Nov 16, 2022

David De Nitto of Wells Fargo Clearing Services, LLC

DID DAVID NICHOLAS DE NITTO CAUSE YOU INVESTMENT LOSSES? David De Nitto Of Wells Fargo Clearing Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is David De Nitto of Wells Fargo Clearing Services, LLC? David De Nitto (CRD #3104996) who is currently registered with Wells Fargo Clearing Services, LLC and located in Phoenix, Arizona is a subject of one of our many securities industry sales practice abuse investigations.   David De Nitto Customer Complaint David De Nitto 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 unsuitable recommendation related to a line of credit against client securities was unsuitable. David De Nitto’s customer complaint was denied, and, to date, the customer has not taken any further action. David De Nitto Red Flags & Your Rights As An Investor Of course, David De Nitto 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 David De Nitto at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether David De Nitto 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 David De Nitto If you have questions about Wells Fargo Clearing Services, LLC and/or David De Nitto 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

Nov 16, 2022

David Meminger formerly with Edward Jones

DID DAVID MITCHELL MEMINGER CAUSE YOU INVESTMENT LOSSES? David Meminger Formerly With Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is David Meminger formerly with Edward Jones? David Meminger (CRD #6878239) who was formerly registered with Edward Jones and located in New Bern, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. David Meminger Customer Complaint David Meminger 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 unauthorized trading in common and preferred stocks. David Meminger’s customer complaint was settled in favor of the investor. David Meminger Red Flags & Your Rights As An Investor Of course, David Meminger 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 David Meminger at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether David Meminger 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 David Meminger If you have questions about Edward Jones and/or David Meminger 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

Nov 16, 2022

David Murray formerly with Monmouth Capital Management LLC

DID DAVID MICHAEL MURRAY CAUSE YOU INVESTMENT LOSSES? David Murray Formerly With Monmouth Capital Management LLC, Worden Capital Management LLC, And Laidlaw & Company (UK) Ltd. Has 5 Customer Complaints For Alleged Broker Misconduct Who is David Murray formerly with Monmouth Capital Management LLC? David Murray (CRD #1870050) who was formerly registered with Monmouth Capital Management LLC and located in Point Pleasant Beach, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Monmouth Capital Management LLC, David Murray was associated with Worden Capital Management LLC, Laidlaw & Company (UK) Ltd., and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Murray Customer Complaints David Murray has been the subject of 5 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Three of David Murray’s 5 customer complaints were settled in favor of investors. One of David Murray’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 David Murray’s former employer Laidlaw & Company (UK) Ltd. for investment losses caused by the alleged misconduct. Allegations Against David Murray 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, overconcentration and excessive trading of common and preferred stocks Unauthorized trading Misrepresentation of over-the-counter securities Overconcentration, unsuitability and excessive trading of common and preferred stocks David Murray Red Flags & Your Rights As An Investor Of course, David Murray 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 David Murray at Monmouth Capital Management LLC, Worden Capital Management LLC, and Laidlaw & Company (UK) Ltd. on alert to review carefully the activity and performance of their accounts and question whether David Murray has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Monmouth Capital Management LLC, Worden Capital Management LLC, and Laidlaw & Company (UK) Ltd. 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 Monmouth Capital Management LLC Due To David Murray If you have questions about Monmouth Capital Management LLC, Worden Capital Management LLC, Laidlaw & Company (UK) Ltd., and/or David Murray 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

Nov 16, 2022

David Lademan formerly with LPL Financial LLC

DID DAVID MICHAEL LADEMAN CAUSE YOU INVESTMENT LOSSES? David Lademan Formerly With LPL Financial LLC And Kalos Capital, Inc. Has 6 Customer Complaints For Alleged Broker Misconduct Who is David Lademan formerly with LPL Financial LLC? David Lademan (CRD #2479077) who was formerly registered with LPL Financial LLC and located in Okemos, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, David Lademan was associated with Kalos Capital, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Lademan Customer Complaints David Lademan has been the subject of 6 customer complaints that we know about, 5 of those complaints were filed in the last year to recover investment losses. Three of David Lademan’s 6 customer complaints were settled in favor of investors.  One of David Lademan’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 David Lademan’s former employer Kalos Capital, Inc.  for investment losses caused by the alleged misconduct. Allegations Against David Lademan 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 and failure to perform due diligence on GPB Capital Holdings Overconcentration in direct investments involving real estate securities and private equity Misrepresentation to induce investment in annuity contracts Breach of Fiduciary Duty, unsuitable investment recommendations, and breach of contract related to private placements in real estate securities False and misleading statements and omissions of material fact, breach of fiduciary duty, breach of contract, negligence involving direct investments in equipment leasing in real estate securities David Lademan Red Flags & Your Rights As An Investor Of course, David Lademan 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 David Lademan at LPL Financial LLC and Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Lademan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Kalos 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 LPL Financial LLC Due To David Lademan If you have questions about LPL Financial LLC, Kalos Capital, Inc., and/or David Lademan 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

Nov 15, 2022

David Karandos formerly with Dinosaur Financial Group, LLC

DID DAVID MICHAEL KARANDOS CAUSE YOU INVESTMENT LOSSES? David Karandos Formerly With Dinosaur Financial Group, LLC Has 7 Customer Complaints For Alleged Broker Misconduct Who is David Karandos formerly with Dinosaur Financial Group, LLC? David Karandos (CRD #1934119) who was formerly registered with Dinosaur Financial Group, LLC and located in Indianapolis, Indiana has been the subject of three regulatory investigations and actions and permanently barred from association with any FINRA member firm. He is also a subject of one of our many securities industry sales practice abuse investigations.   David Karandos Customer Complaints David Karandos has been the subject of 7 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Three of David Karandos’ 7 customer complaints were settled in favor of investors. One of David Karandos’ customer complaints was denied and, to date, the customer has not taken any further action. There are currently 3 pending customer complaints filed against David Karandos’ former employers Dinosaur Financial Group, LLC and DLG Wealth Management LLC for investment losses caused by the alleged misconduct. Allegations Against David Karandos 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 to Indiana Teachers Association in making excessive alternative investments Breach of Fiduciary Duty in making unsuitable recommendations of volatile, high risk, and illiquid investments. Unsuitable and unauthorized transactions Unsuitable recommendations to invest in private placements and viatical settlement contracts Unsuitable recommendations of alternative investments David Karandos Red Flags & Your Rights As An Investor Of course, David Karandos 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 David Karandos at Dinosaur Financial Group, LLC on alert to review carefully the activity and performance of their accounts and question whether David Karandos has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Dinosaur Financial Group, 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 Dinosaur Financial Group, LLC Due To David Karandos If you have questions about Dinosaur Financial Group, LLC and/or David Karandos 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

Nov 15, 2022

David Cohen of Craft Capital Management LLC

DID DAVID MATTHEW COHEN CAUSE YOU INVESTMENT LOSSES? David Cohen Of Craft Capital Management LLC And Formerly With Spartan Capital Securities, LLC Has 5 Customer Complaints For Alleged Broker Misconduct Who is David Cohen of Craft Capital Management LLC? David Cohen (CRD #5858234) who is currently registered with Craft Capital Management LLC and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Craft Capital Management LLC, David Cohen was associated with Spartan Capital Securities, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David Cohen Customer Complaints David Cohen has been the subject of 5 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Four of David Cohen’s 5 customer complaints were settled in favor of investors. One of David Cohen’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against David Cohen A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable trading in common and preferred stocks Excessive commissions, unauthorized trading, and failure to place stop loss order Unauthorized trading Excessive trading and improper use of margin account Misrepresentation of account value David Cohen Red Flags & Your Rights As An Investor Of course, David Cohen 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 David Cohen at Craft Capital Management LLC and Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether David Cohen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Craft Capital Management LLC and Spartan Capital Securities, 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 Craft Capital Management LLC Due To David Cohen If you have questions about Craft Capital Management LLC, Spartan Capital Securities, LLC, and/or David Cohen 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

Nov 15, 2022

David Anderson formerly with TIAA-CREF Individual & Institutional Services

DID DAVID MARK ANDERSON CAUSE YOU INVESTMENT LOSSES? David Anderson Formerly With TIAA-CREF Individual & Institutional Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is David Anderson formerly with TIAA-CREF Individual & Institutional Services? David Anderson (CRD #4530641) who was formerly registered with TIAA-CREF Individual & Institutional Services, LLC and located in Charlotte, North Carolina is a subject of one of our many securities industry sales practice abuse investigations.   David Anderson Customer Complaint David Anderson 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 misrepresentations to induce the purchase of an annuity. David Anderson’s customer complaint was settled in favor of the investors. David Anderson Red Flags & Your Rights As An Investor Of course, David Anderson 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 David Anderson at TIAA-CREF Individual & Institutional Services, LLC on alert to review carefully the activity and performance of their accounts and question whether David Anderson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TIAA-CREF Individual & Institutional 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 TIAA-CREF Individual & Institutional Services, LLC Due To David Anderson If you have questions about TIAA-CREF Individual & Institutional Services, LLC and/or David Anderson 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

Nov 15, 2022

David Estrella of Vanguard Marketing Corporation

DID DAVID MANUEL ESTRELLA CAUSE YOU INVESTMENT LOSSES? David Estrella Of Vanguard Marketing Corporation Has A Customer Complaint For Alleged Broker Misconduct Who is David Estrella of Vanguard Marketing Corporation? David Estrella (CRD #5421634) who is currently registered with Vanguard Marketing Corporation and located in Malvern, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.   David Estrella Customer Complaint David Estrella 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 David Estrella ignored the client’s instructions to minimize his stock holding exposure. David Estrella’s customer complaint was denied, and, to date, the customer has not taken any further action. David Estrella Red Flags & Your Rights As An Investor Of course, David Estrella 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 David Estrella at Vanguard Marketing Corporation on alert to review carefully the activity and performance of their accounts and question whether 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 David Estrella If you have questions about Vanguard Marketing Corporation and/or David Estrella 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

Nov 15, 2022

David Martinez formerly with Ameriprise Financial Services, LLC

DID DAVID LEWIS MARTINEZ CAUSE YOU INVESTMENT LOSSES? David Martinez Formerly With Ameriprise Financial Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is David Martinez formerly with Ameriprise Financial Services, LLC? David Martinez (CRD #2380628) who was formerly registered with Ameriprise Financial Services, LLC and located in Austin, Texas is a subject of one of our many securities industry sales practice abuse investigations.   David Martinez Customer Complaint David Martinez 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 failure to follow client instructions. David Martinez’s customer complaint was denied, and, to date, the customer has not taken any further action. David Martinez Red Flags & Your Rights As An Investor Of course, David Martinez 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 David Martinez at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether David Martinez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Ameriprise Financial Services, LLC Due To David Martinez If you have questions about Ameriprise Financial Services, LLC and/or David Martinez 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

Nov 15, 2022

David Arlein of Cabot Lodge Securities LLC

DID DAVID LESLIE ARLEIN CAUSE YOU INVESTMENT LOSSES? David Arlein Of Cabot Lodge Securities LLC Has 20 Customer Complaints For Alleged Broker Misconduct Who is David Arlein of Cabot Lodge Securities LLC? David Arlein (CRD #7145) who is currently registered with Cabot Lodge Securities LLC and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations.     David Arlein Customer Complaints David Arlein has been the subject of 20 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Four of David Arlein’s 20 customer complaints resulted in Awards in favor of investors. Fifteen of David Arlein’s customer complaints were settled in favor of investors.  One of David Arlein’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against David Arlein 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 resulting in multiple arbitration awards Breach of contract, violation of state securities statutes, breach of fiduciary duty, misrepresentation, and negligence related to various alternative investments Unsuitable recommendations and negligence related to various alternative investments Unsuitable recommendations of various illiquid alternative investments Unsuitable recommendations and misrepresentations of investments Unsuitable recommendations to purchase low grade corporate bonds Unsuitable investment strategy Unsuitable recommendations to purchase high yield mutual funds David Arlein Red Flags & Your Rights As An Investor Of course, David Arlein 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 David Arlein at Cabot Lodge Securities LLC on alert to review carefully the activity and performance of their accounts and question whether David Arlein has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cabot Lodge Securities 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 Cabot Lodge Securities LLC Due To David Arlein If you have questions about Cabot Lodge Securities LLC and/or David Arlein 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