Jan 20, 2022

Timothy Daly of Janney Montgomery Scott

DID TIMOTHY EDWARD DALY CAUSE YOU INVESTMENT LOSSES? Timothy Daly of Janney Montgomery Scott Has 3 Customer Complaints for Alleged Broker Misconduct Who is Timothy Daly of Janney Montgomery Scott? Timothy Daly (CRD #1219609) who is currently registered with Janney Montgomery Scott and located in Upper Saddle River, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Timothy Daly was also the subject of a FINRA investigation into whether he overcharged 24 customers’ commissions and fees. FINRA alleged that Timothy Daly transferred securities out of fee-based accounts and sold them in regular commission-based accounts, thereby earning both fees and commissions on securities transactions in violation of FINRA Rule 2010 requiring members to conduct their business in accordance with commercial honor and the just and equitable principles of trade. In the end, Timothy Daly consented to a three-month suspension and all capacities and a fine of $97,500. Timothy Daly Customer Complaints Timothy Daly has been the subject of 3 customer complaints that we know about. Two of Timothy Daly’s 3 customers’ complaints were denied and the customers did not take any further action. There is currently one pending customer complaint filed against Janney Montgomery Scott for investment losses caused by Timothy Daly’s alleged misconduct. Allegations Against Timothy Daly A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants allege that unsuitable investments were made in their accounts by Timothy Daly. The client’s attorney alleged, among other things, excessive trading by Timothy Daly. Timothy Daly Red Flags & Your Rights as an Investor Of course, Timothy Daly 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 Timothy Daly at Janney Montgomery Scott on alert to review carefully the activity and performance of their accounts and question whether Timothy Daly has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Janney Montgomery Scott 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 Janney Montgomery Scott Due to Timothy Daly If you have questions about Janney Montgomery Scott and/or Timothy Daly 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

Jan 20, 2022

Rick Davidson of Aegis Capital

DID RICK ALAN DAVIDSON CAUSE YOU INVESTMENT LOSSES? Rick Davidson of Aegis Capital and Formerly with National Securities, Jefferies, and Morgan Stanley, Has 8 Customer Complaints for Alleged Broker Misconduct Who is Rick Davidson of Aegis Capital? Rick Davidson (CRD #1315998) who is currently registered with Aegis Capitaland located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Rick Davidson was associated with National Securities, National Asset Management, Jefferies, Jefferies Investment Advisers, and Morgan Stanley, and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Rick Davidson Customer Complaints Rick Davidson has been the subject of 8 customer complaints that we know about, two of those complaints were filed in the last year to recover investment losses. Six of Rick Davidson’s 8 customer complaints were settled in favor of investors. One of Rick Davidson’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against National Securities for investment losses caused by Rick Davidson’s alleged misconduct. Allegations Against Rick Davidson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The claimant alleged unsuitability with respect to investment recommendations made by Rick Davidson. The client alleges Rick Davidson did not fully disclose the return on the investment. The client claims the purchase of bond position was unauthorized and was not a suitable investment allegedly recommended by Rick Davidson. The client verbally alleged, among other things, unauthorized trading by Rick Davidson with respect to corporate bond investments. It is alleged that Rick Davidson engaged in unauthorized transactions. Rick Davidson’s client alleged suitability & misrepresentation. Rick Davidson’s client alleged suitability and misrepresentation. Unsuitable investment recommendations allegedly made by Rick Davidson. Rick Davidson Red Flags & Your Rights as an Investor Of course, Rick Davidson 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 Rick Davidson at Aegis Capital, National Securities, National Asset Management, Jefferies, Jefferies Investment Advisers, and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Rick Davidson has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Aegis Capital, National Securities, National Asset Management, Jefferies, Jefferies Investment Advisers, 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 Aegis Capital Due to Rick Davidson If you have questions about Aegis Capital, National Securities, National Asset Management, Jefferies, Jefferies Investment Advisers, Morgan Stanley, and/or Rick Davidson 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

Jan 20, 2022

Douglas Dawson of Northwestern Mutual Investment Services

DID DOUGLAS ARLIN DAWSON CAUSE YOU INVESTMENT LOSSES? Douglas Dawson of Northwestern Mutual Investment Services Has a Customer Complaint for Alleged Broker Misconduct Who is Douglas Dawson of Northwestern Mutual Investment Services? Douglas Dawson (CRD #1362983) who is currently registered with Northwestern Mutual Investment Services and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Douglas Dawson Customer Complaint Douglas Dawson 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 Douglas Dawson began a personal relationship with her in order to influence her to choose him as her representative and she alleged serious concerns about whether the advice she was given regarding her investment accounts when he was her representative, was suitable and appropriate. Douglas Dawson’s customer complaint was settled in favor of the investors. Douglas Dawson Red Flags & Your Rights as an Investor Of course, Douglas Dawson 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 Douglas Dawson at Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Douglas Dawson has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at 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 Northwestern Mutual Investment Services Due to Douglas Dawson If you have questions about Northwestern Mutual Investment Services and/or Douglas Dawson 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

Jan 20, 2022

Brendan O’Connor of Lincoln Financial Advisors

DID BRENDAN THOMAS O’CONNOR CAUSE YOU INVESTMENT LOSSES? Brendan O’Connor of Lincoln Financial Advisors Has 3 Customer Complaints for Alleged Broker Misconduct Who is Brendan O’Connor of Lincoln Financial Advisors? Brendan O’Connor (CRD #1352287) who is currently registered with Lincoln Financial Advisors and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Brendan O’Connor Customer Complaints Brendan O’Connor has been the subject of 3 customer complaints that we know about. Two of Brendan O’Connor’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Lincoln Financial Advisors for investment losses caused by Brendan O’Connor’s alleged misconduct. Allegations Against Brendan O’Connor A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The claimant alleges Brendan O’Connor improperly recommended the purchase of an unsuitable prepaid variable forward contract as a solution to the client’s concentrated stock position. Brendan O’Connor’s alleged failure to follow instructions. Complainant alleges representative failed to “hold-an” on the liquidation of her account and she requested. Brendan O’Connor’s customer called his office and discovered that customer requested to move out of the stock funds and into the money market funds of the variable annuities that he purchased from Mr. O’Connor. Mr. O’Connor called and advised the customer that two of the seven nationwide annuities were primarily invested in the fixed account. He agreed not to sell the stock funds in those two annuities. Mr. O’Connor spoke with other firm employee later that day to confirm that all of the trades were done successfully but the firm did not trade the stock funds in the Lincoln Choice Plus Annuity. Mr. O’Connor then contacted Lincoln, only to find that he could not authorize such trades, nor could customer authorize such trades over the phone. Mr. O’Connor notified customer of this on September 21st. Mr. O’Connor then immediately faxed a letter of authorization to him to sign and fax directly to Lincoln for processing. Mr. O’Connor received a complaint letter from customer wherein he requested reimbursement for the change in market value of the account. Brendan O’Connor Red Flags & Your Rights as an Investor Of course, Brendan O’Connor 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 Brendan O’Connor at Lincoln Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Brendan O’Connor has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Lincoln 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 Lincoln Financial Advisors Due to Brendan O’Connor If you have questions about Lincoln Financial Advisors and/or Brendan O’Connor 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

Jan 20, 2022

Michael Hickey of Wells Fargo Clearing Services

DID MICHAEL SHON HICKEY CAUSE YOU INVESTMENT LOSSES? Michael Hickey Of Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Michael Hickey of Wells Fargo Clearing Services? Michael Hickey (CRD #865291) who is currently registered with Wells Fargo Clearing Services and located in Mission Viejo, California is a subject of one of our many securities industry sales practice abuse investigations. Michael Hickey Customer Complaints Michael Hickey 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. Two of Michael Hickey’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Michael Hickey A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged that the closed end funds purchased in his account by Michael Hickey were not in accordance with his instructions. Client claimed excessive commissions related to distributions from her brokerage account could have been avoided if the distributions would have instead been withdrawn from her annuity allegedly by Michael Hickey. Michael Hickey Red Flags & Your Rights As An Investor Of course, Michael Hickey 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 Michael Hickey at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Michael Hickey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 Wells Fargo Clearing Services Due To Michael Hickey If you have questions about Wells Fargo Clearing Services and/or Michael Hickey 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

Jan 20, 2022

Robert Gipson of Ingalls & Snyder

DID ROBERT LIVINGSTON GIPSON CAUSE YOU INVESTMENT LOSSES Robert Gipson of Ingalls & Snyder Has A Customer Complaint For Alleged Broker Misconduct Who is Robert Gipson of Ingalls & Snyder? Robert Gipson (CRD #868795) who is currently registered with Ingalls & Snyder and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Robert Gipson Customer Complaint Robert Gipson has been the subject of at least one customer complaint that we know about.  1 of Robert Gipson’s clients has filed an arbitration against Ingalls & Snyder, LLC in connection with the management of his accounts by the representative. The claim is for damages resulting from the representative’s alleged failure to manage Claimant’s accounts more conservatively. The customer complaint filed against Robert Gipson’s current employer Ingalls & Snyder for investment losses caused by the alleged misconduct is pending as of the date of this report. Robert Gipson Red Flags & Your Rights As An Investor Of course, Robert Gipson 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 Robert Gipson at Ingalls & Snyder on alert to review carefully the activity and performance of their accounts and question whether Robert Gipson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ingalls & Snyder 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 Ingalls & Snyder Due To Robert Gipson If you have questions about Ingalls & Snyder and/or Robert Gipson 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

Jan 20, 2022

Cory Williams of Taylor Capital Management Inc

DID CORY RYAN WILLIAMS CAUSE YOU INVESTMENT LOSSES? Cory Ryan Williams Formally with Taylor Capital Management Inc. Has Multiple Customer Complaints for A Fraudulent Scheme Who is Cory R. Williams formerly with Taylor Capital Management Inc.? Cory Williams (CRD #4797256) who was formerly registered with Taylor Capital Management Inc. and located in Mesa, Arizona is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Taylor Capital Management Inc., Cory Williams was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cory Williams has had both criminal and securities and commodities industry regulator problems all stemming from an affinity fraud he perpetrated on his family, friends, and fellow church members.  Cory Williams solicited funds for the purposes of purchasing futures contracts in a pool in a personal account.  Cory Williams successfully solicited over $13 million from at least 40 investors and then proceeded to lose over $8 million while lying to his investors that he was generating positive returns.  To avoid detection, Cory Williams returned funds to some investors and effectively ran a Ponzi scheme. Cory Williams pled guilty and was sentenced to 84 months in prison.  Cory Williams was subsequently charged by the SEC and the CFTC with fraud and violation of the securities laws and commodities laws, as well as the agency rules and regulations and permanently barred from those industries in the future. Taylor Capital Management Inc. Broker Misconduct Multiple claimants in a single arbitration proceeding have filed claims against Cory Williams former employer, Taylor Capital Management, Inc., or failing to supervise him when he was fraudulently operating in investing customer funds in a commodity pool.  The complaints filed against Cory Williams’ former employer Taylor Capital Management Inc. for investment losses caused by his alleged misconduct are still pending. File A Claim to Recover Your Investment Losses at Taylor Capital Management Inc. If you have questions about Taylor Capital Management Inc. and/or Cory Williams 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

Jan 20, 2022

Janet Broyles of LPL Financial LLC

DID JANET HOLLAND BROYLES CAUSE YOU INVESTMENT LOSSES? Janet Broyles of LPL Financial LLC, Advisor Resource Council Has One Customer Complaint For Alleged Broker Misconduct Who is Janet Broyles of LPL Financial LLC? Janet Broyles (CRD #1278020) who is currently registered with LPL Financial LLC, Advisor Resource Council and located in Dallas, Texas is a subject of one of our many securities industry sales practice abuse investigations. Janet Broyles Customer Complaint Janet Broyles 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 Claimant alleges certain of his investments were not suitable for his account. The customer complaint filed against Janet Broyles’ current employer LPL Financial LLC for investment losses caused by the alleged misconduct is pending as of the date of this report. Janet Broyles Red Flags & Your Rights As An Investor Of course, Janet Broyles 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 Janet Broyles at Advisor Resource Council, LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Janet Broyles has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Advisor Resource Council, LPL Financial 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 Advisor Resource Council Due To Janet Broyles If you have questions about Advisor Resource Council, LPL Financial LLC, and/or Janet Broyles 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

Jan 20, 2022

Howard Ginkel of Edward Jones

DID HOWARD JAY VAN GINKEL CAUSE YOU INVESTMENT LOSSES? Howard Ginkel Formerly With Edward Jones Has 2 Customer Complaints For Alleged Broker Misconduct Who is Howard Ginkel formerly with Edward Jones? Howard Ginkel (CRD #4488361) who was formerly registered with Edward Jones and located in Rock Valley, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Howard Ginkel Customer Complaints Howard Ginkel has been the subject of 2 customer complaints that we know about. One of Howard Ginkel’s 2 customer complaints was settled in favor of investors. One of Howard Ginkel’s customers complaints was denied and the customers did not take any further action. Allegations Against Howard Ginkel A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants’ allegations stem from oil-and-gas investments pursuant to purported recommendations from former Edward Jones financial advisor. Claimants allege common law negligence related to FINRA Rule 2010, common law negligence related to suitability, negligent supervision, breach of fiduciary duty, negligence, and breach of contract committed by Howard Ginkel. Client questions Howard Ginkel’s alleged recommendation to invest in Kinder Morgan Energy Partners LP and Energy Transfer Partners LP and Seadrill Ltd. Howard Ginkel Red Flags & Your Rights As An Investor Of course, Howard Ginkel 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 Howard Ginkel at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Howard Ginkel 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 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 Edward Jones Due To Howard Ginkel If you have questions about Edward Jones and/or Howard Ginkel 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

Jan 20, 2022

Jacob Mohr of Merrill Lynch, Pierce, Fenner & Smith Inc.

DID JACOB WAYNE MOHR CAUSE YOU INVESTMENT LOSSES? Jacob Mohr of Merrill Lynch, Pierce, Fenner & Smith Inc. Has One Customer Complaint For Alleged Broker Misconduct Who is Jacob Mohr of Merrill Lynch, Pierce Fenner & Smith, Inc.? Jacob Mohr (CRD #3102736) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and located in Henderson, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Jacob Mohr Customer Complaint Jacob Mohr has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were the customer alleges unsuitable investment recommendations, churning, misrepresentations and failure to follow instructions. The customer complaint filed against Jacob Mohr’s current employer Merrill Lynch, Pierce, Fenner & Smith Inc. for investment losses caused by the alleged misconduct was denied and the customers did not take any further action. Jacob Mohr Red Flags & Your Rights As An Investor Of course, Jacob Mohr 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 Jacob Mohr at Merrill Lynch, Pierce, Fenner & Smith Inc. on alert to review carefully the activity and performance of their accounts and question whether Jacob Mohr has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith 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 Merrill Lynch, Pierce, Fenner & Smith Inc. Due To Jacob Mohr If you have questions about Merrill Lynch, Pierce, Fenner & Smith Inc. and/or Jacob Mohr 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