Jan 20, 2022

Samuel Lek of Lek Securities Corporation

DID SAMUEL FREDERIK LEK CAUSE YOU INVESTMENT LOSSES? Samuel Frederik Lek formerly with Lek Securities Corporation Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Samuel F. Lek formerly with Lek Securities Corporation? Samuel Lek (CRD #1642936) who was formerly registered with Lek Securities Corporation and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Lek Securities Corporation, Samuel Lek has associated with2other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Incredibly, Samuel Lek has been personally involved and 16 regulatory actions, 12, which are final, and 4 remain pending in various jurisdictions.  The allegations have included: providing market access to foreign traders who engage in various forms of manipulative trading on U.S. equity and options exchanges, including, layering, spoofing, and cross-product manipulation.  The sanctions included permanent bars for trading penny stocks or any trading on the CBOE, Nasdaq, International Securities Exchange, and NYSE. Lek Securities Corporation Broker Misconduct In his career, Samuel Lek 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 customer complaints filed against Samuel Lek’s former employer Lek Securities Corporation for investment losses caused by his alleged misconduct or currently pending.  Allegations Against Samuel Lek 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 violations of FINRA rules, 2010, 5310, 2150, and 3110 all of which are related to the manipulation allegations described above. The claimant alleged damages due to frozen funds, excessive fees, misrepresentation, and breach of contract related to penny stock transactions.  Samuel Lek Red Flags & Your Rights as An Investor Of course, Samuel Lek 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 Samuel Lek at Lek Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Samuel Lek has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Lek 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 Lek Securities Corporation If you have questions about Lek Securities Corporation and/or Samuel Lek 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 Speyer of Morgan Stanley

DID BARRY MARTIN SPEYER CAUSE YOU INVESTMENT LOSSES? Barry Martin Speyer with Morgan Stanley Has 8 Customer Complaints for Alleged Broker Misconduct Who is Barry M. Speyer with Morgan Stanley? Barry Speyer (CRD #432002) who is currently registered with Morgan Stanley and located in Beverly Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Barry Speyer was associated with another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his career, Barry Speyer 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. Two of the customer complaints resulted in arbitration hearings where arbitration awards were entered against Morgan Stanley and Barry Speyer. Three of Barry Speyer’s 8 customer complaints were settled in favor of investors. Two of those complaints were denied by his employer and the customers took no further action. There is currently one pending customer complaint filed against Barry Speyer’scurrent employer Morgan Stanley for investment losses caused by his alleged misconduct. Allegations Against Barry Speyer A sample of the allegations made in the FINRA reported arbitration awards, settlements and pending complaint for investment losses are as follows: Breach of fiduciary duty and constructive fraud for engaging in unauthorized options trading resulting in an arbitration award in the investor’s favor. The customer alleged unsuitable options trading and received an arbitration award in the amount of $175,000 plus interest, $25,000 in attorney’s fees, and expert witness fees. The claimant alleges unsuitability with respect to common stock transactions.  The customer claims the financial advisor purchased unsuitable auction-rate securities. The customer alleged that the financial advisor executed unsuitable trades in her accounts, including options in purchasing common stocks on margin. Barry Speyer Red Flags & Your Rights as An Investor Of course, Barry Speyer 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 Barry Speyerat Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Barry Speyerhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley about Barry Speyeralso 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 Morgan Stanley If you have questions about Morgan Stanley and/or Barry Speyer 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

Alvery Bartlett of Aegis Capital Corp.

DID ALVERY ANTHONY BARTLETT JR CAUSE YOU INVESTMENT LOSSES? Alvery Anthony Bartlett Jr Of Aegis Capital Formerly With Berthel Fisher & Company Has 4 Customer Complaints For Alleged Broker Misconduct Who is Alvery A. Bartlett Jr with Aegis Capital Corp.? Alvery Bartlett (CRD #13975) who is currently registered with Aegis Capital Corp. and located in Clayton, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital Corp., Alvery Bartlett was associated with Arete Wealth Management, LLC and Berthel, Fisher & Company Financial Services, Inc. and 5 investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Berthel Fisher & Company Broker Misconduct In his career, Alvery Bartlett 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. All of the customer complaints arose in connection with his employment at Berthel, Fisher and Company, Financial Services, Inc. Three of Alvery Bartlett’s 4 customer complaints were settled in favor of investors. There is currently one pending customer complaints filed against Alvery Bartlett’s former employer Berthel, Fisher & Company Financial Services, Inc. for investment losses caused by his alleged misconduct. Allegations Against Alvery Bartlett   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 the oil and gas, real estate and business development Company investments he purchased were unsuitable and misrepresented by the registered representative. Client alleges unsuitable recommendations in the oil and gas in real estate sector. Client alleges that Tenant in Common (TIC) investments, recommended were unsuitable. Client allege that there is a registered representative made a series of recommendations of illiquid, high commission investments which were unsuitable and resulted in over-concentration of these products in their portfolio. Alvery Bartlett Red Flags & Your Rights As An Investor Of course, Alvery Bartlett 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 Alvery Bartlett at Aegis Capital Corp., Arete Wealth Management, LLC and Berthel, Fisher & Company Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Alvery Bartlett has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about Alvery Bartlett at Berthel, Fisher & Company Financial Services, Inc. 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. And Berthel, Fisher & Co. Financial Services, Inc. If you have questions about Aegis Capital Corp., Arete Wealth Management, LLC, Berthel, Fisher & Company Financial Services, Inc. and/or Alvery Bartlett 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

Gregory Gann of LPL Financial LLC

DID GREGORY ELLIS GANN CAUSE YOU INVESTMENT LOSSES? Gregory Ellis Gann with LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Gregory E. Gann with LPL Financial LLC? Gregory Gann (CRD #2144505) who is currently registered with LPL Financial LLC and located in Baltimore, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Gregory Gann was associated with two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.   Gregory Gann Broker Misconduct In his career, Gregory Gann 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 customer complaints filed against Gregory Gann’s current employer LPL Financial LLC for investment losses caused by his alleged misconduct are pending. Allegations Against Gregory Gann   A sample of the allegations made in the FINRA reported arbitration claim pending complaints for investment losses are as follows: Claimant alleges that he received poor advice in the financial advisor and that the recommendations made to invest in a REIT was unsuitable. Claimant alleges that it was solicited to invest in Northstar Healthcare REIT without disclosure of the risk of the investment or the high commissions received by the financial advisor selling the product. The claims alleged were for fraud, misrepresentation, breach of fiduciary duty, violations of FINRA Rules, and breach of contract. Gregory Gann Red Flags & Your Rights As An Investor Of course, Gregory Gann 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 Gregory Gann at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Gregory Gann 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 Gregory Gann 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

James Geake of Madison Avenue Securities, LLC

DID JAMES ANDREW GEAKE CAUSE YOU INVESTMENT LOSSES? James Andrew Geake with Madison Avenue Securities, LLC Has 10 Customer Complaints For Alleged Broker Misconduct Who is James A. Geake with Madison Avenue Securities, LLC? James Geake (CRD #2629008) who is currently registered with Madison Avenue Securities, LLC and located in Skokie, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Madison Avenue Securities, LLC, James Geake was associated with two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Madison Avenue Securities, LLC Broker Misconduct In his career, James Geake has been the subject of 10 customer complaints that we know about to recover investment losses. Six of James Geake’s 10 customer complaints were settled in favor of investors. Four of the customer complaints were denied by James Geake’s current employer, and to date, the customers have not taken any further action.   Allegations Against James Geake   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants alleged unsuitable investment recommendations and breach of the financial advisors fiduciary duty, negligence, and misrepresentation in the sale of alternative investments involving real estate securities. Claimant alleges unsuitable investment recommendations and misrepresentations related to an alternative investment and FIA contracts. Claimant alleges that the representative made unsuitable investment recommendations and breach of his fiduciary duty, negligence and breach of contract. Customer alleges that the registered representative turned his investments within a 401(k). Unsuitable recommendations of the illiquid investments. Client alleged he was sold equity indexed annuities as part of a “bait and switch” scheme. Client alleged that a REIT investments, recommended by the financial advisor was unsuitable. James Geake Red Flags & Your Rights As An Investor Of course, James Geake 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 James Geake at Madison Avenue Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether James Geake has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Madison Avenue Securities, LLC about James  Geake 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 Madison Avenue Securities, LLC If you have questions about Madison Avenue Securities, LLC and/or James Geake 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

David Hicks of Triad Advisors LLC

DID DAVID ARTHUR HICKS CAUSE YOU INVESTMENT LOSSES? David Arthur Hicks with Triad Advisors LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is David A. Hicks with Triad Advisors LLC? David Hicks (CRD #733045) who is currently registered with Triad Advisors LLC and located in Baltimore, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Prior to Triad Advisors LLC, David Hicks was associated with H. Beck, Inc. and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. H. Beck, Inc.  Broker Misconduct In his career, David Hicks 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. All of the complaints arose in connection with his employment at H. Beck, Inc. The other complaint was denied by David Hicks employer antedate the customer is not taking any further action.  There are currently 2 pending customer complaints filed against David Hicks’ former employer, H. Beck, Inc. for investment losses caused by his alleged misconduct. Allegations Against David Hicks A sample of the allegations made in the FINRA reported arbitration claim pending complaints for investment losses are as follows: Client alleges that the registered representatives invested their assets in an unsuitable and illiquid REIT investments. Client alleges that registered representative over-concentrated her portfolio and high-risk, high commission REITs and variable annuities which were unsuitable for her. Customer alleges misrepresentation in connection with REIT investments purchased in her account. David Hicks Red Flags & Your Rights As An Investor Of course, David Hicks 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 Hicks at Triad Advisors LLC and H. Beck, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Hicks has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about David Hicks at H. Beck, 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 Triad Advisors LLC  And H. Beck, Inc.  If you have questions about Triad Advisors LLC, H. Beck, Inc. and/or David Hicks 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

Scott Ozer of Emerson Equity LLC

DID SCOTT MICHAEL OZER CAUSE YOU INVESTMENT LOSSES? Scott Michael Ozer with Emerson Equity LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Scott M. Ozer with Emerson Equity LLC? Scott Ozer (CRD #1009252) who is currently registered with Emerson Equity LLC and located in Agoura Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Emerson Equity LLC, Scott Ozer was associated with Sandlapper Securities, LLC and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sandlapper Securities, LLC Broker Misconduct In his career, Scott Ozer 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. Both of those complaints recently filed arose in connection with Scott Ozer’s employment at Sandlapper Securities, LLC. One of those complaints was denied by his former brokerage firm and the customer never pursued any further action. There are currently 2 pending customer complaints filed against Scott Ozer’s former employer, Sandlapper Securities, LLC for investment losses caused by his alleged misconduct. Allegations Against Scott Ozer A sample of the allegations made in the FINRA reported arbitration claim pending complaints for investment losses are as follows: Client alleged that stock purchases were unsuitable for him. Claimants alleged breach of fiduciary duty, breach of written contract, breach of oral contract, violation of federal and state securities laws, and violation of FINRA rules of fair practice. Client’s alleged breach of fiduciary duty, breach of contract and violations of federal and state securities laws involving real estate securities investments. Scott Ozer Red Flags & Your Rights As An Investor Of course, Scott Ozer 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 Scott Ozer at Emerson Equity LLC and Sandlapper Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Scott Ozer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sandlapper 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 Emerson Equity LLC And Sandlapper Securities, LLC If you have questions about Emerson Equity LLC, Sandlapper Securities, LLC and/or Scott Ozer 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

Amy Seltzer of Cambridge Investment Research, Inc.

DID AMY BETH SELTZER CAUSE YOU INVESTMENT LOSSES? Amy Beth Seltzer with Cambridge Investment Research, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Amy B. Seltzer with Cambridge Investment Research, Inc.? Amy Seltzer (CRD #4497457) who is currently registered with Cambridge Investment Research, Inc. and located in Altoona, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cambridge Investment Research, Inc., Amy Seltzer was associated with 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cambridge Investment Research, Inc. Broker Misconduct In her career, Amy Seltzer 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 customer complaints filed against Amy Seltzer’s current employer Cambridge Investment Research, Inc. for investment losses caused by her alleged misconduct are pending. Allegations Against Amy Seltzer   A sample of the allegations made in the FINRA reported arbitration claim pending complaints for investment losses are as follows: The claimant alleges he was sold alternative investments that were illiquid and complex investment products rather than a well-diversified investment portfolio. The investments made included annuities, mutual funds, and direct investments and limited partnership interests in the oil and gas in real estate sectors. The claimant is seeking over $1 million in damages. The claimant alleges that they were significantly exposed to large concentrated positions in illiquid investments without fair and balanced disclosures. The claimants are seeking $350,000. Amy Seltzer Red Flags & Your Rights As An Investor Of course, Amy Seltzer 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 Amy Seltzer at Cambridge Investment Research, Inc. on alert to review carefully the activity and performance of their accounts and question whether Amy Seltzer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research, Inc. about Amy Seltzer 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 Cambridge Investment Research, Inc. If you have questions about Cambridge Investment Research, Inc. and/or Amy Seltzer 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

David Wall of Voya Financial Advisors, Inc.

DID DAVID RALPH WALL CAUSE YOU INVESTMENT LOSSES? David Ralph Wall with Voya Financial Advisors, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is David R. Wall with Voya Financial Advisors, Inc.? David Wall (CRD #1651874) who is currently registered with Voya Financial Advisors, Inc. and located in Simpsonville, South Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Voya Financial Advisors, Inc., David Wall was associated with 11 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Voya Financial Advisors, Inc. Broker Misconduct In his career, David Wall 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 customer complaints filed against David Wall’s current employer Voya Financial Advisors, Inc. for investment losses caused by his alleged misconduct are pending. Allegations Against David Wall A sample of the allegations made in the FINRA reported arbitration claim pending complaints for investment losses are as follows: The claimants alleged that the registered representative solicit the sale of unsuitable securities, including variable annuities, real estate securities, and unit investment trusts. Claimants are seeking over $5 million in damages. The claimant allegations in the statement of claim are for unsuitable investment recommendations and breach of the financial advisors fiduciary duties. David Wall Red Flags & Your Rights As An Investor Of course, David Wall 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 Wall at Voya Financial Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Wall has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Voya Financial 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 Voya Financial Advisors, Inc. If you have questions about Voya Financial Advisors, Inc. and/or David Wall 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

Thomas Bock of Mutual Securities, Inc.

DID THOMAS HERBERT BOCK CAUSE YOU INVESTMENT LOSSES? Thomas Herbert Bock formerly with Mutual Securities, Inc. Has 7 Customer Complaints For Alleged Broker Misconduct Who is Thomas H. Bock formerly with Mutual Securities, Inc.? Thomas Bock (CRD #806182) who was formerly registered with Mutual Securities, Inc. and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Prior to Mutual Securities, Inc., Thomas Bock was associated with 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Thomas Bock has been the respondent into arbitration claims filed by his former customers. In those arbitrations, the investors alleged, among other things, breach of duty of loyalty, breach of duty to deal fairly and honestly with claimants, breach of duty of full disclosure, breach of duty to act in good faith and in claimant’s best interests, negligence, fraud, in violation of federal and state securities laws as well as FINRA rules of conduct. The most recent arbitration award against his former employer and himself resulted in an arbitration award the amount of $773,527. Thomas Bock failed to satisfy the most recent arbitration award and was suspended indefinitely by FINRA from association with any member firm in any capacity until that award is paid. Mutual Securities, Inc. Broker Misconduct In his career, Thomas Bock has been the subject of 7 customer complaints that we know about, 3 of those complaints were filed in the last two years to recover investment losses. As described above, 2 of those customer complaints went to arbitration and awards were entered in favor of the investors. One of Thomas Bock’s 7 customer complaints was settled in favor of investors. One of the customer complaints was denied in to date, the customer is not taken any action. Three of the customer complaints There are currently 3 pending customer complaints filed against Thomas Bock’s former employer Mutual Securities, Inc. for investment losses caused by his alleged misconduct. Allegations Against Thomas Bock A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Clients alleged that the investments in their accounts, did not correspond to their investment objectives, or highly speculative, and unsuitable. Client alleged that he suffered a multimillion dollar loss due to financial mismanagement, gross negligence, fraud, breach of fiduciary duty, and churning. Client alleged that her representative invested her portfolio in an un-diversified manner and high-risk securities that were unsuitable for her. Claimant’s allegations include breach of contract, breach of fiduciary duty, negligence, misrepresentation or omission, violations of various FINRA rules. Thomas Bock Red Flags & Your Rights As An Investor Of course, Thomas Bock 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 Thomas Bock at Mutual Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Thomas Bock has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Mutual 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 Mutual Securities, Inc.   If you have questions about Mutual Securities, Inc. and/or Thomas Bock 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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