Jun 27, 2022

Charles Lawson of UBS Financial Services Inc.

As a client, you put your money in the hands of someone you can trust. This is why it’s critical to learn It’s critical for everyone to understand as much as possible about the people with whom they entrust their money. You may learn a lot of information about someone’s background by going online, including past employment history, regulatory administrative proceedings, and consumer complaints. Such important details might cause you to wonder about Charles Lawson and any money you may have lost. We’ll do everything we can to answer any questions you have. DID CHARLES DAVID LAWSON CAUSE YOU INVESTMENT LOSSES? Charles Lawson Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Charles Lawson of UBS Financial Services Inc.? Charles Lawson (CRD #5452641) who is currently registered with UBS Financial Services Inc. and located in San Jose, California is a subject of one of our many securities industry sales practice abuse investigations. Charles Lawson Customer Complaint Charles Lawson 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 Charles Lawson failed to disclose to customer that his investment was be callable. Charles Lawson’s customer complaint was settled in favor of the investor. Charles Lawson Red Flags & Your Rights As An Investor Of course, Charles Lawson 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 Charles Lawson at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Charles Lawson 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 Charles Lawson If you have questions about UBS Financial Services Inc. and/or Charles Lawson 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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Jun 27, 2022

Luis Garcia Formerly With UBS Financial Services

It’s critical for everyone to know everything there is to know about the individuals with whom they entrust their money. There are several sources where you may learn more about a person’s history, such as past employment history, regulatory legal concerns, and consumer complaints. Important information about Luis Garcia might result in questions regarding your investment losses. We’ll do all we can to answer any inquiries you may have. DID LUIS F GARCIA CAUSE YOU INVESTMENT LOSSES? Luis Garcia Formerly With UBS Financial Services Has 7 Customer Complaints For Alleged Broker Misconduct Who is Luis Garcia formerly with UBS Financial Services? Luis Garcia (CRD #5759714) who was formerly registered with UBS Financial Services and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Luis Garcia Customer Complaints Luis Garcia has been the subject of 7 customer complaints that we know about. All seven of Luis Garcia’s customer complaints were settled in favor of investors. Allegations Against Luis Garcia 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 Luis Garcia’s suitability, misrepresentations, and material misleading investment advice. Claimants alleged Luis Garcia’s misrepresentations and unsuitability in connection with their purchase of a closed-end bond fund. Claimant alleged her investments in Puerto Rican closed-end bond funds were unsuitable, over concentrated and misrepresented by Luis Garcia. Claimants alleged that their investments in Puerto Rican government bonds and Puerto Rican closed end funds were over-concentrated, unsuitable and misrepresented by Luis Garcia. Claimants alleged Luis Garcia’s misrepresentations and unsuitability in connection with their investments in closed-end bond funds and notes issued by the Puerto Rico Conservation Trust Fund. Claimant alleged Luis Garcia’s unsuitability, overconcentration and misrepresentations involving the recommendation of closed-end funds. Claimant alleged that Luis Garcia’s suggested funds were unsuitable and that the claimant’s portfolio was over-concentrated. Luis Garcia Red Flags & Your Rights As An Investor Of course, Luis Garcia did not acknowledge any of the claims. Regardless of whether an arbitration award was obtained, a settlement was reached, or the consumer complaint is still pending, customers’ allegations are red flags that should put all current and former Luis Garcia clients of UBS Financial Services on alert to review their accounts carefully and inquire whether Luis Garcia has engaged in any stockbroker misconduct that might have resulted in investment losses. The high number of customer complaints at UBS Financial Services raises concerns about the brokerage firms’ supervision. If these warnings cause you to wonder what your rights as an investor are, contact us and we will explain them to you. File A Claim To Recover Your Investment Losses At UBS Financial Services Due To Luis Garcia If you have questions about UBS Financial Services and/or Luis Garcia 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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Jun 27, 2022

Chad Mackland formerly with Lion Street Financial

DID CHAD T. MACKLAND CAUSE YOU INVESTMENT LOSSES? Chad Mackland Formerly With Lion Street Financial, MML Investors Services And Northwestern Mutual Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is Chad Mackland formerly with Lion Street Financial? Chad Mackland (CRD #4933804) who was formerly registered with Lion Street Financial and located in Council Bluff, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Prior to Lion Street Financial, Chad Mackland was associated with MML Investors Services, Northwestern Mutual Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Chad Mackland Customer Complaint Chad Mackland 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 Chad Mackland churned the customer’s accounts, recommended unsuitable transactions, made fraudulent, false, and misleading representations, communications, and transactions and breached his fiduciary duties. The customer complaint filed against Chad Mackland’s former employer Northwestern Mutual Investment Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Chad Mackland Red Flags & Your Rights As An Investor Of course, Chad Mackland 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 Chad Mackland at Lion Street Financial, MML Investors Services, and Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Chad Mackland has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lion Street Financial, MML Investors Services, and Northwestern Mutual Investment 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 Lion Street Financial Due To Chad Mackland If you have questions about Lion Street Financial, MML Investors Services, Northwestern Mutual Investment Services, and/or Chad Mackland 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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Jun 27, 2022

Bradley Hayes formerly with Edward Jones

DID BRADLEY WRIGHT HAYES CAUSE YOU INVESTMENT LOSSES? Bradley Hayes Formerly With Edward Jones Has A Customer Complaint For Alleged Broker Misconduct Who is Bradley Hayes formerly with Edward Jones? Bradley Hayes (CRD #2323201) who was formerly registered with Edward Jones and located in Portland, Oregon is a subject of one of our many securities industry sales practice abuse investigations.   Bradley Hayes Customer Complaint Bradley Hayes 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 Bradley Hayes and his employer were reckless with respect to collateral used to secure bond. Bradley Hayes’ customer complaint was denied and, to date, the customer has not taken any further action. Bradley Hayes Red Flags & Your Rights As An Investor Of course, Bradley Hayes 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 Bradley Hayes at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Bradley Hayes 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 Bradley Hayes If you have questions about Edward Jones and/or Bradley Hayes 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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Jun 27, 2022

Carol Munoz of Wedbush Securities Inc.

DID CAROL VALENTIN MUNOZ JR CAUSE YOU INVESTMENT LOSSES? Carol Munoz Of Wedbush Securities Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Carol Munoz of Wedbush Securities Inc.? Carol Munoz (CRD #1890217) who is currently registered with Wedbush Securities Inc. and located in La Jolla, California is a subject of one of our many securities industry sales practice abuse investigations. Carol Munoz Customer Complaints Carol Munoz has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Carol Munoz’s 2 customer complaints was settled in favor of investors. One of Carol Munoz’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Carol Munoz A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unauthorized trading. Unsuitable investment recommendations, misrepresentations, and unauthorized use its discretion in connection with mutual fund investments. Carol Munoz Red Flags & Your Rights As An Investor Of course, Carol Munoz 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 Carol Munoz at Wedbush Securities Inc. on alert to review carefully the activity and performance of their accounts and question whether Carol Munoz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 Wedbush Securities Inc. Due To Carol Munoz If you have questions about Wedbush Securities Inc. and/or Carol Munoz 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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Jun 27, 2022

Carol Poulin of Ameriprise Financial Services, LLC

DID CAROL GERARD POULIN CAUSE YOU INVESTMENT LOSSES? Carol Poulin Of Ameriprise Financial Services, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Carol Poulin of Ameriprise Financial Services, LLC? Carol Poulin (CRD #4069241) who is currently registered with Ameriprise Financial Services, LLC and located in Portland, Maine is a subject of one of our many securities industry sales practice abuse investigations.  Carol Poulin Customer Complaint Carol Poulin 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 recommendation of bond mutual fund. Carol Poulin’s customer complaint was denied and, to date, the customer has not taken any further action. Carol Poulin Red Flags & Your Rights As An Investor Of course, Carol Poulin 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 Carol Poulin at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Carol Poulin 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 Carol Poulin If you have questions about Ameriprise Financial Services, LLC and/or Carol Poulin 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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Jun 27, 2022

Andrew Elsoffer formerly with Stifel, Nicolaus & Company, Incorporated

DID ANDREW BRUCE ELSOFFER CAUSE YOU INVESTMENT LOSSES? Andrew Elsoffer Formerly With Stifel, Nicolaus & Company, Incorporated Has 8 Customer Complaints For Alleged Broker Misconduct Who is Andrew Elsoffer formerly with Stifel, Nicolaus & Company, Incorporated? Andrew Elsoffer (CRD #2580009) who was formerly registered with Stifel, Nicolaus & Company, Incorporated and located in Pepper Pike, Ohio is a subject of one of our many securities industry sales practice abuse investigations.   Andrew Elsoffer Customer Complaints Andrew Elsoffer has been the subject of 8 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Six of Andrew Elsoffer’s 8 customer complaints were settled in favor of investors. One of Andrew Elsoffer’s customer complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Andrew Elsoffer’s former employer Stifel, Nicolaus & Company, Incorporated for investment losses caused by the alleged misconduct. Allegations Against Andrew Elsoffer A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Negligence, unsuitable investment recommendations, unauthorized trading, breach of contract, breach of fiduciary duty, and violation of the Ohio securities laws. Securities fraud, common law fraud, unsuitable investment recommendations, breach of fiduciary duty, and elder abuse and exploitation. Unsuitable investment recommendations in multiple arbitration proceedings. Excessive trading. Unauthorized trading. Common law fraud, negligence, breach of fiduciary duty, and breach of contract in multiple arbitration proceedings. Andrew Elsoffer Red Flags & Your Rights As An Investor Of course, Andrew Elsoffer 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 Andrew Elsoffer at Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Andrew Elsoffer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company, Incorporated 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 Stifel, Nicolaus & Company, Incorporated Due To Andrew Elsoffer If you have questions about Stifel, Nicolaus & Company, Incorporated and/or Andrew Elsoffer 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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Jun 27, 2022

Annette Blank formerly with Oppenheimer & Co. Inc.

DID ANNETTE BRANDLER BLANK CAUSE YOU INVESTMENT LOSSES? Annette Blank Formerly With Oppenheimer & Co. Inc. Has 6 Customer Complaints For Alleged Broker Misconduct Who is Annette Blank formerly with Oppenheimer & Co. Inc.? Annette Blank (CRD #866603) who was formerly registered with Oppenheimer & Co. Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Virginia Beach, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Annette Blank Customer Complaints Annette Blank 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. Two of Annette Blank’s 6 customer complaints were settled in favor of investors. Four of Annette Blank’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Annette Blank 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 strategy and IRA account and breach of fiduciary duty of financial advisor. Failure to disclose nature, mechanics and risks of bond transaction. Unsuitable recommendation of certain equities in clients accounts. Unsuitable trading activity and churning period Annette Blank Red Flags & Your Rights As An Investor Of course, Annette Blank 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 Annette Blank at Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Annette Blank has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. 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 Oppenheimer & Co. Inc. Due To Annette Blank If you have questions about Oppenheimer & Co. Inc. and/or Annette Blank 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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Jun 27, 2022

Alexander Ladage of UBS Financial Services Inc.

DID ALEXANDER CHARLES LADAGE CAUSE YOU INVESTMENT LOSSES? Alexander Ladage Of UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Alexander Ladage of UBS Financial Services Inc.? Alexander Ladage (CRD #4452169) who is currently registered with UBS Financial Services Inc. and located in Austin, Texas is a subject of one of our many securities industry sales practice abuse investigations. Alexander Ladage Customer Complaint Alexander Ladage 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 Alexander Ladage made misrepresentations and recommended unsuitable investments in leveraged exchange-traded notes.The customer complaint filed against Alexander Ladage’s current employer UBS Financial Services Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Alexander Ladage Red Flags & Your Rights As An Investor Of course, Alexander Ladage 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 Alexander Ladage at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Alexander Ladage 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 Alexander Ladage If you have questions about UBS Financial Services Inc. and/or Alexander Ladage 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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Jun 27, 2022

Cedric Powell of Ameriprise Financial Services LLC

It’s critical for everyone to learn all they can about the individuals with whom they entrust their money. There are several places where you may discover information on a person’s background, including prior employment history, regulatory enforcement actions, and consumer complaints. If you suffered investment losses due to Cedric Powell, we will do our best to answer any questions you may have. DID CEDRIC PERCELL POWELL CAUSE YOU INVESTMENT LOSSES? Cedric Powell Of Ameriprise Financial Services LLC And Formerly With Northwestern Mutual Investment Services, LLC Has 4 Customer Complaints For Alleged Broker Misconduct Who is Cedric Powell of Ameriprise Financial Services LLC? Cedric Powell (CRD #3249130) who is currently registered with Ameriprise Financial Services LLC and located in Tampa, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Ameriprise Financial Services LLC, Cedric Powell was associated with Northwestern Mutual Investment Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cedric Powell Customer Complaints Cedric Powell has been the subject of 4 customer complaints that we know about, 4 of those complaints were filed in the last year to recover investment losses. Two of Cedric Powell’s 4 customer complaints were settled in favor of investors. Two of Cedric Powell’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Cedric Powell A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows: Unauthorized withdrawals of funds from mutual fund account to pay premiums on insurance policies the customers were not aware existed. Financial Advisor purchase new life insurance policies as part of an investment portfolio and completed applications without their permission. Failure to explain risks of withdrawals from a 403B retirement account leading to unintended tax consequences. Cedric Powell Red Flags & Your Rights As An Investor Of course, Cedric Powell did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Cedric Powell at Ameriprise Financial Services LLC and Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Cedric Powell 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 Northwestern Mutual Investment Services, 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 Ameriprise Financial Services LLC Due To Cedric Powell If you have questions about Ameriprise Financial Services LLC, Northwestern Mutual Investment Services, LLC, and/or Cedric Powell and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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