Jan 20, 2022

Edward Colley of PFS Investments

DID EDWARD EUGENE COLLEY CAUSE YOU INVESTMENT LOSSES? Edward Colley of PFS Investments Has A Customer Complaint for Alleged Broker Misconduct Who is Edward Colley of PFS Investments? Edward Colley (CRD #1395769) who is currently registered with PFS Investments and located in Mechanicsville, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Edward Colley Customer Complaint Edward Colley 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 customer alleged that Edward Colley failed to follow his instructions regarding the transfer-in-kind of his investments. Edward Colley’s customer complaint was settled in favor of the investors. Edward Colley Red Flags & Your Rights as An Investor Of course, Edward Colley 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 that should put all current and former customers of Edward Colley at PFS Investments on alert to review carefully the activity and performance of their accounts and question whether Edward Colley has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at PFS Investments 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 PFS Investments Due to Edward Colley If you have questions about PFS Investments and/or Edward Colley 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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Jan 20, 2022

Jennifer Broderick of UBS Financial Services Inc.

DID JENNIFER TAYLOR BRODERICK CAUSE YOU INVESTMENT LOSSES? Jennifer Broderick of UBS Financial Services Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Jennifer Broderick of UBS Financial Services Inc.? Jennifer Broderick (CRD #1253679) who is currently registered with UBS Financial Services Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Jennifer Broderick Customer Complaint Jennifer Broderick has been the subject ofat 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 client alleges the investment was not consistent with their investment profile. The client further alleges they asked for the protection of principal with the generation of income through low risk investments. The customer complaint filed against Jennifer Broderick’s current employer UBS Financial Services was denied and the customers did not take any further action. Jennifer Broderick Red Flags & Your Rights As An Investor Of course, Jennifer Broderick 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 Jennifer Broderick at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Jennifer Broderick 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 firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Jennifer Broderick If you have questions about UBS Financial Services Inc., and/or Jennifer Broderick 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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Jan 20, 2022

Gordon Bryan of Ameriprise Financial Services, LLC

DID GORDON LEONARD BRYAN CAUSE YOU INVESTMENT LOSSES? Gordon Bryan of Ameriprise Financial Services, LLC And Formerly With Wells Fargo Clearing Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Gordon Bryan of Ameriprise Financial Services, LLC? Gordon Bryan (CRD #1292315) who is currently registered with Ameriprise Financial Services, LLC and located in Terre Haute, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, LLC, Gordon Bryan was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gordon Bryan Customer Complaints Gordon Bryan has been the subject of 3 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. Two of Gordon Bryan’s 3 customer complaints were settled in favor of investors. One of Gordon Bryan’s customers’ complaints was denied and the customers did not take any further action. Allegations Against Gordon Bryan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleges misrepresentation of sales charges on variable annuity purchases by Gordon Bryan. Clients complained that Gordon Bryan allegedly provided incorrect information regarding available assets and that advisory assets were excessively traded for fees. Gordon Bryan Red Flags & Your Rights As An Investor Of course, Gordon Bryan 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 Gordon Bryan at Ameriprise Financial Services, LLC and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Gordon Bryan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC and Wells Fargo Clearing Services 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 Ameriprise Financial Services, LLC Due To Gordon Bryan If you have questions about Ameriprise Financial Services, LLC, Wells Fargo Clearing Services, and/or Gordon Bryan 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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Jan 20, 2022

John Busco of Laidlaw & Company Ltd.

DID JOHN ANTHONY BUSCO CAUSE YOU INVESTMENT LOSSES? John Busco of Laidlaw & Company (UK) Ltd., Laidlaw Wealth Management And Formerly With Morgan Stanley Has 12 Customer Complaints For Alleged Broker Misconduct Who is John Busco of Laidlaw & Company (UK) Ltd.? John Busco (CRD #825869) who is currently registered with Laidlaw & Company (UK) Ltd., Laidlaw Wealth Management and located in Toms River, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Laidlaw & Company (UK) Ltd., Laidlaw Wealth Management, John Busco was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Busco Customer Complaints John Busco has been the subject of 12 customer complaints that we know about. Four of John Busco’s 12 customer complaints were settled in favor of investors. Eight of John Busco’s customers complaints were denied and the customers did not take any further action. Allegations Against John Busco A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged that John Busco recommended investments in Fannie Mae and Freddie Mac which were unsuitable and failed to curtail further losses. Claimants alleged unsuitability with respect to investments by John Busco. Multiple clients alleged that her account was mishandled, misrepresented and traded in an unsuitable manner by John Busco. Client alleged that his variable annuity is unsuitable and was misrepresented at time of sale by John Busco. Multiple clients alleged that purchases of preferred stocks were misrepresented by John Busco. Client alleged that John Busco made unsuitable recommendations. Client verbally alleged excessive trading with respect to trades in managed accounts by John Busco. Customer alleged John Busco made unsuitable and unauthorized trades in her children’s accounts. The client alleged that every single transaction executed by John Busco was unauthorized. John Busco Red Flags & Your Rights As An Investor Of course, John Busco 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 John Busco at Laidlaw & Company (UK) Ltd., Laidlaw Wealth Management and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether John Busco has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Laidlaw & Company (UK) Ltd., Laidlaw Wealth Management and 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 Laidlaw & Company (UK) Ltd. Due To John Busco If you have questions about Laidlaw & Company (UK) Ltd., Laidlaw Wealth Management, Morgan Stanley, and/or John Busco 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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Jan 20, 2022

Manuel Escobar of NPA Asset Management, LLC

DID MANUEL ESCOBAR CAUSE YOU INVESTMENT LOSSES? Manuel Escobar of NPA Asset Management, LLC, Nationwide Planning Associates, And Formerly With Oriental Financial Services Has 4 Customer Complaints For Alleged Broker Misconduct Who is Manuel Escobar of NPA Asset Management, LLC? Manuel Escobar (CRD #1014769) who is currently registered with NPA Asset Management, LLC, Nationwide Planning Associates and located in Hato Rey, Puerto Rico is a subject of one of our many securities industry sales practice abuse investigations. Prior to NPA Asset Management, LLC, Nationwide Planning Associates, Manuel Escobar was associated with Oriental Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Manuel Escobar Customer Complaints Manuel Escobar has been the subject of 4 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of Manuel Escobar’s 4 customer complaints was settled in favor of investors. One of Manuel Escobar’s customers complaints was denied and the customers did not take any further action. There are currently two pending customer complaints filed against Oriental Financial Services for investment losses caused by Manuel Escobar’s alleged misconduct. Allegations Against Manuel Escobar A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleges that financial advisor caused investment losses due to poor investment counseling. Client alleged Manual Escobar recommended and inappropriate and concentrated investment strategy, committed fraud and breach of fiduciary duty, and negligence. Claimant alleged unsuitable investment recommendations and misleading advice concerning Puerto Rico bonds. Manuel Escobar Red Flags & Your Rights As An Investor Of course, Manuel Escobar 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 Manuel Escobar at NPA Asset Management, LLC, Nationwide Planning Associates and Oriental Financial Services on alert to review carefully the activity and performance of their accounts and question whether Manuel Escobar has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NPA Asset Management, LLC, Nationwide Planning Associates and Oriental Financial Services 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 NPA Asset Management, LLC Due To Manuel Escobar If you have questions about NPA Asset Management, LLC, Nationwide Planning Associates, Oriental Financial Services, and/or Manuel Escobar 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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Jan 20, 2022

James Alioto of Raymond James Associates

DID JAMES FREDERICK ALIOTO CAUSE YOU INVESTMENT LOSSES? James Alioto of Raymond James Associates and Formerly with Wells Fargo Clearing Services Has A Customer Complaint for Alleged Broker Misconduct Who is James Alioto of Raymond James Associates? James Alioto (CRD #827086) who is currently registered with Raymond James Associates and located in Waukesha, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Associates, James Alioto was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Alioto Customer Complaint James Alioto 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 complained that a purchase was transacted in her account without her knowledge or approval. James Alioto’s customer complaint was denied and the customers did not take any further action. James Alioto Red Flags & Your Rights as An Investor Of course, James Alioto 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 that should put all current and former customers of James Alioto at Raymond James Associates and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether James Alioto has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Raymond James Associates and Wells Fargo Clearing Services also raises questions about the brokerage firm 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 Raymond James Associates Due to James Alioto If you have questions about Raymond James Associates, Wells Fargo Clearing Services, and/or James Alioto 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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Jan 20, 2022

James Hager of Securities America

DID JAMES LESTER HAGER JR CAUSE YOU INVESTMENT LOSSES? James Lester Hager Jr of Securities America And Formerly with Woodbury Financial Services Has 2 Customer Complaints for Alleged Broker Misconduct Who is James L. Hager Jr of Securities America? James Hager (CRD #2892679) who is currently registered with Securities America and located in Cary, North Carolina is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Securities America, James Hager was associated with Woodbury Financial Services and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Hager Customer Complaints In his career, James Hager has been the subject of at least two customer complaints that we know about. One of James Hager’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against James Hager’s former employer Woodbury Financial Services for investment losses caused by his alleged misconduct. Allegations Against James Hager   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Breach of fiduciary duty, breach of contract, negligence, negligent supervision with regard to the sale of REITs allegedly made by James Hager. James Hager misrepresented the features and benefits of an Allianz Annuity. James Hager Red Flags & Your Rights as an Investor Of course, James Hager 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 that should put all current and former customers of James Hager at Securities America, Inc. and Woodbury Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether James Hager has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America, Inc. and Woodbury Financial Services, Inc. also raises questions about 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, Inc.   If you have questions about Securities America, Inc., Woodbury Financial Services, Inc., and/or James Hager 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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Jan 20, 2022

James Hunt of APW Capital

DID JAMES HUNT CAUSE YOU INVESTMENT LOSSES? James Hunt of APW Capital And Formerly with Purshe Kaplan Sterling Investments and LPL Financial Has A Customer Complaint for Alleged Broker Misconduct Who is James Hunt of APW Capital? James Hunt (CRD #1375554) who is currently registered with APW Capital and located in Bridgewater, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to APW Capital, James Hunt was associated with Purshe Kaplan Sterling, LPL Financial, and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Hunt Customer Complaint James Hunt 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 alleges misrepresentation of a REIT. James Hunt’s customer complaint was denied and the customers did not take any further action. James Hunt Red Flags & Your Rights as an Investor Of course, James Hunt 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 that should put all current and former customers of James Hunt at APW Capital, Purshe Kaplan Sterling, and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether James Hunt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at APW Capital, Purshe Kaplan Sterling, and LPL Financial 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 APW Capital Due To James Hunt If you have questions about APW Capital, Purshe Kaplan Sterling, LPL Financial, and/or James Hunt 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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Jan 20, 2022

Perry Basch of Morgan Stanley

DID PERRY ALLEN BASCH CAUSE YOU INVESTMENT LOSSES? Perry Basch Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Perry Basch formerly with Morgan Stanley? Perry Basch (CRD #839696) who was formerly registered with Morgan Stanley and located in Las Vegas, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Perry Basch Customer Complaints Perry Basch has been the subject of 2 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of Perry Basch’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Morgan Stanley Smith Barney for investment losses caused by Perry Basch’s alleged misconduct. Allegations Against Perry Basch 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 misrepresentation with respect to annuity investment by Perry Basch. Customer alleged that Perry Basch misrepresented auction rate securities to be liquid investment. Perry Basch Red Flags & Your Rights As An Investor Of course, Perry Basch 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 Perry Basch at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Perry Basch 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 Perry Basch If you have questions about Morgan Stanley, and/or Perry Basch 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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Jan 20, 2022

Robin Blackman of IFP Securities, LLC

DID ROBIN DALE BLACKMAN CAUSE YOU INVESTMENT LOSSES? Robin Blackman of IFP Securities, LLC, Independent Financial Partners And Formerly With LPL Financial Has One Customer Complaint For Alleged Broker Misconduct Who is Robin Blackman of IFP Securities, LLC? Robin Blackman (CRD #1280469) who is currently registered with IFP Securities, LLC, Independent Financial Partners and located in Rochester, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to IFP Securities, LLC, Independent Financial Partners, Robin Blackman was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robin Blackman Customer Complaint Robin Blackman 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 client alleges that the representative did not fully disclose all the facts regarding the policy. Robin Blackman’s customer complaint was denied and the customers did not take any further action. Robin Blackman Red Flags & Your Rights As An Investor Of course, Robin Blackman 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 Robin Blackman at IFP Securities, LLC, Independent Financial Partners and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Robin Blackman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at IFP Securities, LLC, Independent Financial Partners and LPL Financial 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 IFP Securities, LLC Due To Robin Blackman If you have questions about IFP Securities, LLC, Independent Financial Partners, LPL Financial, and/or Robin Blackman 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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