Nov 30, 2022

Derek Ghiotto of PNC Investments

DID DEREK MICHAEL GHIOTTO CAUSE YOU INVESTMENT LOSSES? Derek Ghiotto Of PNC Investments Has 2 Customer Complaints For Alleged Broker Misconduct Who is Derek Ghiotto of PNC Investments? Derek Ghiotto (CRD #6128309) who is currently registered with PNC Investments and located in Plainfield, Illinois is a subject of one of our many securities industry sales practice abuse investigations.   Derek Ghiotto Customer Complaints Derek Ghiotto 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. Both of Derek Ghiotto’s customer complaints were settled in favor of investors. Allegations Against Derek Ghiotto A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Breach of fiduciary duty and breach of contract related to a managed account asset allocation. Failure to disclose surrender penalty associated with an annuity exchange. Derek Ghiotto Red Flags & Your Rights As An Investor Of course, Derek Ghiotto 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 Derek Ghiotto at PNC Investments on alert to review carefully the activity and performance of their accounts and question whether Derek Ghiotto has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PNC Investments 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 PNC Investments Due To Derek Ghiotto If you have questions about PNC Investments and/or Derek Ghiotto 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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Nov 29, 2022

Derek McLean of First Allied Securities, Inc.

DID DEREK GUY MCLEAN CAUSE YOU INVESTMENT LOSSES? Derek McLean Of First Allied Securities, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Derek McLean of First Allied Securities, Inc.? Derek McLean (CRD #1939560) who is currently registered with First Allied Securities, Inc. and located in Orange, California is a subject of one of our many securities industry sales practice abuse investigations.     Derek McLean Customer Complaint Derek McLean 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 the financial advisor recommended a complex investments that were unsuitable involving variable annuities and real estate securities. Derek McLean’s customer complaint was settled in favor of the investor. Derek McLean Red Flags & Your Rights As An Investor Of course, Derek McLean 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 Derek McLean at First Allied Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Derek McLean has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Allied Securities, 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 First Allied Securities, Inc. Due To Derek McLean If you have questions about First Allied Securities, Inc. and/or Derek McLean 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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Nov 29, 2022

Denny Chu of formerly with J.P. Morgan Securities LLC

DID DENNY VAN CHU CAUSE YOU INVESTMENT LOSSES? Denny Chu Of J.P. Morgan Securities LLC And Formerly With Wells Fargo Advisors, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Denny Chu of formerly with J.P. Morgan Securities LLC? Denny Chu (CRD #6091181) who is currently registered with J.P. Morgan Securities LLC and located in Katy, Texas is a subject of one of our many securities industry sales practice abuse investigations.  Prior to J.P. Morgan Securities LLC, Denny Chu was associated with Wells Fargo Advisors, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Denny Chu Customer Complaint Denny Chu 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 for misrepresentations related to a mutual fund investment. Denny Chu’s customer complaint was denied and, to date, the customer has not taken any further action. Denny Chu Red Flags & Your Rights As An Investor Of course, Denny Chu 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 Denny Chu at J.P. Morgan Securities LLC and Wells Fargo Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Denny Chu has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities LLC and Wells Fargo Advisors, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At J.P. Morgan Securities LLC Due To Denny Chu If you have questions about J.P. Morgan Securities LLC, Wells Fargo Advisors, LLC, and/or Denny Chu 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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Nov 29, 2022

Dennis Riordan formerly with Wynston Hill Capital, LLC

DID DENNIS VINCENT RIORDAN CAUSE YOU INVESTMENT LOSSES? Dennis Riordan Formerly With Wynston Hill Capital, LLC And Aeon Capital Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Dennis Riordan formerly with Wynston Hill Capital, LLC? Dennis Riordan (CRD #2412563) who was formerly registered with Wynston Hill Capital, LLC and located in Bronx, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wynston Hill Capital, LLC, Dennis Riordan was associated with Aeon Capital Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Dennis Riordan has been suspended by FINRA and had his license revoked in 2 states. Dennis Riordan Customer Complaints Dennis Riordan has been the subject of 4 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Two of Dennis Riordan’s 4 customer complaints were settled in favor of investors. One of Dennis Riordan’s customer complaints was denied, and, to date, the customer has not taken any further action. There is currently 1 pending customer complaint filed against Dennis Riordan’s former employer Portfolio Advisors Alliance for investment losses caused by the alleged misconduct.   Allegations Against Dennis Riordan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendation of a private placement investment. Failure to follow customer’s instructions. Excessive trading in unsuitable investments. Unauthorized trading, fraud, misrepresentation, negligence, breach of contract and breach of fiduciary duty related to common and preferred stocks. Dennis Riordan Red Flags & Your Rights As An Investor Of course, Dennis Riordan 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 Dennis Riordan at Wynston Hill Capital, LLC and Aeon Capital Inc. on alert to review carefully the activity and performance of their accounts and question whether Dennis Riordan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wynston Hill Capital, LLC and Aeon Capital 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 Wynston Hill Capital, LLC Due To Dennis Riordan If you have questions about Wynston Hill Capital, LLC, Aeon Capital Inc., and/or Dennis Riordan 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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Nov 29, 2022

Dennis Rife of Royal Alliance Associates, Inc.

DID DENNIS TODD RIFE CAUSE YOU INVESTMENT LOSSES? Dennis Rife Of Royal Alliance Associates, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Dennis Rife of Royal Alliance Associates, Inc.? Dennis Rife (CRD #2534229) who is currently registered with Royal Alliance Associates, Inc. and located in Maumee, Ohio is a subject of one of our many securities industry sales practice abuse investigations.  Dennis Rife Customer Complaint Dennis Rife 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 the financial advisor recommended to investments that were not consistent with customers needs and objectives related to a business development company. Dennis Rife’s customer complaint was settled in favor of the investor. Dennis Rife Red Flags & Your Rights As An Investor Of course, Dennis Rife 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 Dennis Rife at Royal Alliance Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Dennis Rife has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates, 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 Royal Alliance Associates, Inc. Due To Dennis Rife If you have questions about Royal Alliance Associates, Inc. and/or Dennis Rife 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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Nov 29, 2022

Dennis Oleszkowicz of UBS Financial Services Inc.

DID DENNIS STEPHEN OLESZKOWICZ CAUSE YOU INVESTMENT LOSSES? Dennis Oleszkowicz Of UBS Financial Services Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Dennis Oleszkowicz of UBS Financial Services Inc.? Dennis Oleszkowicz (CRD #837970) who is currently registered with UBS Financial Services Inc. and located in Birmingham, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Dennis Oleszkowicz Customer Complaints Dennis Oleszkowicz has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Two of Dennis Oleszkowicz’s 4 customer complaints were settled in favor of investors. One of Dennis Oleszkowicz’s customer complaints was denied and, to date, the customer has not taken any further action. There is currently 1 pending customer complaint filed against Dennis Oleszkowicz’s current employer UBS Financial Services Inc. for investment losses caused by the alleged misconduct. Allegations Against Dennis Oleszkowicz A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Failure to follow client’s instructions to remove restricted status of his shares of stock resulted in lost opportunity damages. Customer alleged misrepresentations and securities fraud, breach of fiduciary duty, breach of contract related to stock option investments. Failure to transfer accounts and timely manner. Dennis Oleszkowicz Red Flags & Your Rights As An Investor Of course, Dennis Oleszkowicz 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 Dennis Oleszkowicz at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Dennis Oleszkowicz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about the brokerage 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 Dennis Oleszkowicz If you have questions about UBS Financial Services Inc. and/or Dennis Oleszkowicz 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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Nov 28, 2022

Dennis Robberecht of Hilltop Securities Inc.

DID DENNIS ROBBERECHT CAUSE YOU INVESTMENT LOSSES? Dennis Robberecht Of Hilltop Securities Inc. Has 6 Customer Complaints For Alleged Broker Misconduct Who is Dennis Robberecht of Hilltop Securities Inc.? Dennis Robberecht (CRD #1213446) who is currently registered with Hilltop Securities Inc. and located in Roseville, California is a subject of one of our many securities industry sales practice abuse investigations. Dennis Robberecht Customer Complaints Dennis Robberecht has been the subject of 6 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Dennis Robberecht’s 6 customer complaints was settled in favor of investor. Five of Dennis Robberecht’s customer complaints were denied, and, to date, the customers have not taken any further action. Allegations Against Dennis Robberecht A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendations in breach of brokers fiduciary duty. Misrepresentation of unit investment trust investment. Unauthorized trading. Failure to follow client’s instructions related to continuation of trading in client’s account. Unauthorized trading and unsuitable investment recommendations of closed-end funds, mutual funds, and collateralized mortgage obligations. Excessive trading in a client’s account. Dennis Robberecht Red Flags & Your Rights As An Investor Of course, Dennis Robberecht 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 Dennis Robberecht at Hilltop Securities Inc. on alert to review carefully the activity and performance of their accounts and question whether Dennis Robberecht has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Hilltop Securities 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 Hilltop Securities Inc. Due To Dennis Robberecht If you have questions about Hilltop Securities Inc. and/or Dennis Robberecht 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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Nov 28, 2022

Dennis Plagenz formerly with Harbour Investments, Inc.

DID DENNIS RICHARD PLAGENZ CAUSE YOU INVESTMENT LOSSES? Dennis Plagenz Formerly With Harbour Investments, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Dennis Plagenz formerly with Harbour Investments, Inc.? Dennis Plagenz (CRD #1515255) who was formerly registered with Harbour Investments, Inc. and located in Ripon, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations.   Dennis Plagenz Customer Complaint Dennis Plagenz 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 negligent misrepresentation, unsuitable investment recommendations, and negligence related to the offer and sale of the variable annuity contract. Dennis Plagenz’s customer complaint was settled in favor of the investor. Dennis Plagenz Red Flags & Your Rights As An Investor Of course, Dennis Plagenz 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 Dennis Plagenz at Harbour Investments, Inc. on alert to review carefully the activity and performance of their accounts and question whether Dennis Plagenz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Harbour Investments, 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 Harbour Investments, Inc. Due To Dennis Plagenz If you have questions about Harbour Investments, Inc. and/or Dennis Plagenz 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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Nov 28, 2022

Dennis Fearing formerly with Berthel, Fisher & Company Financial Services, Inc.

DID DENNIS MICHAEL FEARING CAUSE YOU INVESTMENT LOSSES? Dennis Fearing Formerly With Berthel, Fisher & Company Financial Services, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Dennis Fearing formerly with Berthel, Fisher & Company Financial Services, Inc.? Dennis Fearing (CRD #1288339) who was formerly registered with Berthel, Fisher & Company Financial Services, Inc. and located in Coleraine, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Dennis Fearing Customer Complaints Dennis Fearing has been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. One of Dennis Fearing’s 4 customer complaints was settled in favor of investor. One of Dennis Fearing’s customer complaints was denied and, to date, the customer has not taken any further action. There are currently 2 pending customer complaints filed against Dennis Fearing’s former employer Berthel, Fisher & Company Financial Services, Inc. for investment losses caused by the alleged misconduct. Allegations Against Dennis Fearing A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Breach of fiduciary duty and misrepresentation of the risk of investments and failure to disclose excessive fees related to REITs and business development companies. Misrepresentation of insurance policy at point-of-sale. Overconcentration of investments and privately traded products. Misrepresentations and unsuitable investment recommendations of REITs and business development company investments. Unsuitable investment recommendations of REITs and business development company investments along with failure to conduct adequate due diligence of said investments prior to recommendation. Dennis Fearing Red Flags & Your Rights As An Investor Of course, Dennis Fearing 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 Dennis Fearing at Berthel, Fisher & Company Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Dennis Fearing 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 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 Berthel, Fisher & Company Financial Services, Inc. Due To Dennis Fearing If you have questions about Berthel, Fisher & Company Financial Services, Inc. and/or Dennis Fearing 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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Nov 28, 2022

Dennis Goldy formerly with Wells Fargo Clearing Services LLC

DID DENNIS MARK GOLDY CAUSE YOU INVESTMENT LOSSES? Dennis Goldy Formerly With Wells Fargo Clearing Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Dennis Goldy formerly with Wells Fargo Clearing Services, LLC? Dennis Goldy (CRD #224712) who was formerly registered with Wells Fargo Clearing Services, LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Dennis Goldy Customer Complaint Dennis Goldy 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 related to an unsuitable investment strategy. Dennis Goldy’s customer complaint was denied and, to date, the customer has not taken any further action. Dennis Goldy Red Flags & Your Rights As An Investor Of course, Dennis Goldy 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 Dennis Goldy at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Dennis Goldy has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 At Wells Fargo Clearing Services, LLC Due To Dennis Goldy If you have questions about Wells Fargo Clearing Services, LLC and/or Dennis Goldy 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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