Mar 8, 2022

George Warner Formerly With Chelsea Financial Services

DID GEORGE MARSHALL WARNER CAUSE YOU INVESTMENT LOSSES? George Warner Formerly With Chelsea Financial Services And Dominion Investor Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is George Warner formerly with Chelsea Financial Services? George Warner (CRD #2300570) who was formerly registered with Chelsea Financial Services and located in Staten Island, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Chelsea Financial Services, George Warner was associated with Dominion Investor Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. George Warner also had his share of regulatory problems.  In March 2021, he was investigated by FINRA into his potential participation in undisclosed private securities transactions.  Apparently, George Warner, refused to produce information or documents requested by FINRA and consented to the sanction of a permanent bar from any further association with any member firm in any capacity. George Warner Customer Complaints George Warner has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of George Warner’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Chelsea Advisory Services and Chelsea Financial Services for investment losses caused by George Warner’s alleged misconduct. Allegations Against George Warner A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged that George Warner made an error in connection with the purchase of CIT bonds versus Citi Corp. bonds. Selling away (unauthorized transactions, without approval of brokerage firm) by George Warner. George Warner Red Flags & Your Rights As An Investor Of course, George Warner 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 George Warner at Chelsea Financial Services and Dominion Investor Services on alert to review carefully the activity and performance of their accounts and question whether George Warner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Chelsea Financial Services and Dominion Investor Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Chelsea Financial Services Due To George Warner If you have questions about Chelsea Financial Services, Dominion Investor Services, and/or George Warner 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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Mar 8, 2022

Jeffrey Weiner Formerly With Pruco Securities

DID JEFFREY PAUL WEINER CAUSE YOU INVESTMENT LOSSES? Jeffrey Weiner Formerly With Pruco Securities, MML Investors Services And MSI Financial Services Has 10 Customer Complaints For Alleged Broker Misconduct Who is Jeffrey Weiner formerly with Pruco Securities? Jeffrey Weiner (CRD #2476604) who was formerly registered with Pruco Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Pruco Securities, Jeffrey Weiner was associated with MML Investors Services, MSI Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jeffrey Weiner Customer Complaints Jeffrey Weiner has been the subject of 10 customer complaints that we know about, four of those complaints were filed in the last year to recover investment losses. One of Jeffrey Weiner’s 10 customer complaints was settled in favor of investors. Nine of Jeffrey Weiner’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Jeffrey Weiner A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged the sale of her variable annuity was misrepresented by Jeffrey Weiner as she was not informed of the surrender charges. Customer alleged Jeffrey Weiner did not fully disclose the premium payment requirements when a variable life insurance policy was purchased. Customer alleged Jeffrey Weiner misrepresented the features of a variable annuity purchased. Customer alleged damages for a waiver of the surrender penalty. Customer alleged Jeffrey Weiner misrepresented the variable life insurance policy she purchased. Customer alleged then when a variable life insurance policy was purchased from Jeffrey Weiner, Mr. Weiner did not explain premiums may need to be increased in the future. The complainant alleged that Jeffrey Weiner misrepresented the VUL policy issued. The complainant stated Mr. Weiner never told him, that he would be surrendering his Whole Policy by doing a 1035 exchange into the new VUL. The complainant is looking for a return of his cash value and all of the premiums paid. The complainant alleged that Jeffrey Weiner misrepresented the Variable Universal Life policy that was issued, which was funded by a 1035 exchanged of two Universal Life Policies. The complainant stated this resulted in a $5,000 surrender charge that he was never told about. The complainant would like the transaction reversed, and put back into his old policies, with the surrender charge re-credited to the policies. The complainant alleged that Jeffrey Weiner misrepresented his Variable Universal Life policy issued. The complainant would like his policy restored to its original standards. The customer alleged that Jeffrey Weiner misled her with regards to the future premium costs of her VUL policy, in order to earn a commission, when the solicitation occurred. Jeffrey Weiner Red Flags & Your Rights As An Investor Of course, Jeffrey Weiner 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 Jeffrey Weiner at Pruco Securities, MML Investors Services, and MSI Financial Services on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Weiner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities, MML Investors Services, and MSI Financial Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Pruco Securities Due To Jeffrey Weiner If you have questions about Pruco Securities, MML Investors Services, MSI Financial Services, and/or Jeffrey Weiner 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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Mar 8, 2022

David Weiniger of Lek Securities

DID DAVID JAY WEINIGER CAUSE YOU INVESTMENT LOSSES? David Weiniger Of Lek Securities Has A Customer Complaint For Alleged Broker Misconduct Who is David Weiniger of Lek Securities? David Weiniger (CRD #2368788) who is currently registered with Lek Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. David Weiniger Customer Complaint David Weiniger has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were violations of several FINRA rules including Rules 2010, 5310, and 2150. The customer complaint filed against David Weiniger’s current employer Lek Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. David Weiniger Red Flags & Your Rights As An Investor Of course, David Weiniger 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 David Weiniger at Lek Securities on alert to review carefully the activity and performance of their accounts and question whether David Weiniger has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lek Securities also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Lek Securities Due To David Weiniger If you have questions about Lek Securities and/or David Weiniger 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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Mar 8, 2022

Vincent Weir of Wells Fargo Clearing Services

DID VINCENT MALEY WEIR CAUSE YOU INVESTMENT LOSSES? Vincent Weir Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Vincent Weir of Wells Fargo Clearing Services? Vincent Weir (CRD #3118881) who is currently registered with Wells Fargo Clearing Services and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Vincent Weir Customer Complaint Vincent Weir has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were Vincent Weir placed him in unsuitable investments which resulted in losses. Vincent Weir’s customer complaint was denied and, to date, the customer has not taken any further action. Vincent Weir Red Flags & Your Rights As An Investor Of course, Vincent Weir 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 Vincent Weir at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Vincent Weir has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services Due To Vincent Weir If you have questions about Wells Fargo Clearing Services and/or Vincent Weir 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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Mar 8, 2022

Jake Warrington Formerly With LPL Financial

DID JAKE WILLIAM WARRINGTON CAUSE YOU INVESTMENT LOSSES? Jake Warrington Formerly With LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Jake Warrington formerly with LPL Financial? Jake Warrington (CRD #2843126) who was formerly registered with LPL Financial and located in Parsons, Kansas is a subject of one of our many securities industry sales practice abuse investigations. Jake Warrington Customer Complaint Jake Warrington has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that they did not authorize a small additional purchase of a stock they had already owned. The customer complaint filed against Jake Warrington’s former employer LPL Financial for investment losses caused by the alleged misconduct is pending as of the date of this report. Jake Warrington Red Flags & Your Rights As An Investor Of course, Jake Warrington 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 Jake Warrington at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Jake Warrington has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial Due To Jake Warrington If you have questions about LPL Financial and/or Jake Warrington 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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Mar 8, 2022

Jay Weiser Formerly With DesPain Financial

DID JAY R. WEISER CAUSE YOU INVESTMENT LOSSES? Jay Weiser Formerly With DesPain Financial Has 3 Customer Complaints For Alleged Broker Misconduct Who is Jay Weiser formerly with DesPain Financial? Jay Weiser (CRD #1511042) who was formerly registered with DesPain Financial and located in Collinsville, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Jay Weiser was also the subject of a FINRA investigation into his conduct regarding the sale of promissory notes and interest, and to determine whether Jay Weiser engaged in unapproved private securities transactions.  Apparently, Jay Weiser refused to cooperate in the investigation and produce documents and refused to give on-the-record testimony related to the investigation.  Consequently, he was barred from any further association with any member firm in any capacity. Jay Weiser Customer Complaints Jay Weiser has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Jay Weiser’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against DesPain Financial for investment losses caused by Jay Weiser’s alleged misconduct. Allegations Against Jay Weiser A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claim that Jay Weiser allegedly mismanaged retirement assets. Customer alleged that Jay Weiser allegedly mismanaged retirement assets. Jay Weiser Red Flags & Your Rights As An Investor Of course, Jay Weiser 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 Jay Weiser at DesPain Financial on alert to review carefully the activity and performance of their accounts and question whether Jay Weiser has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at DesPain Financial also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At DesPain Financial Due To Jay Weiser If you have questions about DesPain Financial and/or Jay Weiser 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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Mar 8, 2022

Michael Wasylyshyn of Royal Alliance Associates

DID MICHAEL MARTIN WASYLYSHYN CAUSE YOU INVESTMENT LOSSES? Michael Wasylyshyn Of Royal Alliance Associates And NCA Financial Planners Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Wasylyshyn of Royal Alliance Associates? Michael Wasylyshyn (CRD #1901073) who is currently registered with Royal Alliance Associates, NCA Financial Planners and located in Mayfield Hts, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Michael Wasylyshyn Customer Complaint Michael Wasylyshyn has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were negligence, breach of fiduciary duty, breach of contract regarding sale of REITs. Michael Wasylyshyn’s customer complaint was settled in favor of the investors. Michael Wasylyshyn Red Flags & Your Rights As An Investor Of course, Michael Wasylyshyn 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 Wasylyshyn at Royal Alliance Associates and NCA Financial Planners on alert to review carefully the activity and performance of their accounts and question whether Michael Wasylyshyn has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates and NCA Financial Planners also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Royal Alliance Associates Due To Michael Wasylyshyn If you have questions about Royal Alliance Associates, NCA Financial Planners, and/or Michael Wasylyshyn 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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Mar 8, 2022

Lori Welborn of BBVA Securities

DID LORI ANN WELBORN CAUSE YOU INVESTMENT LOSSES? Lori Welborn Of BBVA Securities And BBVA Wealth Solutions Has 6 Customer Complaints For Alleged Broker Misconduct Who is Lori Welborn of BBVA Securities? Lori Welborn (CRD #2344775) who is currently registered with BBVA Securities, BBVA Wealth Solutions and located in Richardson, Texas is a subject of one of our many securities industry sales practice abuse investigations. Lori Welborn Customer Complaints Lori Welborn has been the subject of 6 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Lori Welborn’s 6 customer complaints was settled in favor of investors. Five of Lori Welborn’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Lori Welborn A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer purchased a variable annuity inside a family trust. Customer alleged that Lori Welborn’s annuity was unsuitable. Customer purchased fixed index annuity. Customer claimed that investment was unsuitable based upon terms and features customer alleged he was not aware of at the time of sale, though he acknowledged the disclosure of same in writing at the point of sale allegedly committed by Lori Welborn. Customer purchased variable annuity contract. Customer alleged that Lori Welborn’s contract was unsuitable. Customer purchased variable annuity contract. Customer alleged that this was an unsuitable investment by Lori Welborn. Customer purchased variable annuity and made an addition to the contract. Customer alleged that Lori Welborn misrepresented and/or failed to adequately disclose the terms and features of the contract. Lori Welborn’s alleged unsuitable investment recommendations made for the client’s brokerage account. Lori Welborn Red Flags & Your Rights As An Investor Of course, Lori Welborn 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 Lori Welborn at BBVA Securities and BBVA Wealth Solutions on alert to review carefully the activity and performance of their accounts and question whether Lori Welborn has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at BBVA Securities and BBVA Wealth Solutions also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At BBVA Securities Due To Lori Welborn If you have questions about BBVA Securities, BBVA Wealth Solutions, and/or Lori Welborn 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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Mar 8, 2022

John Welp of LPL Financial

DID JOHN PATRICK WELP CAUSE YOU INVESTMENT LOSSES? John Welp Of LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is John Welp of LPL Financial? John Welp (CRD #2368419) who is currently registered with LPL Financial and located in Jasper, Indiana is a subject of one of our many securities industry sales practice abuse investigations. John Welp Customer Complaint John Welp has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were breach of fiduciary duty and contract through unsuitable investment recommendations, misrepresentations, common law fraud, violations of the Securities Exchange Act of 1934, and negligent supervision. John Welp’s customer complaint was settled in favor of the investors. John Welp Red Flags & Your Rights As An Investor Of course, John Welp 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 John Welp at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether John Welp has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial Due To John Welp If you have questions about LPL Financial and/or John Welp 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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Mar 8, 2022

Michelle Werth of Cadaret Grant & Co.

DID MICHELLE DENISE WERTH CAUSE YOU INVESTMENT LOSSES? Michelle Werth Of Cadaret Grant & Co. And Formerly With Putnam Retail Management Limited Partnership Has A Customer Complaint For Alleged Broker Misconduct Who is Michelle Werth of Cadaret Grant & Co.? Michelle Werth (CRD #3054084) who is currently registered with Cadaret Grant & Co.and located in Baldwinsville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cadaret Grant & Co., Michelle Werth was associated with Putnam Retail Management Limited Partnership and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michelle Werth Customer Complaint Michelle Werth has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were customer was unhappy with tax consequence as a result of recommended sales. Michelle Werth’s customer complaint was denied and, to date, the customer has not taken any further action. Michelle Werth Red Flags & Your Rights As An Investor Of course, Michelle Werth 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 Michelle Werth at Cadaret Grant & Co. and Putnam Retail Management Limited Partnership on alert to review carefully the activity and performance of their accounts and question whether Michelle Werth has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cadaret Grant & Co. and Putnam Retail Management Limited Partnership also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Cadaret Grant & Co. Due To Michelle Werth If you have questions about Cadaret Grant & Co., Putnam Retail Management Limited Partnership, and/or Michelle Werth 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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