Jan 20, 2022

Christopher Swan of BB&T Securities, LLC

DID CHRISTOPHER ALLAN SWAN CAUSE YOU INVESTMENT LOSSES? Christopher Allan Swan formerly with BB&T Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Christopher A. Swan formerly with BB&T Securities, LLC? Christopher Swan (CRD #5810132) who was formerly registered with BB&T Securities, LLC and located in Irving, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to BB&T Securities, LLC, Christopher Swan was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Scottrade, Inc. and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. BB&T Securities, LLC Broker Misconduct In his career, Christopher Swan has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. One of Christopher Swan’s customer complaints was settled in favor of investors. There is one pending customer complaint filed against Christopher Swan’s former employer BB&T Securities, LLC for investment losses caused by his alleged misconduct. Allegations Against Christopher Swan   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleges failure to follow instructions relating to investments in common and preferred stocks. Client alleges that she was not aware she was opening investment accounts. Christopher Swan Red Flags & Your Rights As An Investor Of course, Christopher Swan 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 Christopher Swan at BB&T Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Scottrade, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Swan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at BB&T Securities, LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated about Christopher Swan also raises questions about their 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 BB&T Securities, LLC And Merrill Lynch, Pierce, Fenner and Smith Incorporated If you have questions about BB&T Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Scottrade, Inc. and/or Christopher Swan 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

Andrew Harris of Commonwealth Financial Network

DID ANDREW C. HARRIS CAUSE YOU INVESTMENT LOSSES? Andrew C. Harris Formally with Commonwealth Financial Network Has A Customer Complaints for Alleged Broker Misconduct in the Past 6 Months Who is Andrew C. Harris formerly with Commonwealth Financial Network? Andrew Harris (CRD #3242291) who was formerly registered with Commonwealth Financial Network and located in Williamsport, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Commonwealth Financial Network, Andrew Harris was associated with Voya Financial Advisors, Inc. and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Commonwealth Financial Network Broker Misconduct In his career, Andrew Harris has only been the subject of one customer complaint that we know about which was filed against his former employer Voya Financial Advisors, Inc. in July last year to recover investment losses. His former employer denied the claim and today, that customer has not yet filed this arbitration claim. Allegations Against Andrew Harris The allegations made in the FINRA reported complaint was for investment losses related to a business development Company and closed-end fund products which were allegedly unsuitable in light of his investment goals and financial condition. The customer also alleged that he was given misleading information relating to the investments. Andrew Harris Red Flags & Your Rights as An Investor Of course, Andrew Harris 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 Harris at Commonwealth Financial Network and Voya Financial Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Andrew Harris has engaged in any stockbroker misconduct that may have caused them investment losses. File A Claim to Recover Your Investment Losses At Commonwealth Financial Network   If you have questions about Commonwealth Financial Network, Voya Financial Advisors, Inc. and/or Andrew Harris 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

Barry Horowitz of Lincoln Financial Securities Corporation

DID BARRY DAVID HOROWITZ CAUSE YOU INVESTMENT LOSSES? Barry David Horowitz formerly with Lincoln Financial Securities Corporation Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Barry D. Horowitz formerly with Lincoln Financial Securities Corporation? Barry Horowitz (CRD #2651525) who was formerly registered with Lincoln Financial Securities Corporation and located in Glastonbury, Connecticut is a subject of one of our many securities industry sales practice abuse investigations.   Lincoln Financial Securities Corporation Broker Misconduct In his career, Barry Horowitz has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. One of Barry Horowitz’s 2 customer complaints was settled in favor of investors for $1.2 million. There is currently one pending customer complaint filed against Barry Horowitz’s former employer Lincoln Financial Securities Corporation for investment losses caused by his alleged misconduct. Allegations Against Barry Horowitz A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege that Barry Horowitz improperly referred them to an individual who was a known, fraud, start and who solicited claimants to purchasing a promissory note that was never repaid.  This claim would settle for $1.2 million and Barry Horowitz contributed $800,000 to the settlement. Another claimant made similar allegations and his arbitration claim for over $1 million is pending. Barry Horowitz Red Flags & Your Rights as An Investor Of course, Barry Horowitz 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 Barry Horowitz at Lincoln Financial Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Barry Horowitzhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lincoln Financial Securities Corporationabout Barry Horowitzalso 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 Lincoln Financial Securities Corporation   If you have questions about Lincoln Financial Securities Corporation and/or Barry Horowitz 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

Alexis Intili of Allstate Financial Services, LLC

DID ALEXIS ANN INTILI CAUSE YOU INVESTMENT LOSSES? Alexis Ann Intili with Allstate Financial Services, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Alexis A. Intili with Allstate Financial Services, LLC? Alexis Intili (CRD #2925224) who is currently registered with Allstate Financial Services, LLC and located in Staten Island, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Allstate Financial Services, LLC, Alexis Intiliwas associated with M&T Securities, Inc. and 12 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Alexis Intili’s former employer, M&T Securities, Inc., terminated him for bypassing the firm’s suitability review of investment recommendations. Allstate Financial Services, LLC Broker Misconduct In her career, Alexis Intili has been the subject of 5 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Three of Alexis Intili’s customer complaints were settled in favor of investors and the other 2 complaints were denied by his former employer. Allegations Against Alexis Intili A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customers allege they were misled about the rate of return and risks associated with an annuity Alexis Intili recommended. The client alleges misrepresentation and unsuitable investment recommendations of corporate bond investments. The customer alleged that the financial advisor invested funds in a variable annuity without her knowledge. The client alleged that Alexis Intili misrepresented a 529 plan and that the recommendation was unsuitable and in light of his investment objectives and financial condition. Alexis Intili Red Flags & Your Rights as An Investor Of course, Alexis Intili 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 Alexis Intiliat Allstate Financial Services, LLC and M&T Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Alexis Intilihas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Allstate Financial Services, LLC and M&T Securities, 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 Allstate Financial Services, LLC   If you have questions about Allstate Financial Services, LLC, M&T Securities, Inc., and/or Alexis Intiliand 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

Amit Patel of J.P. Morgan Securities, LLC

DID AMIT JANAK PATEL CAUSE YOU INVESTMENT LOSSES? Amit Janak Patel with J.P. Morgan Securities, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Amit J. Patel with J.P. Morgan Securities, LLC? Amit Patel (CRD #6824526) who is currently registered with J.P. Morgan Securities, LLC and located in Irvine, California is a subject of one of our many securities industry sales practice abuse investigations.   Prior to J.P. Morgan Securities, LLC, Amit Patel was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. J.P. Morgan Securities, LLC Broker Misconduct In his career, Amit Patel has been the subject of 2 customer complaints that we know about, both of those complaints were made in the last year to recover investment losses. Amit Patel’s current employer J.P. Morgan Securities, LLC recently denied both complaints and the customers have not yet filed their arbitration claims. Allegations Against Amit Patel   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleged improper recommendations regarding the opening and investment in a managed wrap fee account. The client alleged improper recommendations and advice regarding exchange-traded fund investments. Amit Patel Red Flags & Your Rights as An Investor Of course, Amit Patel 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 Amit Patelat J.P. Morgan Securities, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Amit Patel has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at J.P. Morgan Securities LLC in a short period of time about Amit Patel also raises questions about its 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 J.P. Morgan Securities LLC   If you have questions about J.P. Morgan Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Amit Patel 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

Anthony Vultaggio of American Capital Partners, LLC

DID ANTHONY VULTAGGIO JR CAUSE YOU INVESTMENT LOSSES? Anthony Vultaggio Jr formerly with American Capital Partners, LLC Has to Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Anthony Vultaggio Jr formerly with American Capital Partners, LLC? Anthony Vultaggio (CRD #5292477) who was formerly registered with American Capital Partners, LLC and located in East Meadow, New York is a subject of one of our many securities industry sales practice abuse investigations.   Anthony Vultaggio has had regulatory problems. In September 2017, FINRA commenced an investigation about his alleged did undisclosed offering of securities through an undisclosed outside business without prior notice or consent from his member firm and he refused to appear for FINRA requested on-the-record testimony.  He entered into an Acceptance, Waiver, and Consent (AWC) agreement, without admitting or denying the findings, and consented to a permanent bar from any further association in the securities industry with any member firm in any capacity. American Capital Partners, LLC Broker Misconduct In his career, Anthony Vultaggio has been the subject of2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses.   Both are currently pending customer complaints filed against Anthony Vultaggio’s former employer American Capital Partners, LLC for investment losses caused by his alleged misconduct. The alleged damages in each complaint or $1 million and $700,000. Allegations Against Anthony Vultaggio The allegations made in the FINRA reported arbitration pending complaints about investment losses are for Anthony Vultaggio’s alleged offer and sale of private placement investments.  According to the allegations, his former employer, American Capital Partners, LLC did not know of or approve the private placement investments.  This former stockbroker misconduct is commonly referred to as “selling away” and a violation of FINRA rules. Anthony Vultaggio Red Flags & Your Rights as An Investor Of course, Anthony Vultaggio 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 Anthony Vultaggio at American Capital Partners, LLC alert to review carefully the activity and performance of their accounts and question whether Anthony Vultaggio has engaged in any stockbroker misconduct that may have caused them investment losses. The two “selling away” customer complaints at American Capital Partners, LLC also raises questions about its 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 American Capital Partners, LLC If you have questions about American Capital Partners, LLC and/or Anthony Vultaggioand 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

Frank Avallone of National Securities Corporation

DID FRANK LOUIS AVALLONE CAUSE YOU INVESTMENT LOSSES? Frank Louis Avallone with National Securities Corporation Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Frank L. Avallone with National Securities Corporation? Frank Avallone (CRD #4814368) who is currently registered with National Securities Corporation and located in South Norwalk, Connecticut is a subject of one of our many securities industry sales practice abuse investigations.   Prior to National Securities Corporation, Frank Avallone was associated with Newbridge Securities Corporation and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. National Securities Corporation Broker Misconduct In his career, Frank Avallone has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Two of Frank Avallone’s 4 customer complaints were settled in favor of investors. One of the customer complaints was recently denied by his current employer, and to date, the customer is not taking any further action There is currently one pending customer complaint filed against Frank Avallone’s current employer National Securities Corporation for investment losses caused by his alleged misconduct. Allegations Against Frank Avallone   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged unsuitable investment recommendations, breach of, churning, violation of FINRA conduct rules connection with over-the-counter common stock and the trust fund transactions. The customer alleged that Frank Avallone in unsuitable investment recommendations and churned his account. The customer alleged that Frank Avallone an unsuitable recommendation to invest in a private placement. Claimant alleged unsuitable over-the-counter stock investment recommendations. Frank Avallone Red Flags & Your Rights As An Investor Of course, Frank Avallone 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 Frank Avallone at National Securities Corporation and Newbridge Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Frank Avallone has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at National Securities Corporation also raises questions about its 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 National Securities Corporation If you have questions about National Securities Corporation, Newbridge Securities Corporation, and/or Frank Avalloneand 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

Douglas Bray of J.P. Morgan Securities, LLC

DID DOUGLAS M. BRAY CAUSE YOU INVESTMENT LOSSES? Douglas M. Bray with J.P. Morgan Securities, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Douglas M. Bray with J.P. Morgan Securities, LLC? Douglas Bray (CRD #2907254) who is currently registered with J.P. Morgan Securities, LLC and located in Madison, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations.   Prior to J.P. Morgan Securities LLC, Douglas Bray has associated with6other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. J.P. Morgan Securities, LLC Broker Misconduct In his career, Douglas Bray has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. Both of the complaints were recently denied by Mr. Bray and his employer, and to date, the customers have not taken any further action. Allegations Against Douglas Bray A sample of the allegations made in the FINRA reported customer complaints for investment losses are as follows: The client alleged unsuitable recommendations in connection with a managed account. The client alleged misappropriation of funds. Douglas Bray Red Flags & Your Rights As An Investor Of course, Douglas Bray 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 Douglas Bray at J.P. Morgan Securities, LLC alert to review carefully the activity and performance of their accounts and question whether Douglas Brayhas engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at J.P. Morgan Securities, LLC about Douglas Bray such a short period of time also raises questions about its 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 J.P. Morgan Securities LLC   If you have questions about J.P. Morgan Securities, LLC and/or Douglas Bray 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

Edward Delaney of Edward Jones

DID EDWARD M. DELANEY CAUSE YOU INVESTMENT LOSSES? Edward M. Delaney with Edward Jones Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Edward M. Delaney with Edward Jones? Edward Delaney (CRD #2946899) who is currently registered with Edward Jones and located in Hillsboro, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Edward Jones is an investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Edward Jones Broker Misconduct In his career, Edward Delaney has been the subject of 5 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Three of Edward Delaney’s 5 customer complaints were settled in favor of investors. The other 2 complaints were denied and the customer did not take any further action.  Allegations Against Edward Delaney A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Two clients separately alleged that the financial advisor did not liquidate his equities as instructed. Clients alleged that they, Edward Delaney misrepresented sales charges with respect to mutual fund transactions and engaged in the switching of mutual funds in their accounts without any reasonable basis. The client alleged that Edward Delaney “pushed” pushed him to invest in a different Putnam fund over his objections. Edward Delaney Red Flags & Your Rights as An Investor Of course, Edward Delaney 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 Edward Delaney at Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Edward Delaney has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Edward Jones 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 Edward Jones If you have questions about Edward Jones and/or Edward Delaney 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

Gabriel Gulotta of BBVA Securities, Inc

DID GABRIEL N. GULOTTA CAUSE YOU INVESTMENT LOSSES? Gabriel N. Gulotta with BBVA Securities, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Gabriel N. Gulotta with BBVA Securities, Inc.? Gabriel Gulotta (CRD #4740700) who is currently registered with BBVA Securities, Inc. and located in Galveston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to BBVA Securities, Inc., Gabriel Gulotta was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. BBVA Securities, Inc. Broker Misconduct In his career, Gabriel Gulotta has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. Both complaints were denied by BBVA Securities, Inc., and to date, the customers have not taken any further action. Allegations Against Gabriel Gulotta A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customers alleged that the financial advisor made unsuitable recommendations of the 1035 fixed index annuity exchange transaction. The customer alleged that Gabriel Gulotta misrepresented the features of the variable annuity investment made as part of a 1035 exchange transaction. Gabriel Gulotta Red Flags & Your Rights as An Investor Of course, Gabriel Gulotta 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 Gabriel Gulotta at BBVA Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Gabriel Gulotta has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at BBVA Securities, 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 BBVA Securities Inc. If you have questions about BBVA Securities, Inc. and/or Gabriel Gulottaand 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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