Mar 4, 2022

Alex Yoo of Woodbury Financial Services

DID ALEX G. YOO CAUSE YOU INVESTMENT LOSSES? Alex Yoo Of Woodbury Financial Services And Formerly With Questar Capital Has A Customer Complaint For Alleged Broker Misconduct Who is Alex Yoo of Woodbury Financial Services? Alex Yoo (CRD #5287638) who is currently registered with Woodbury Financial Services and located in Anaheim, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Woodbury Financial Services, Alex Yoo was associated with Questar Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Alex Yoo Customer Complaint Alex Yoo 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 misrepresentation in the sale of a variable annuity. Client also alleged she was asked to sign paperwork in advance before completion, and that representative was unresponsive to requests for information. Alex Yoo’s customer complaint was settled in favor of the investors. Alex Yoo Red Flags & Your Rights As An Investor Of course, Alex Yoo 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 Alex Yoo at Woodbury Financial Services and Questar Capital on alert to review carefully the activity and performance of their accounts and question whether Alex Yoo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Woodbury Financial Services and Questar Capital 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 Woodbury Financial Services Due To Alex Yoo If you have questions about Woodbury Financial Services, Questar Capital, and/or Alex Yoo 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 4, 2022

Thomas Zitzmann of Securities America

DID THOMAS ZITZMANN CAUSE YOU INVESTMENT LOSSES? Thomas Zitzmann Of Securities America And Formerly With KMS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Thomas Zitzmann of Securities America? Thomas Zitzmann (CRD #4603874) who is currently registered with Securities America and located in Anchorage, Alaska is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securities America, Thomas Zitzmann was associated with KMS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Thomas Zitzmann Customer Complaint Thomas Zitzmann 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. Client was frustrated about delays associated with transferring assets from Nassau RE to Pershing. The customer complaint filed against Thomas Zitzmann’s former employer KMS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Thomas Zitzmann Red Flags & Your Rights As An Investor Of course, Thomas Zitzmann 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 Thomas Zitzmann at Securities America and KMS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Thomas Zitzmann has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America and KMS Financial Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Securities America Due To Thomas Zitzmann If you have questions about Securities America, KMS Financial Services, and/or Thomas Zitzmann 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 4, 2022

Joseph Rossetti of Benchmark Investments

DID JOSEPH F. ROSSETTI CAUSE YOU INVESTMENT LOSSES? Joseph Rossetti Of Benchmark Investments And Formerly With I-Bankers Direct And MML Investors Services Has A Customer Complaint For Alleged Broker Misconduct Who is Joseph Rossetti of Benchmark Investments? Joseph Rossetti (CRD #5324812) who is currently registered with Benchmark Investments and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Benchmark Investments, Joseph Rossetti was associated with I-Bankers Direct, MML Investors Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joseph Rossetti Customer Complaint Joseph Rossetti 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 complainant alleged that the variable annuity that she purchased was misrepresented. She wanted her money returned without penalty. Joseph Rossetti’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. Joseph Rossetti Red Flags & Your Rights As An Investor Of course, Joseph Rossetti did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Joseph Rossetti at Benchmark Investments, I-Bankers Direct, and MML Investors Services on alert to review carefully the activity and performance of their accounts and question whether Joseph Rossetti has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Benchmark Investments, I-Bankers Direct, and MML Investors Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Benchmark Investments Due To Joseph Rossetti If you have questions about Benchmark Investments, I-Bankers Direct, MML Investors Services, and/or Joseph Rossetti 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 4, 2022

Tara Rotfeld of Edward Jones

DID TARA LEIGH ROTFELD CAUSE YOU INVESTMENT LOSSES? Tara Rotfeld Of Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Tara Rotfeld of Edward Jones? Tara Rotfeld (CRD #5780116) who is currently registered with Edward Jones and located in Waukesha, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Tara Rotfeld Customer Complaint Tara Rotfeld 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 negligence, negligent misrepresentation, and unsuitability. The causes of action related to claimant’s allegation that the recommendation to transfer funds from their American Fund investments to other American Funds investments was negligent and unsuitable. An arbitration award was entered against Edward Jones for Tara Rotfeld’s alleged misconduct causing investors losses. Tara Rotfeld Red Flags & Your Rights As An Investor Of course, Tara Rotfeld 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 Tara Rotfeld at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Tara Rotfeld 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 Tara Rotfeld If you have questions about Edward Jones and/or Tara Rotfeld 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 4, 2022

Jonathan Rothman of Morgan Stanley

DID JONATHAN DAVID ROTHMAN CAUSE YOU INVESTMENT LOSSES? Jonathan Rothman Of Morgan Stanley And Formerly With Rose & Co. Capital Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Jonathan Rothman of Morgan Stanley? Jonathan Rothman (CRD #5571493) who is currently registered with Morgan Stanley and located in Warren, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Jonathan Rothman was associated with Rose & Co. Capital Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jonathan Rothman Customer Complaint Jonathan Rothman has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that he did not authorize a liquidity access line for his account. Alleged damages unspecified. Jonathan Rothman’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Jonathan Rothman Red Flags & Your Rights As An Investor Of course, Jonathan Rothman did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Jonathan Rothman at Morgan Stanley and Rose & Co. Capital Advisors on alert to review carefully the activity and performance of their accounts and question whether Jonathan Rothman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and Rose & Co. Capital 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 Morgan Stanley Due To Jonathan Rothman If you have questions about Morgan Stanley, Rose & Co. Capital Advisors, and/or Jonathan Rothman 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 4, 2022

Elaine Roumillat of MML Investors Services

DID ELAINE ROUMILLAT CAUSE YOU INVESTMENT LOSSES? Elaine Roumillat Of MML Investors Services Has A Customer Complaint For Alleged Broker Misconduct Who is Elaine Roumillat of MML Investors Services? Elaine Roumillat (CRD #6749793) who is currently registered with MML Investors Services and located in Dallas, Texas is a subject of one of our many securities industry sales practice abuse investigations. Elaine Roumillat Customer Complaint Elaine Roumillat 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 customer alleged that the representative invested her in an unsuitable investment portfolio by exceeding her risk tolerance parameters and made unauthorized trades. The customer complaint filed against Elaine Roumillat’s current employer MML Investors Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Elaine Roumillat Red Flags & Your Rights As An Investor Of course, Elaine Roumillat 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 Elaine Roumillat at MML Investors Services on alert to review carefully the activity and performance of their accounts and question whether Elaine Roumillat has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At MML Investors Services Due To Elaine Roumillat If you have questions about MML Investors Services and/or Elaine Roumillat 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 4, 2022

Joseph Rozof of Revere Securities

DID JOSEPH W. ROZOF CAUSE YOU INVESTMENT LOSSES? Joseph Rozof Of Revere Securities And Formerly With Aegis Capital, Laidlaw & Company (UK) And National Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Joseph Rozof of Revere Securities? Joseph Rozof (CRD #5274784) who is currently registered with Revere Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Revere Securities, Joseph Rozof was associated with Aegis Capital, Laidlaw & Company (UK), National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joseph Rozof Customer Complaint Joseph Rozof 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 client alleged unsuitable investment recommendations. Joseph Rozof’s customer complaint was settled in favor of the investors. Joseph Rozof Red Flags & Your Rights As An Investor Of course, Joseph Rozof did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Joseph Rozof at Revere Securities, Aegis Capital, Laidlaw & Company (UK), and National Securities on alert to review carefully the activity and performance of their accounts and question whether Joseph Rozof has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Revere Securities, Aegis Capital, Laidlaw & Company (UK), and National 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 Revere Securities Due To Joseph Rozof If you have questions about Revere Securities, Aegis Capital, Laidlaw & Company (UK), National Securities, and/or Joseph Rozof 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 4, 2022

Jonathan Rynsky of Morgan Stanley

DID JONATHAN ERIK RYNSKY CAUSE YOU INVESTMENT LOSSES? Jonathan Rynsky Of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jonathan Rynsky of Morgan Stanley? Jonathan Rynsky (CRD #4546910) who is currently registered with Morgan Stanley and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Jonathan Rynsky Customer Complaints Jonathan Rynsky has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Jonathan Rynsky’s 2 customer complaints was settled in favor of investors. One of Jonathan Rynsky’s customers’ complaints 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. Allegations Against Jonathan Rynsky A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The purchase of closed-end fund in account by Jonathan Rynsky was unauthorized. Client alleged an unsuitable recommendation by Jonathan Rynsky relating to the liquidity of an auction rate security. Jonathan Rynsky Red Flags & Your Rights As An Investor Of course, Jonathan Rynsky did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Jonathan Rynsky at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jonathan Rynsky 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 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 Morgan Stanley Due To Jonathan Rynsky If you have questions about Morgan Stanley and/or Jonathan Rynsky 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 4, 2022

Guilherme Sahadi of Wells Fargo Clearing Services

DID GUILHERME SILVEIRA SAHADI CAUSE YOU INVESTMENT LOSSES? Guilherme Sahadi Of Wells Fargo Clearing Services And Formerly With Citigroup Global Markets Has 2 Customer Complaints For Alleged Broker Misconduct Who is Guilherme Sahadi of Wells Fargo Clearing Services? Guilherme Sahadi (CRD #6473850) who is currently registered with Wells Fargo Clearing Services and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Guilherme Sahadi was associated with Citigroup Global Markets and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Guilherme Sahadi Customer Complaints Guilherme Sahadi has been the subject of 2 customer complaints that we know about, which were filed in the last year to recover investment losses. Both customer complaints filed against Guilherme Sahadi’s current employer Wells Fargo Clearing Services for investment losses caused by the alleged misconduct are pending as of the date of this report. Allegations Against Guilherme Sahadi A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged that Guilherme Sahadi made unsuitable recommendations. Claimant alleged that Guilherme Sahadi over-concentrated his account in risky securities. Guilherme Sahadi Red Flags & Your Rights As An Investor Of course, Guilherme Sahadi 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 Guilherme Sahadi at Wells Fargo Clearing Services and Citigroup Global Markets on alert to review carefully the activity and performance of their accounts and question whether Guilherme Sahadi has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services and Citigroup Global Markets 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 Due To Guilherme Sahadi If you have questions about Wells Fargo Clearing Services, Citigroup Global Markets, and/or Guilherme Sahadi 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 4, 2022

Paul Saltaformaggio of LPL Financial

DID PAUL VINCENT SALTAFORMAGGIO CAUSE YOU INVESTMENT LOSSES? Paul Saltaformaggio Of LPL Financial, Stratos Wealth Partners Ltd And Formerly With Capital One Investing, Capital One Advisors And Capital One Financial Advisors Has 2 Customer Complaints For Alleged Broker Misconduct Who is Paul Saltaformaggio of LPL Financial? Paul Saltaformaggio (CRD #4599534) who is currently registered with LPL Financial, Stratos Wealth Partners Ltd and located in Baton Rouge, Louisiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial and Stratos Wealth Partners Ltd, Paul Saltaformaggio was associated with Capital One Investing, Capital One Advisors, Capital One Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Paul Saltaformaggio Customer Complaints Paul Saltaformaggio has been the subject of 2 customer complaints that we know about. Both of Paul Saltaformaggio’s customers’ complaints were denied and, to date, the customers have 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. Allegations Against Paul Saltaformaggio A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged that sale of ETF’s by Paul Saltaformaggio was unauthorized. Customer alleged Paul Saltaformaggio’s advice to move from a fixed annuity to a variable annuity was not sound advice. Paul Saltaformaggio Red Flags & Your Rights As An Investor Of course, Paul Saltaformaggio 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 Paul Saltaformaggio at LPL Financial, Stratos Wealth Partners Ltd, Capital One Investing, Capital One Advisors, Capital One Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Paul Saltaformaggio has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, Stratos Wealth Partners Ltd, Capital One Investing, Capital One Advisors, Capital One Financial Advisors 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 Due To Paul Saltaformaggio If you have questions about LPL Financial, Stratos Wealth Partners Ltd, Capital One Investing, Capital One Advisors, Capital One Financial Advisors, and/or Paul Saltaformaggio 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