Jan 20, 2022

Harold Collins of LPL Financial

DID HAROLD MARTIN COLLINS CAUSE YOU INVESTMENT LOSSES? Harold Martin Collins formerly with LPL Financial LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Harold M. Collins formerly with LPL Financial LLC? Harold Collins (CRD #4366651) who was formerly registered with LPL Financial LLC and located in Auburn, Indiana is a subject of one of our many securities industry sales practice abuse investigations.   Prior to LPL Financial LLC, Harold Collins was associated with 2other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. LPL Financial LLC Broker Misconduct In his career, Harold Collins 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. One of Harold Collins’ customer complaints was settled in favor of investors. There is currently 1 pending customer complaint filed against Harold Collins’ former employer LPL Financial LLC for investment losses caused by his alleged misconduct. Allegations Against Harold Collins 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 claims for misrepresentation, selling away, and poor advice with respect to an investment in a “Future Income Payment Purchase Agreement.” The claimant alleged breach of fiduciary duty, breach of contract, and misrepresentations related to a purported investment in Future Income Payment Purchase Agreement. Harold Collins Red Flags & Your Rights as An Investor Of course, Harold Collins 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 Harold Collins at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Harold Collins has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC 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 LPL Financial LLC If you have questions about LPL Financial LLC and/or Harold Collins 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

Jefferey Dyra of Bankers Life Securities, Inc

DID JEFFEREY WILLIAM DYRA CAUSE YOU INVESTMENT LOSSES? Jefferey William Dyra formerly with Bankers Life Securities, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Jefferey W. Dyra formerly with Bankers Life Securities, Inc.? Jefferey Dyra (CRD #6785909) was formerly registered with Bankers Life Securities, Inc. and located in Naperville, Illinois a subject of one of our many securities industry sales practice abuse investigations.   Jefferey Dyra is no longer registered in the securities industry.  In October 2019, FINRA initiated an investigation into whether he had misappropriated funds from the customer of an affiliate of his member firm or otherwise engaged in misconduct that had violated the federal securities laws and regulations, and FINRA Rules.  Rather than cooperate with the investigation, the financial advisor consented to the sanction of a permanent bar from the securities industry. Bankers Life Securities, Inc. Broker Misconduct In his career, Jefferey Dyra 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 Jefferey Dyra’scustomer complaints was settled in favor of an investor. The other customer complaint filed against Jefferey Dyra was denied by his former employer and the customer has not yet taken any further action. Allegations Against Jefferey Dyra A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: A customer alleged unauthorized trading. The client alleged that Jefferey Dyra asked her to make 2 checks payable to him personally for the purchase of annuities.  The annuities were not purchased by him.  This allegation is what led to the FINRA investigation and the permanent bar from the securities industry. Jefferey Dyra Red Flags & Your Rights as An Investor Of course, Jefferey Dyra 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 Jefferey Dyraat Bankers Life Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jefferey Dyrahas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Bankers Life 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 Bankers Life Securities, Inc. If you have questions about Bankers Life Securities, Inc.and/or Jefferey Dyraand 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

Jacquin Fink of Merrill Lynch

DID JACQUIN P. FINK CAUSE YOU INVESTMENT LOSSES? Jacquin P. Fink formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 11 Customer Complaints for Alleged Broker Misconduct Who is Jacquin P. Fink formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated? Jacquin Fink (CRD #207807) who was formerly registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in New York, New York is a subject of one of our many securities industry sales practices abuse investigations. Jacquin Fink is no longer employed at the firm; it is unclear whether the most recent complaint precipitated the termination of employment. Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Misconduct In his career, Jacquin Fink has been the subject of 11 customer complaints that we know about, 1 of those complaints were filed in the last year to recover investment losses. Ten of Jacquin Fink’s 11 customer complaints were settled in favor of investors. There are currently 1 pending customer complaints filed against Jacquin Fink’s former employer Merrill Lynch, Pierce, Fenner & Smith Incorporated for investment losses caused by his alleged misconduct. Allegations Against Jacquin Fink   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 involving common and preferred stocks and foreign debt which Merrill Lynch recently settled for $800,000. The claimant alleged unsuitable investments involving municipal bonds which Merrill Lynch recently settled for $263,000. Six other claimants and separate arbitration proceedings alleged unsuitable investment recommendations involving stock transactions which are settled for various amounts. The customer alleged aggressive trading and misrepresentations in connection with the investments in her account. Another customer alleged excessive trading, unsuitable investment recommendations and unauthorized trading of common stocks. The claimant alleged churning. Jacquin Fink Red Flags & Your Rights as An Investor Of course, Jacquin Fink 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 Jacquin Finkat Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Jacquin Finkhas engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated 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 Merrill Lynch, Pierce, Fenner & Smith Incorporated If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Jacquin Fink 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

Gregory OBrien of PHX Financial, Inc

DID GREGORY SPENCER OBRIEN CAUSE YOU INVESTMENT LOSSES? Gregory Spencer OBrien Of PHX Financial, Inc. And Formerly with Aegis Capital Corp. Has 5 Customer Complaints for Alleged Broker Misconduct Who is Gregory S. OBrien with PHX Financial, Inc.? Gregory OBrien (CRD #3154314) who is currently registered with PHX Financial, Inc. and located in Hauppauge, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to PHX Financial, Inc., Gregory OBrien was associated with Aegis Capital Corp. and 4other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Aegis Capital Corp. Broker Misconduct In his career, Gregory OBrien has been the subject of 5 customer complaints that we know about, all of those complaints were filed in connection with his employment at Aegis Capital Corp. in 2 of those complaints were filed in the last 2 years to recover investment losses. Three of Gregory OBrien’s 5 customer complaints were settled in favor of investors. There is currently 1 pending customer complaint filed against Gregory OBrien’s former employer Aegis Capital Corp. for investment losses caused by his alleged misconduct. Allegations Against Gregory OBrien A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleges that Gregory O’Brien made unsuitable recommendations to trade on margin in his account. The client alleged unauthorized trading. The claimant alleged breach of fiduciary duty, fraud, and negligence. The claimant alleged unsuitable investment recommendations and breach of his fiduciary duty, and breach of contract related to the investments in common stocks, real estate securities, and unit investment trusts. Gregory OBrien Red Flags & Your Rights as An Investor Of course, Gregory OBrien 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 Gregory OBrien at PHX Financial, Inc. and Aegis Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Gregory OBrien has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp. about Gregory OBrien 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 PHX Financial, Inc. And Aegis Capital Corp. If you have questions about PHX Financial, Inc., Aegis Capital Corp., and/or Gregory OBrienand 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

Marc Friedson of RBC Capital Markets, LLC

DID MARC ROBERT FRIEDSON CAUSE YOU INVESTMENT LOSSES? Marc Robert Friedson formerly with RBC Capital Markets, LLC Has 9 Customer Complaints For Alleged Broker Misconduct Who is Marc R. Friedson formerly with RBC Capital Markets, LLC? Marc Friedson (CRD #1178838) who was formerly registered with RBC Capital Markets, LLC and located in West Palm Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, LLC, Marc Friedson was associated with5other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. RBC Capital Markets, LLC Broker Misconduct In his career, Marc Friedson has been the subject of 9 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. 6 of Marc Friedson’s 9 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Marc Friedson’s former employer RBC Capital Markets, LLC for investment losses caused by his alleged misconduct. Allegations Against Marc Friedson A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants alleged that their financial advisor recommended unsuitable investments in Puerto Rico bonds and recommended that they hold an unsuitable level of concentration and such bonds. Client alleged that Marc Friedson made unsuitable recommendations that led to an overconcentration in the energy sector and municipal bonds. Customers allege recommendations of Puerto Rico bonds and Lynn Energy were unsuitable investment recommendations. Claimants alleged unsuitable investment recommendations to purchase various corporate bonds. Client alleged unsuitable in unauthorized transactions. Customer allege that Marc Friedson recommended an unsuitable transaction in PLMIV, a Limited partnership. Marc Friedson Red Flags & Your Rights As An Investor Of course, Marc Friedson 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 Marc Friedson at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Marc Friedson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC 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 RBC Capital Markets, LLC If you have questions about RBC Capital Markets, LLC and/or Marc Friedson 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

Matthew Gaer of Aegis Capital Corp.

DID MATTHEW STEVEN GAER CAUSE YOU INVESTMENT LOSSES? Matthew Steven Gaer with Aegis Capital Corp. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Matthew S. Gaer with Aegis Capital Corp.? Matthew Gaer (CRD #2301493) who is currently registered with Aegis Capital Corp. and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital Corp., Matthew Gaer was associated with Oppenheimer & Co. Inc. and 8 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Aegis Capital Corp. Broker Misconduct In his career, Matthew Gaer has been the subject of 2 customer complaints that we know about, 1 of those complaints were filed in the last year to recover investment losses. One of Matthew Gaer’s customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Matthew Gaer’s current employer Aegis Capital Corp. for investment losses caused by his alleged misconduct. Allegations Against Matthew Gaer A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged that Matthew Gaer made an unsuitable recommendation that he invest in a structured product in his retirement account. Claimant alleged breach of fiduciary duty, and breach of contract in connection with a structured product investment. Matthew Gaer Red Flags & Your Rights As An Investor Of course, Matthew Gaer 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 Matthew Gaer at Aegis Capital Corp. and Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Matthew Gaer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp. 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 Aegis Capital Corp. If you have questions about Aegis Capital Corp., Oppenheimer & Co. Inc. and/or Matthew Gaer 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

Mark Hopkins of American Portfolios Financial Services, Inc.

DID MARK LEWTON HOPKINS CAUSE YOU INVESTMENT LOSSES? Mark Lewton Hopkins formerly with American Portfolios Financial Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Mark L. Hopkins formerly with American Portfolios Financial Services, Inc.? Mark Hopkins (CRD #2653473) who was formerly registered with American Portfolios Financial Services, Inc. and located in Grand Blanc, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to American Portfolios Financial Services, Inc., Mark Hopkins was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Hopkins has his own share of regulatory problems as well.  In November 2019, the Michigan securities division alleged that he made misrepresentations and omissions in connection with an investment in a credit union an account over which the customer had no ownership interest whatsoever.  This was followed by a FINRA investigation where Mark Hopkins refused to cooperate in accordance with Rule 8210 and consequently permanently barred from any further association with any member firm in the securities industry.  Shortly thereafter, the SEC filed a complaint against Mark Hopkins alleging that he misappropriated at least $1.15 million from at least 5 customers of the brokerage firm. According to the SEC, Mark Hopkins represented that he would invest their funds and investment program at a local credit union, when in actuality no such program existed. Further, that he deposited the investors funds into an account he controlled and that the credit union misappropriated them. American Portfolios Financial Services, Inc. Broker Misconduct In his career, Mark Hopkins has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. One of Mark Hopkins’ 3 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Mark Hopkins’ former employer American Portfolios Financial Services, Inc. for investment losses caused by his alleged misconduct. Allegations Against Mark Hopkins A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged that mark options solicited $500,000 from him for the credit union investment and instead utilized the funds for his own purposes. Customer alleged that recommendation to invest in a REIT was an unsuitable investment recommendation. Claimant alleged that mark Hopkins solicited $400,000 for an investment away from the broker-dealer at a credit union. Mark Hopkins Red Flags & Your Rights As An Investor Of course, Mark Hopkins 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 Mark Hopkins at American Portfolios Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Hopkins has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Portfolios 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 American Portfolios Financial Services, Inc. If you have questions about American Portfolios Financial Services, Inc. and/or Mark Hopkins 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 Norman of NYLife Securities LLC

DID MICHAEL ANDREW NORMAN CAUSE YOU INVESTMENT LOSSES? Michael Andrew Norman formerly with NYLife Securities LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Michael A. Norman formerly with NYLife Securities LLC? Michael Norman (CRD #2092589) who was formerly registered with NYLife Securities LLC and located in Reno, Nevada is a subject of one of our many securities industry sales practice abuse investigations.   Michael Norman is no longer employed with NYLife Securities LLC since he was permanently barred by FINRA from further association with any member firm were allegedly not cooperating with an investigation into allegations that he loaned money to a customer, so that the customer could purchase securities. NYLife Securities LLC Broker Misconduct In his career Michael Norman has been the subject of 3 customer complaints that we know about, one of those complaints were filed in the last 2 years to recover investment losses. Two of Michael Norman’s 3 customer complaints were settled in favor of investors. The other customer complaint filed against Michael Norman’s former employer NYLife Securities LLC for investment losses caused by his alleged misconduct was denied by the company and the customer is not yet taken any further action. Allegations Against Michael Norman A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customer alleged that Michael Norman made an unsuitable recommendation to invest in a variable annuity due to the mortality and expense and investment protection of fees incurred over the life of the product. Customer alleged that Michael Norman misrepresented the rate of return, failed to disclose associated fees, and further provided unsuitable investment advice to make a mutual fund transaction. Customer alleged that Michael Norman failed to adequately disclose the annual fees and surrender charges associated with a variable annuity transaction. Further, that the investment was an unsuitable one in light of his investment profile, liquidity needs. Michael Norman Red Flags & Your Rights As An Investor Of course, Michael Norman 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 Norman at NYLife Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Michael Norman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLife Securities LLC about Michael Norman 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 NYLife Securities LLC If you have questions about NYLife Securities LLC and/or Michael Norman and the management or performance of your accounts, and, 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 Sims of Wedbush Securities Inc.

DID MICHAEL STEVAN SIMS CAUSE YOU INVESTMENT LOSSES? Michael Stevan Sims formerly with Wedbush Securities Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Michael S. Sims formerly with Wedbush Securities Inc.? Michael Sims (CRD #1034180) who was formerly registered with Wedbush Securities Inc. and located in Santa Rosa, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wedbush Securities Inc., Michael Sims was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wedbush Securities Inc. Broker Misconduct In his career, Michael Sims has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. All of Michael Sims’ customer complaints were settled by Wedbush Securities, Inc. in favor of investors. Allegations Against Michael Sims A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleged that Michael Sims engaged in excessive trading, made inappropriate investments, and mismanaged his account. Client alleged that Michael Sims made unsuitable recommendations in breach of his fiduciary duty of loyalty, committed negligence, negligent misrepresentation, fraud and violation of the federal and California securities laws as well as FINRA rules regarding the sale of securities in connection with Master Limited partnership investments and other stock transactions. Client alleged improprieties in connection with Master Limited Partnerships, Master Limited Partnership funds and Limited Partnerships. Client alleged unsuitable investment recommendations, excessive trading involving exchange traded funds. Michael Sims Red Flags & Your Rights As An Investor Of course, Michael Sims 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 Sims at Wedbush Securities Inc. on alert to review carefully the activity and performance of their accounts and question whether Michael Sims has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wedbush Securities Inc. about Michael Sims 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 Wedbush Securities Inc. If you have questions about Wedbush Securities Inc. and/or Michael Sims 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

Joshua Autenrieth of NYLife Securities, LLC

DID JOSHUA MAX AUTENRIETH CAUSE YOU INVESTMENT LOSSES? Joshua Max Autenrieth formerly with Transam Securities, Inc. And NYLife Securities, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Joshua M. Autenrieth formerly with Transam Securities, Inc. And NYLife Securities, LLC? Joshua Autenrieth (CRD #5894861) who was formerly registered with Transam Securities, Inc. and located in Altamonte Springs, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Transam Securities, Inc., Joshua Autenrieth was associated with Maitland Securities, Inc. and another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. NYLife Securities, LLC Broker Misconduct In his career, Joshua Autenrieth 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 of Joshua Autenrieth’s customer complaints were settled by NYLife Securities, LLC in favor of investors. Allegations Against Joshua Autenrieth   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 that the fees associated with the variable universal life insurance policy were not fully disclosed. The customer alleged that the costs and features associated with the variable universal life insurance policy were misrepresented by a financial advisor. Joshua Autenrieth Red Flags & Your Rights as An Investor Of course, Joshua Autenrieth 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 Joshua Autenrieth at Transam Securities, Inc. and Maitland Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Joshua Autenrieth has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at NYLife Securities, LLC 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 Transam Securities, Inc. And NYLife Securities, LLC If you have questions about Transam Securities, Inc., Maitland Securities, Inc., NYLife Securities, LLC, and/or Joshua Autenrieth 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