Dec 22, 2022

Fernando Gonzalez UBS Financial Services Inc.?

DID FERNANDO JOSE GONZALEZ CAUSE YOU INVESTMENT LOSSES? Fernando Gonzalez of UBS Financial Services Inc. And Formerly With UBS Financial Services Incorporated of Puerto Rico Has 6 Customer Complaints For Alleged Broker Misconduct Who is Fernando Gonzalez UBS Financial Services Inc.? Fernando Gonzalez (CRD #5452682) who is currently registered with UBS Financial Services Inc. and located in San Juan, Puerto Rico, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services Inc., Fernando Gonzalez was associated with UBS Financial Services Incorporated of Puerto Rico and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Fernando Gonzalez Customer Complaints Fernando Gonzalez has been the subject of 6 customer complaints that we know about to recover investment losses.  Five of customer complaints were settled in favor of investors. There is currently Fernando Gonzalez’s 6 one pending customer complaint filed against Fernando Gonzalez’s former employer UBS Financial Services Inc. for investment losses caused by the alleged misconduct. Allegations Against Fernando Gonzalez A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Fernando Gonzalez Red Flags & Your Rights As An Investor Of course, Fernando Gonzalez 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 Fernando Gonzalez at UBS Financial Services Inc. and UBS Financial Services Incorporated of Puerto Rico on alert to review carefully the activity and performance of their accounts and question whether Fernando Gonzalez 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 UBS Financial Services Incorporated of Puerto Rico 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 Fernando Gonzalez If you have questions about UBS Financial Services Inc. and UBS Financial Services Incorporated of Puerto Rico and/or Fernando Gonzalez 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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Dec 22, 2022

Floyd Powell formerly with MML Investors Services, LLC

DID FLOYD EARL POWELL CAUSE YOU INVESTMENT LOSSES? Floyd Powell, Formerly With MML Investors Services, LLC and MSI Financial Services, Inc. Has 7 Customer Complaints For Alleged Broker Misconduct Who is Floyd Powell formerly with MML Investors Services, LLC? Floyd Powell (CRD #2220029) formerly with MML Investors Services, LLC located in Albertville, Alabama, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to MML Investors Services, LLC, Floyd Powell was associated with MSI Financial Services, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Floyd Powell was also the subject of a FINRA investigation and permanently barred for allegedly engaging in private securities transactions (sale of Woodbridge promissory notes to 13 investors) totaling approximately $3.49 million without providing notice to his member firm or obtaining approval. Floyd Powell Customer Complaints Floyd Powell has been the subject of 7 customer complaints that we know about, 0 of those complaints were filed in the last year to recover investment losses.  Six of the 7 customer complaints were settled in favor of investors. One customer complaint filed against his former employer MSI Financial Services is still pending.  Allegations Against Floyd Powell A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Floyd Powell Red Flags & Your Rights As An Investor Of course, Floyd Powell 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 Floyd Powell at MML Investors Services, LLC and MSI Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Floyd Powell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services, LLC and MSI 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 MML Investors Services LLC Due To Floyd Powell If you have questions about MML Investors Services, LLC and MSI Financial Services, Inc. and/or Floyd Powell 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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Dec 22, 2022

Florindo Volpacchio formerly with Oppenheimer & Co. Inc.

DID FLORINDO VOLPACCHIO CAUSE YOU INVESTMENT LOSSES? Florindo Volpacchio Formerly of Oppenheimer & Co. Inc. And Wells Fargo Clearing Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Florindo Volpacchio formerly with Oppenheimer & Co. Inc.? Florindo Volpacchio (CRD #2615828) who was formerly registered with Oppenheimer & Co. Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to, Oppenheimer & Co. Inc., Florindo Volpacchio 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. Florindo Volpacchio Customer Complaint Florindo Volpacchio 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 the financial advisor allegedly over-concentrated his portfolio and unsuitable investments. The customer complaint was settled in favor of the investor for over $1.5 million. Florindo Volpacchio Red Flags & Your Rights As An Investor Of course, Florindo Volpacchio 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 Florindo Volpacchio Formerly of Oppenheimer & Co. Inc. And Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Florindo Volpacchio has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints Formerly of Oppenheimer & Co. Inc. And Wells Fargo Clearing 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 Oppenheimer & Co. Inc. Due To Florindo Volpacchio If you have questions about Oppenheimer & Co. Inc. and Wells Fargo Clearing Services, LLC and/or Florindo Volpacchio 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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Dec 21, 2022

Evan Hildreth of Vanguard Marketing Corporation

DID EVAN JAMES HILDRETH CAUSE YOU INVESTMENT LOSSES? Evan Hildreth Of Vanguard Marketing Corporation Has A Customer Complaint For Alleged Broker Misconduct Who is Evan Hildreth of Vanguard Marketing Corporation? Evan Hildreth (CRD #6843564) who is currently registered with Vanguard Marketing Corporation and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations.   Evan Hildreth Customer Complaint Evan Hildreth has been the subject of at least one customer complaint that we know about, which was filed to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that Evan Hildreth failed to file the client’s instructions related to a mutual fund investment. Evan Hildreth’s customer complaint was denied and, to date, the customer has not taken any further action. Evan Hildreth Red Flags & Your Rights As An Investor Of course, Evan Hildreth 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 Evan Hildreth at Vanguard Marketing Corporation on alert to review carefully the activity and performance of their accounts and question whether Evan Hildreth has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vanguard Marketing Corporation 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 Corporation Due To Evan Hildreth If you have questions about Vanguard Marketing Corporation and/or Evan Hildreth 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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Dec 21, 2022

Evan Savarick of Morgan Stanley

DID EVAN M. SAVARICK CAUSE YOU INVESTMENT LOSSES? Evan Savarick Of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Evan Savarick of Morgan Stanley? Evan Savarick (CRD #5153903) who is currently registered with Morgan Stanley and located in Plantation, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Evan Savarick Customer Complaints Evan Savarick has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Evan Savarick’s 2 customer complaints was settled in favor of the investor.  One of Evan Savarick’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Evan Savarick A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Evan Savarick Red Flags & Your Rights As An Investor Of course, Evan Savarick 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 Evan Savarick at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Evan Savarick has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Evan Savarick If you have questions about Morgan Stanley and/or Evan Savarick 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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Dec 21, 2022

Ezri Schechter formerly with Spencer Winston Securities Corporation

DID EZRI SCHECHTER CAUSE YOU INVESTMENT LOSSES? Ezri Schechter Formerly with Spencer Winston Securities Corporation Has 5 Customer Complaints For Alleged Broker Misconduct Who is Ezri Schechter formerly with Spencer Winston Securities Corporation? Ezri Schechter (CRD #2772177) who was formerly registered with Spencer Winston Securities Corporation and located in Jersey City New Jersey is a subject of one of our many securities industry sales practice abuse investigations.  Ezri Schecter was also the subject of the FINRA investigation related to the exercise of discretion without written authority in client’s accounts that resulted in a suspension and fine. Ezri Schechter Customer Complaints Ezri Schechter has been the subject of five customer complaints that we know about, one of those complaints were filed in the last two years to recover investment losses. All 5 of the customer complaints were settled in favor of the clients. Allegations Against Ezri Schechter A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Ezri Schechter Red Flags & Your Rights As An Investor Of course, Ezri Schechter 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 Ezri Schechter formerly with Spencer Winston Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Ezri Schechter has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spencer Winston Securities Corporation 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 Spencer Winston Securities Corporation Due To Ezri Schechter If you have questions about Spencer Winston Securities Corporation and/or Ezri Schechter 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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Dec 21, 2022

Fabio Battaglia, of Royal Alliance Associates, Inc.

DID FABIO FRANCIS BATTAGLIA, JR. CAUSE YOU INVESTMENT LOSSES? Fabio Battaglia, Of Royal Alliance Associates, Inc. and Formerly with Signator Investors, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Fabio Battaglia, of Royal Alliance Associates, Inc.? Fabio Battaglia (CRD #1078266) who is currently registered with Royal Alliance Associates, Inc. and located in Eatontown, New Jersey, is a subject of one of our many securities industry sales practice abuse investigations. Fabio Battaglia Customer Complaint Fabio Battaglia 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 misrepresentation in connection with the sale of an insurance product. The complaint was settled in favor of the customer. Fabio Battaglia Red Flags & Your Rights As An Investor Of course, Fabio Battaglia 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 Fabio Battaglia at Royal Alliance Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Fabio Battaglia has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates, Inc. and Signator Investors, 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 Royal Alliance Associates, Inc. Due To Fabio Battaglia If you have questions about Royal Alliance Associates, Inc. and Fabio Battaglia 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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Dec 21, 2022

Farid Farhoumand of Next Financial Group, Inc.

DID FARID FARHOUMAND CAUSE YOU INVESTMENT LOSSES? Farid Farhoumand Of Next Financial Group, Inc. still registered Has 13 Customer Complaints For Alleged Broker Misconduct Who is Farid Farhoumand of Next Financial Group, Inc.? Farid Farhoumand (CRD #727764) who is currently registered with Next Financial Group, Inc. and located in Fort Wayne, Indiana is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Next Financial Group, Inc., Farid Farhoumand was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Farid Farhoumand Customer Complaints Farid Farhoumand has been the subject of 13 customer complaints that we know about to recover investment losses.  Four of Farid Farhoumand customer complaints resulted in Awards in favor of investors. Nine of Farid Farhoumand customer complaints were denied and, to date, the customers have not taken any further action.  Allegations Against Farid Farhoumand A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Farid Farhoumand Red Flags & Your Rights As An Investor Of course, Farid Farhoumand 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 Farid Farhoumand at Next Financial Group, Inc. on alert to review carefully the activity and performance of their accounts and question whether Farid Farhoumand has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Next Financial Group, 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 Next Financial Group, Inc. Due To Farid Farhoumand If you have questions about Next Financial Group, Inc. and/or Farid Farhoumand 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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Dec 21, 2022

Farrukh Shazad Kazmi Berthel, Fisher & Company Financial Services, Inc.

DID FARRUKH KAZMI CAUSE YOU INVESTMENT LOSSES? Farrukh Kazmi Of Berthel, Fisher & Company Financial Services, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Farrukh Kazmi of Berthel, Fisher & Company Financial Services, Inc.? Farrukh Kazmi (CRD #2855915) who currently registered with Berthel, Fisher & Company Financial Services, Inc. and located in Moorestown, New Jersey, is a subject of one of our many securities industry sales practice abuse investigations.   Farrukh Kazmi Customer Complaints Farrukh Kazmi has been the subject of 3 customer complaints that we know about to recover investment losses. All 3of Farrukh Kazmi customer complaints resulted in settlements in favor of investors. Allegations Against Farrukh Kazmi A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Farrukh Kazmi Red Flags & Your Rights As An Investor Of course, Farrukh Kazmi 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 Farrukh Kazmi at Berthel, Fisher & Company Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Farrukh Kazmi has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Berthel, Fisher & Company 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 Berthel, Fisher & Company Financial Services, Inc. Due To Farrukh Kazmi If you have questions about Berthel, Fisher & Company Financial Services, Inc. and/or Farrukh Kazmi 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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Dec 20, 2022

Ernest Dahlman of B. Riley Securities, Inc.

DID ERNEST JOHN DAHLMAN CAUSE YOU INVESTMENT LOSSES? Ernest Dahlman Of B. Riley Securities, Inc. And Formerly With Broad Street Capital Markets, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Ernest Dahlman of B. Riley Securities, Inc.? Ernest Dahlman (CRD #2166217) who is currently registered with B. Riley Securities, Inc. and located in Costa Mesa, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to B. Riley Securities, Inc., Ernest Dahlman was associated with Broad Street Capital Markets, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ernest Dahlman Customer Complaint Ernest Dahlman has been the subject of at least one customer complaint that we know about, which was filed to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were allegations of fraud, fraudulent concealment, negligence, breach of fiduciary duty in violation of Penal Code 496 related to a private placement investment. The customer complaint filed against Ernest Dahlman’s former employer Pacific Imperial Railroad for investment losses caused by the alleged misconduct is pending as of the date of this report. Ernest Dahlman Red Flags & Your Rights As An Investor Of course, Ernest Dahlman 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 Ernest Dahlman at B. Riley Securities, Inc. and Broad Street Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Ernest Dahlman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Securities, Inc. and Broad Street Capital Markets, 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 B. Riley Securities, Inc. Due To Ernest Dahlman If you have questions about B. Riley Securities, Inc., Broad Street Capital Markets, LLC, and/or Ernest Dahlman 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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