currently registered with Cetera Advisor Networks and located in Haddon Heights, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Robert Rogers Customer Complaint Robert Rogers 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 she incurred tax and healthcare implications due to the sale of AAPL shares. Client further alleged she was given assurance that this transaction would not affect her income/tax status. Robert Rogers’ customer complaint was settled in favor of the investors. Robert Rogers Red Flags & Your Rights As An Investor Of course, Robert Rogers 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 Robert Rogers at Cetera Advisor Networks on alert to review carefully the activity and performance of their accounts and question whether Robert Rogers has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks 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 Cetera Advisor Networks Due To Robert Rogers If you have questions about Cetera Advisor Networks and/or Robert Rogers 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.

Continue Reading

Mar 7, 2022

Brian Rosen of Southeast Investments N.C.

DID BRIAN ALAN ROSEN CAUSE YOU INVESTMENT LOSSES? Brian Rosen Of Southeast Investments N.C. And Formerly With MML Investors Services, MSI Financial Services And New England Securities Has 3 Customer Complaints For Alleged Broker Misconduct Who is Brian Rosen of Southeast Investments N.C.? Brian Rosen (CRD #6128645) who is currently registered with Southeast Investments N.C. and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Southeast Investments N.C., Brian Rosen was associated with MML Investors Services, MSI Financial Services, New England Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brian Rosen Customer Complaints Brian Rosen 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. Two of Brian Rosen’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against MSI Financial Services for investment losses caused by Brian Rosen’s alleged misconduct. Allegations Against Brian Rosen A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customers alleged Brian Rosen’s recommendation to purchase variable annuities was not the most suitable choice for them and the product was misrepresented. The complainants alleged that Brian Rosen made unauthorized changes to the subaccounts within their variable annuity. The customer alleged that Brian Rosen’s poor advice and recommendations left her with little life insurance and in a financial position she would never have chosen if given the correct information. Brian Rosen Red Flags & Your Rights As An Investor Of course, Brian Rosen 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 Brian Rosen at Southeast Investments N.C., MML Investors Services, MSI Financial Services, and New England Securities on alert to review carefully the activity and performance of their accounts and question whether Brian Rosen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Southeast Investments N.C., MML Investors Services, MSI Financial Services, and New England 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 Southeast Investments N.C. Due To Brian Rosen If you have questions about Southeast Investments N.C., MML Investors Services, MSI Financial Services, New England Securities, and/or Brian Rosen 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.

Continue Reading