Jan 20, 2022

Lawrence Fawcett of WestPark Capital, Inc

DID LAWRENCE JOHN FAWCETT JR CAUSE YOU INVESTMENT LOSSES? Lawrence John Fawcett Jr formerly with WestPark Capital, Inc. Has 8 Customer Complaints for Alleged Broker Misconduct   Who is Lawrence J. Fawcett Jr formerly with WestPark Capital, Inc.? Lawrence Fawcett (CRD #5851474) who was formerly registered with WestPark Capital, Inc. and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations.   Prior to WestPark Capital, Inc., Lawrence Fawcett was associated with Salomon Whitney Financial and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. In March 2018, Lawrence Fawcett was discharged by WestPark Capital, Inc. for allegedly conducting business from a non-disclosed location in making false representations to his employer. Lawrence Fawcett, Jr., has had his share of regulatory problems; he has been permanently barred from association with any FINRA member firm in any capacity for failure to pay an arbitration award, and failure to pay fees, failure to supply information to FINRA in violation of Rule 8210. WestPark Capital, Inc. Broker Misconduct In his career, Lawrence Fawcett has been the subject of 8 customer complaints that we know about, 4 of those complaints were filed in the last year to recover investment losses. Two customers went all the way through an arbitration proceeding and received an arbitration award in their favor to recover their investment losses.   One of Lawrence Fawcett’s 8 customer complaints was settled in favor of investors. There are currently 3 pending customer complaints filed against Lawrence Fawcett’s former employers WestPark Capital, Inc. and SW Financial for investment losses caused by his alleged misconduct. Allegations Against Lawrence Fawcett 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 and proved in an arbitration proceeding all or some of his allegations that Lawrence Fawcett was negligent and engaged in qualitative and quantitative suitability misconduct, breach of fiduciary duty, breach of contract, negligent misrepresentations, and omissions. The customer alleged that Lawrence Fawcett engaged in unauthorized trading, made unsuitable investment recommendations, and engage in an unsuitable investment strategy. The customer alleged Lawrence Fawcett engaged in unauthorized trading at Salomon Whitney brokerage. The claimant alleged that Lawrence Fawcett made unsuitable recommendations and misrepresentations and breach his fiduciary duty related to common stock transactions and private placement investments. The claimant alleged excessive trading or churning which are unsuitable transactions. The claimant alleged, churning, negligence, unauthorized trading, and breach of contract related to certain equity transactions. Lawrence Fawcett Red Flags & Your Rights as An Investor Of course, Lawrence Fawcett 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 Lawrence Fawcett at Westpark Capital, Inc. and Salomon Whitney Financial on alert to review carefully the activity and performance of their accounts and question whether Lawrence Fawcett has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Westpark Capital, Inc. and Salomon Whitney Financial about Lawrence Fawcett 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 Westpark Capital, Inc., Salomon Whitney Financial, And SW Financial If you have questions about Westpark Capital, Inc., Salomon Whitney Financial, SW Financial, and/or Lawrence Fawcett 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

Jose Huerfano of J.P. Morgan Securities, LLC

DID JOSE LINO HUERFANO JR CAUSE YOU INVESTMENT LOSSES? Jose Lino Huerfano Jr with J.P. Morgan Securities, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Jose Lino Huerfano Jr with J.P. Morgan Securities LLC? Jose Huerfano (CRD #4104166) who is currently registered with J.P. Morgan Securities, LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to J.P. Morgan Securities, LLC, Jose Huerfano was associated with 9other 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, Jose Huerfano 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. J.P. Morgan Securities, LLC denied those customer complaints, and to date, the customers and not taking any further action.  Allegations Against Jose Huerfano 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 José Huerfano made unsuitable investment recommendations in connection with common stock transactions. When the client alleged unauthorized trading by José Huerfano. Jose Huerfano Red Flags & Your Rights as An Investor Of course, Jose Huerfano 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 Jose Huerfano at J.P. Morgan Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Jose Huerfano has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities, LLC about José Huerfano 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 Jose Huerfano 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

Joseph Kelly of Spartan Capital Securities, LLC

DID JOSEPH KELLY CAUSE YOU INVESTMENT LOSSES? Joseph Kelly with Spartan Capital Securities, LLC Has 3 Customer Complaints for Alleged Broker Misconduct Who is Joseph Kelly with Spartan Capital Securities, LLC? Joseph Kelly (CRD #4560737) who is currently registered with Spartan Capital Securities, LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Spartan Capital Securities, LLC, Joseph Kelly was associated with PHX Financial, Inc. and National Securities Corporation, and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Spartan Capital Securities, LLC Broker Misconduct In his career, Joseph Kelly has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. One of Joseph Kelly’s 3 customer complaints was settled in favor of investors. There are currently 2 pending customer complaints filed against Joseph Kelly’s current employer Spartan Capital Securities, LLC for investment losses caused by his alleged misconduct. Allegations Against Joseph Kelly 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 in the arbitration proceeding that Joseph Kelly made unsuitable investment recommendations and misrepresentations. The customer alleged that Joseph Kelly engaged in churning his account and unsuitable transactions. The claimant alleged misrepresentations and excessive trading. Joseph Kelly Red Flags & Your Rights as An Investor Of course, Joseph Kelly 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 Joseph Kelly at Spartan Capital Securities, LLC, PHX Financial, Inc. and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Joseph Kelly has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Spartan Capital Securities, LLC about Joseph Kelly 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 Spartan Capital Securities, LLC If you have questions about Spartan Capital Securities, LLC, PHX Financial, Inc., National Securities Corporation, and/or Joseph Kelly 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

Louis Olave of Lincoln Investment

DID LOUIS MAURICE OLAVE CAUSE YOU INVESTMENT LOSSES? Louis Maurice Olave Of Lincoln Investment and Formally with Questar Capital Corporation Has for Customer Complaints for Alleged Broker Misconduct Who is Louis M. Olave with Lincoln Investment? Louis Olave (CRD #5904834) who is currently registered with Lincoln Investment and located in Burlington, Vermont is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Lincoln Investment, Louis Olave was associated with Questar Capital Corporation and Proequities, Inc., two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Questar Capital Corporation Broker Misconduct In his career, Louis Olave has been the subject of 4 customer complaints that we know about, 1 of those complaints were filed in the last year to recover investment losses. One of Louis Olave’s customers went through an arbitration proceeding and received an arbitration award in his favor. The other 3 complaints were denied by his former employer’s in the customers did not take any further action to recover their investment losses.  Allegations Against Louis Olave 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 an arbitration proceeding that Louis Olave made unsuitable investment recommendations to invest in The Future Income Payments, LLC that constituted violations of FINRA rules, breach of his fiduciary duty, negligence, and breach of contract. The client alleged at the recommendation and sale of annuities were unsuitable recommendations and transactions.  Given her retirement, and liquidity needs. The customer complained that the recommendation to sell an annuity and reinvest in a structured cash flow offering was appropriate.  Further, that she was not advised that the annuities surrender would be a taxable event. Louis Olave Red Flags & Your Rights as An Investor Of course, Louis Olave 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 Louis Olave at Lincoln Investment, Questar Capital Corporation, and Proequities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Louis Olave has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Questar Capital Corporation and Proequities, 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 Lincoln Investment, Questar Capital Corporation, and Proequities, Inc.  If you have questions about Lincoln Investment, Questar Capital Corporation, Proequities, Inc. and/or Louis Olave, 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

Kevin Schaefer of Wells Fargo Clearing Services, LLC

DID KEVIN JOSEPH SCHAEFER CAUSE YOU INVESTMENT LOSSES? Kevin Joseph Schaefer with Wells Fargo Clearing Services, LLC And Formally with Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 6 Customer Complaints for Alleged Broker Misconduct Who is Kevin J. Schaefer Of Wells Fargo Clearing Services, LLC? Kevin Schaefer (CRD #1286030) who is currently registered with Wells Fargo Clearing Services, LLC and located in San Francisco, California is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Wells Fargo Clearing Services, LLC, Kevin Schaefer was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, and 12 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Merrill, Lynch, Fenner, & Smith Incorporated Broker Misconduct In his career, Kevin Schaefer has been the subject of 6 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Two of Kevin Schaefer’s 6 customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against Kevin Schaefer’s current employer Wells Fargo Clearing Services, LLC for investment losses caused by his alleged misconduct. Allegations Against Kevin Schaefer 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 misconduct in connection with the auction rate security investments. Claimants allege fraudulent and negligent misrepresentations and omissions, breach of fiduciary duty connection with the trading of the common stock known as Syntech. The customer alleged misrepresentation and unsuitable investment recommendations relating to certain municipal bonds. The claimant alleged unsuitable investment recommendations of alternative investments. The claimant alleged unsuitable investment recommendations of private placements, fixed income securities, and structured products. The claimant alleged misrepresentations connection with the investments in private placements and structured products. Kevin Schaefer Red Flags & Your Rights as An Investor Of course, Kevin Schaefer 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 Kevin Schaefer at Wells Fargo Clearing Services, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Kevin Schaefer as engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints recently at Merrill Lynch, Pierce, Fenner & Smith Incorporated about Kevin Schaefer 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 Wells Fargo Clearing Services, LLC And Merrill Lynch, Pierce, Fenner & Smith If you have questions about Wells Fargo Clearing Services, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Kevin Schaefer 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

Peter Janssen of Janssen Partners, Inc

DID PETER KYLE JANSSEN CAUSE YOU INVESTMENT LOSSES? Peter Kyle Janssen Of Janssen Partners, Inc., and Formerly with Katalyst Securities, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Peter K. Janssen with Janssen Partners, Inc.? Peter Janssen (CRD #5691028) who is currently registered with Janssen Partners, Inc. and located in Fairfield, Iowa is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Janssen Partners, Inc., Peter Janssen was associated with Katalyst Securities LLC and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Katalyst Securities, LLC Broker Misconduct In his career, Peter Janssen 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 Peter Janssen’s customer complaints were settled in favor of investors. Allegations Against Peter Janssen A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Two customers filed 2 separate arbitration claims and alleged misconduct in connection with a private placement investment in Mega Blockchain, a venture opportunity in the cryptocurrency market which his former employer Katalyst Securities, LLC, settled. Peter Janssen Red Flags & Your Rights as An Investor Of course, Peter Janssen 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 Peter Janssen at Janssen Partners, Inc. on alert to review carefully the activity and performance of their accounts and question whether Peter Janssen has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Katalyst Securities, LLC concerning cryptocurrency investments 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 Janssen Partners, Inc. And Katalyst Securities, LLC If you have questions about Janssen Partners, Inc. and/or Peter Janssen 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

Patrick Kerwin of Vanguard Marketing Corporation

DID PATRICK VICTOR KERWIN CAUSE YOU INVESTMENT LOSSES? Patrick Victor Kerwin with Vanguard Marketing Corporation Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Patrick V. Kerwin with Vanguard Marketing Corporation? Patrick Kerwin (CRD #4835261) who is currently registered with Vanguard Marketing Corporation and located in Malvern, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Vanguard Marketing Corporation, Patrick Kerwin was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Vanguard Marketing Corporation Broker Misconduct In his career, Patrick Kerwin 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. Both customers who recently made complaints against Patrick Kerwin’s current employer Vanguard Marketing Corporation for investment losses caused by his alleged misconduct have not filed their arbitration claims so far.  Allegations Against Patrick Kerwin 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 he was given negligent advice to alter his investment plan. The customer alleges that Patrick Kerwin failed to execute orders in a timely manner. Patrick Kerwin Red Flags & Your Rights as An Investor Of course, Patrick Kerwin 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 Patrick Kerwin at Vanguard Marketing Corporation on alert to review carefully the activity and performance of their accounts and question whether Patrick Kerwin has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Vanguard Marketing Corporationabout Patrick Kerwin in such a short period 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 Vanguard Marketing Corporation If you have questions about Vanguard Marketing Corporation and/or Patrick Kerwin 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

Paul Roy of Ameriprise Financial Services, LLC

DID PAUL JOHN ROY CAUSE YOU INVESTMENT LOSSES? Paul John Roy with Ameriprise Financial Services, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Paul J. Roy with Ameriprise Financial Services, LLC? Paul Roy (CRD #1100810) who is currently registered with Ameriprise Financial Services, LLC and located in Cloquet, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Ameriprise Financial Services, LLC is an investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Ameriprise Financial Services, LLC Broker Misconduct In his career, Paul Roy has been the subject of 5 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. Two of Paul Roy’s 5 customer complaints were settled in favor of investors.   The remaining customer complaints filed against Paul Roy’s current employer Ameriprise Financial Services, LLC for investment losses caused by his alleged misconduct were denied and the customers took no further action.  Allegations Against Paul Roy A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Clients alleged negligent advice in connection with income riders for their variable annuities. Claimants allege that they received negligent advice from Paul Roy in connection with the sale of gifted stock and the purchase of a life insurance policy.  Further, claimants allege fraud, breach of fiduciary duty, and violations of securities laws. The client alleges variable annuity and IRA sold to him was an unsuitable investment recommendation by Paul Roy. The client alleges that Paul Roy recommended appropriate variable annuities and failed to disclose the applicable surrender charges. The client alleged they received negligent advice in connection with their securities portfolio and were sold a variable universal life insurance policy that they did not need for insurance purposes. Paul Roy Red Flags & Your Rights as An Investor Of course, Paul Roy 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 Paul Roy at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Paul Roy has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Ameriprise Financial Services, LLC about Paul Roy 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 Ameriprise Financial Services, LLC If you have questions about Ameriprise Financial Services, LLC and/or Paul Roy 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

Mohammad Sarhan of J.P. Morgan Securities, LLC

DID MOHAMMAD SARHAN CAUSE YOU INVESTMENT LOSSES? Mohammad Sarhan with J.P. Morgan Securities, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Mohammad Sarhan with J.P. Morgan Securities, LLC? Mohammad Sarhan (CRD #4332630) who is currently registered with J.P. Morgan Securities, LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to J.P. Morgan Securities, LLC, Mohammad Sarhanwas associated with and 5other 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, Mohammad Sarhan 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 customer complaints made against Mohammad Sarhan’s current employer J.P. Morgan Securities, LLC for investment losses caused by his alleged misconduct were recently denied by the firm and stated, customers, have not filed the arbitration claims. Allegations Against Mohammad Sarhan A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleges unsuitable recommendations relating to mutual fund investments. The client alleges misrepresentation and unsuitable recommendations relating to mutual fund investments. Mohammad Sarhan Red Flags & Your Rights as An Investor Of course, Mohammad Sarhan 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 Mohammad Sarhan at J.P. Morgan Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Mohammad Sarhan 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 such a short period 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 Mohammad Sarhanand 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

Stephen Ferencik of Arkadios Capital

DID STEPHEN JOHN FERENCIK CAUSE YOU INVESTMENT LOSSES? Stephen John Ferencik with Arkadios Capital Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Stephen J. Ferencik with Arkadios Capital? Stephen Ferencik (CRD #3126037) who is currently registered with Arkadios Capital and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Arkadios Capital, Stephen Ferencik was associated with Triad Advisors, Inc. and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Arkadios Capital Broker Misconduct In his career, Stephen Ferencik has been the subject of 8 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Four of Stephen Ferencik’s 8 customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against Stephen Ferencik’s current employer Arkadios Capital for investment losses caused by his alleged misconduct. Allegations Against Stephen Ferencik   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 excessive trading in her account. Claimants alleged unsuitable investment recommendations and unauthorized trading in stocks and products in their accounts. The claimant alleged that Stephen Ferencik recommended an unsuitable asset allocation and made unauthorized trades in his account. The client alleged that the financial advisor places various trades in his account without his consent or knowledge. The customer alleged that his investments were misrepresented to him. The client alleged that Stephen Ferencik engaged in excessive trading that was not beneficial or with his knowledge. Claimants and separate arbitration proceedings alleged that financial advisors made unsuitable recommendations to invest in structured notes. UBS Financial Services, Inc. discharged Stephen Ferencik for allegedly exercising discretion in the client’s account, in violation of firm policy, despite been previously reprimanded by the firm or similar misconduct. Stephen Ferencik Red Flags & Your Rights as An Investor Of course, Stephen Ferencik 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 Stephen Ferencik at Arkadios Capital and Triad Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Stephen Ferencik has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arkadios Capital and Triad Advisors, 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 Arkadios Capital If you have questions about Arkadios Capital, UBS Financial Services, Inc., and/or Stephen Ferencik 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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