Mar 8, 2022

Mark Wiskus of NYLIFE Securities

DID MARK ALAN WISKUS CAUSE YOU INVESTMENT LOSSES? Mark Wiskus Of NYLIFE Securities And Eagle Strategies Has 2 Customer Complaints For Alleged Broker Misconduct Who is Mark Wiskus of NYLIFE Securities? Mark Wiskus (CRD #4121608) who is currently registered with NYLIFE Securities, Eagle Strategies and located in Pella, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Mark Wiskus Customer Complaints Mark Wiskus has been the subject of 2 customer complaints that we know about. Both of Mark Wiskus’ customer complaints were settled in favor of investors. Allegations Against Mark Wiskus 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 a trade request was not executed in a timely manner by Mark Wiskus to and resulted in decreased value on their trade proceeds. Customer alleged that when she purchased her variable annuity policy, the prospective tax penalties for withdrawals of the investment principal were not disclosed to her by Mark Wiskus. Mark Wiskus Red Flags & Your Rights As An Investor Of course, Mark Wiskus 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 Wiskus at NYLIFE Securities and Eagle Strategies on alert to review carefully the activity and performance of their accounts and question whether Mark Wiskus has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLIFE Securities and Eagle Strategies 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 NYLIFE Securities Due To Mark Wiskus If you have questions about NYLIFE Securities, Eagle Strategies, and/or Mark Wiskus 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

Gary Wolfe of Northwestern Mutual Investment Services

DID GARY STEVEN WOLFE CAUSE YOU INVESTMENT LOSSES? Gary Wolfe Of Northwestern Mutual Investment Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Gary Wolfe of Northwestern Mutual Investment Services? Gary Wolfe (CRD #1979358) who is currently registered with Northwestern Mutual Investment Services and located in Sugar Land, Texas is a subject of one of our many securities industry sales practice abuse investigations. Gary Wolfe Customer Complaints Gary Wolfe has been the subject of 2 customer complaints that we know about. Both of Gary Wolfe’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Gary Wolfe 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 Gary Wolfe only presented variable life insurance and did not explain the risks or offer alternative insurance plans. The customer alleged that Gary Wolfe misrepresented the variable custom universal life policy. Gary Wolfe Red Flags & Your Rights As An Investor Of course, Gary Wolfe 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 Gary Wolfe at Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Gary Wolfe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment 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 Northwestern Mutual Investment Services Due To Gary Wolfe If you have questions about Northwestern Mutual Investment Services and/or Gary Wolfe 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

Scott Wolfrum Formerly With Huntleigh Securities

DID SCOTT THOMAS WOLFRUM CAUSE YOU INVESTMENT LOSSES? Scott Wolfrum Formerly With Huntleigh Securities And David A. Noyes & Company Has 3 Customer Complaints For Alleged Broker Misconduct Who is Scott Wolfrum formerly with Huntleigh Securities? Scott Wolfrum (CRD #2187550) who was formerly registered with Huntleigh Securities and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to Huntleigh Securities, Scott Wolfrum was associated with David A. Noyes & Company and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Scott Wolfrum has had his own regulatory problems.  In March 2021, United States Securities and Exchange Commission (SEC) filed a cease-and-desist proceeding which resulted in a Cease and Desist Order, fine, penalty, an order of disgorgement for allegedly recommending that is advisory clients invest in Foundry Mezzanine Opportunity Fund without disclosing his conflicts of interest, including the fact that his family members had a financial interest in 2 of the funds holdings and that Scott Wolfrum received over $175,000 in finder’s fees related to the funds activities. Scott Wolfrum Customer Complaints Scott Wolfrum has been the subject of 3 customer complaints that we know about. Two of Scott Wolfrum’s 3 customer complaints were settled in favor of investors. One of Scott Wolfrum’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Scott Wolfrum 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 annuity unsuitable and concentration of annuities in account by Scott Wolfrum. Client alleged that instructions to move to a cash position were not followed by Scott Wolfrum. Complainant alleged that Scott Wolfrum’s purchase of a private placement was made without complainant’s approval. Scott Wolfrum Red Flags & Your Rights As An Investor Of course, Scott Wolfrum 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 Wolfrum at Huntleigh Securities and David A. Noyes & Company on alert to review carefully the activity and performance of their accounts and question whether Scott Wolfrum has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Huntleigh Securities and David A. Noyes & Company 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 Huntleigh Securities Due To Scott Wolfrum If you have questions about Huntleigh Securities, David A. Noyes & Company, and/or Scott Wolfrum 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

Mark Wolpert of MML Investors Services

DID MARK DAVID WOLPERT CAUSE YOU INVESTMENT LOSSES? Mark Wolpert Of MML Investors Services And Formerly With MSI Financial Services Has 4 Customer Complaints For Alleged Broker Misconduct Who is Mark Wolpert of MML Investors Services? Mark Wolpert (CRD #2692529) who is currently registered with MML Investors Servicesand located in Plymouth, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Mark Wolpert was associated with MSI Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Wolpert has had his own regulatory problems.  In July 2019, he consented to a cease-and-desist order, civil monetary penalty, order of restitution, and fine for allegedly making a recommendation to a customer to purchase a life insurance policy without having a reasonable grounds to believe.  The recommendation was suitable for the customer and also making inaccurate statements about the life insurance policy. Mark Wolpert Customer Complaints Mark Wolpert has been the subject of 4 customer complaints that we know about. One of Mark Wolpert’s 4 customer complaints was settled in favor of investors. Three of Mark Wolpert’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Mark Wolpert 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 when Mark Wolpert recommended a transfer of funds from a variable annuity into a managed account, he did not provide information regarding the loss of supplemental riders within the annuity. Customer alleged the caliber and frequency of trades, facilitated by Mark Wolpert, within his advisory account is not appropriate. Customer alleged the investments made by Mark Wolpert within his advisory account were not suitable. The customer indicated that Mark Wolpert allegedly lied and pressured her into exchanging her existing life insurance policy into a new one. Mark Wolpert Red Flags & Your Rights As An Investor Of course, Mark Wolpert 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 Wolpert at MML Investors Services and MSI Financial Services on alert to review carefully the activity and performance of their accounts and question whether Mark Wolpert has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 MML Investors Services Due To Mark Wolpert If you have questions about MML Investors Services, MSI Financial Services, and/or Mark Wolpert 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 Wiseman Formerly With Morgan Stanley

DID JEFFREY DAVID WISEMAN CAUSE YOU INVESTMENT LOSSES? Jeffrey Wiseman Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Jeffrey Wiseman formerly with Morgan Stanley? Jeffrey Wiseman (CRD #2012653) who was formerly registered with Morgan Stanley and located in Oxnard, California is a subject of one of our many securities industry sales practice abuse investigations. Jeffrey Wiseman Customer Complaint Jeffrey Wiseman 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 Jeffrey Wiseman solicited outside investment opportunities not authorized by firm. The customer complaint filed against Jeffrey Wiseman’s former employer Morgan Stanley for investment losses caused by the alleged misconduct is pending as of the date of this report. Jeffrey Wiseman Red Flags & Your Rights As An Investor Of course, Jeffrey Wiseman 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 Wiseman at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Wiseman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley 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 Morgan Stanley Due To Jeffrey Wiseman If you have questions about Morgan Stanley and/or Jeffrey Wiseman 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

Wesley Wong of Wells Fargo Advisors Financial Network

DID WESLEY WONG CAUSE YOU INVESTMENT LOSSES? Wesley Wong Of Wells Fargo Advisors Financial Network And Formerly With UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Wesley Wong of Wells Fargo Advisors Financial Network? Wesley Wong (CRD #2202301) who is currently registered with Wells Fargo Advisors Financial Network and located in Westlake Village, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Advisors Financial Network, Wesley Wong was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wesley Wong Customer Complaints Wesley Wong has been the subject of 2 customer complaints that we know about. One arbitration award was entered against UBS Financial Services for Wesley Wong’s alleged misconduct causing investors losses. One of Wesley Wong’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Wesley Wong 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 Wesley Wong did not liquidate his account as instructed. The client alleged that Wesley Wong failed to follow instructions to liquidate her account, negligence and breach of fiduciary duty. Wesley Wong Red Flags & Your Rights As An Investor Of course, Wesley Wong 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 Wesley Wong at Wells Fargo Advisors Financial Network and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Wesley Wong has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Advisors Financial Network and UBS 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 Wells Fargo Advisors Financial Network Due To Wesley Wong If you have questions about Wells Fargo Advisors Financial Network, UBS Financial Services, and/or Wesley Wong 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

Bruce Worthington Formerly With Founders Financial Securities

DID BRUCE COLIN WORTHINGTON CAUSE YOU INVESTMENT LOSSES? Bruce Worthington Formerly With Founders Financial Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Bruce Worthington formerly with Founders Financial Securities? Bruce Worthington (CRD #2193895) who was formerly registered with Founders Financial Securities and located in Middleton, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Bruce Worthington has also been the subject of 2 investigations by the regulators of the securities industry.  In 2019, the Massachusetts securities division investigated him in connection with allegations that he misappropriated funds from at least one investor and he consented to a permanent bar, cease-and-desist order, censure, disgorgement and restitution.  He was also the subject of a FINRA investigation but failed to respond to the FINRA request for information and, consequently, was permanently barred in any capacity from any further association with any member firm in the securities industry. Bruce Worthington Customer Complaint Bruce Worthington 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 Bruce Worthington made certain withdrawals from client accounts to invest in “structured note.” Client believed advisor may have misappropriated the funds. Bruce Worthington’s customer complaint was settled in favor of the investors. Bruce Worthington Red Flags & Your Rights As An Investor Of course, Bruce Worthington 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 Bruce Worthington at Founders Financial Securities on alert to review carefully the activity and performance of their accounts and question whether Bruce Worthington has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Founders Financial 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 Founders Financial Securities Due To Bruce Worthington If you have questions about Founders Financial Securities and/or Bruce Worthington 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

Steven Wright of Principal Securities

DID STEVEN JAY WRIGHT CAUSE YOU INVESTMENT LOSSES? Steven Wright Of Principal Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Steven Wright of Principal Securities? Steven Wright (CRD #2093028) who is currently registered with Principal Securities and located in Roseville, California is a subject of one of our many securities industry sales practice abuse investigations. Steven Wright Customer Complaint Steven Wright 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 Steven Wright failed as a supervisor, and breached the fiduciary duty owed to her. Steven Wright’s customer complaint was settled in favor of the investors. Steven Wright Red Flags & Your Rights As An Investor Of course, Steven Wright 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 Steven Wright at Principal Securities on alert to review carefully the activity and performance of their accounts and question whether Steven Wright has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Principal 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 Principal Securities Due To Steven Wright If you have questions about Principal Securities and/or Steven Wright 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

Brian Wurdemann of RBC Capital Markets

DID BRIAN M. WURDEMANN CAUSE YOU INVESTMENT LOSSES? Brian Wurdemann Of RBC Capital Markets And Formerly With UBS Financial Services Has 7 Customer Complaints For Alleged Broker Misconduct Who is Brian Wurdemann of RBC Capital Markets? Brian Wurdemann (CRD #4206425) who is currently registered with RBC Capital Markets and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, Brian Wurdemann was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brian Wurdemann Customer Complaints Brian Wurdemann has been the subject of 7 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One arbitration award was entered against UBS Financial Services for Brian Wurdemann’s alleged misconduct causing investors losses. Three of Brian Wurdemann’s 6 customer complaints were settled in favor of investors. One of Brian Wurdemann’s customers’ complaints was denied and, to date, the customer has not taken any further action. There are currently two pending customer complaints filed against UBS Financial Services and Merrill Lynch for investment losses caused by Brian Wurdemann’s alleged misconduct. Allegations Against Brian Wurdemann A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged that Brian Wurdemann mispresented the nature of three mutual fund investments. Claimants alleged, inter alia, Brian Wurdemann’s misrepresentation with respect to investments Client alleged that Brian Wurdemann failed to properly advise him of risks and failed to minimize losses. The customer alleged unsuitable investment recommendations and misrepresentation by Brian Wurdemann. Client alleged that Brian Wurdemann was instructed to close out the rate lock swap for the client. Client alleged this did not happen and cost $36,000 in additional costs. Client’s son who had authority alleged short positions recommended by Brian Wurdemann were not suitable for his 77 year old father.  Brian Wurdemann Red Flags & Your Rights As An Investor Of course, Brian Wurdemann 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 Brian Wurdemann at RBC Capital Markets and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Brian Wurdemann has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets and UBS 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 RBC Capital Markets Due To Brian Wurdemann If you have questions about RBC Capital Markets, UBS Financial Services, and/or Brian Wurdemann 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

Steven Wurzer of Morgan Stanley

DID STEVEN PAUL WURZER CAUSE YOU INVESTMENT LOSSES? Steven Wurzer Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Steven Wurzer of Morgan Stanley? Steven Wurzer (CRD #2429427) who is currently registered with Morgan Stanley and located in Fargo, North Dakota is a subject of one of our many securities industry sales practice abuse investigations. Steven Wurzer Customer Complaint Steven Wurzer 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 Claimant alleged unsuitability with respect to energy stock investments. The customer complaint filed against Steven Wurzer’s current employer Morgan Stanley for investment losses caused by the alleged misconduct is pending as of the date of this report. Steven Wurzer Red Flags & Your Rights As An Investor Of course, Steven Wurzer 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 Steven Wurzer at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Steven Wurzer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley 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 Morgan Stanley Due To Steven Wurzer If you have questions about Morgan Stanley and/or Steven Wurzer 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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