Jan 20, 2022

James Kirchner of Cabot Lodge Securities, LLC

DID JAMES R. KIRCHNER CAUSE YOU INVESTMENT LOSSES? James R. Kirchner Formerly with Cabot Lodge Securities, LLC And David A. Noyes & Co. Has 8 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is James R. Kirchner formerly with Cabot Lodge Securities LLC and David A. Noyes & Co.? James Kirchner (CRD #2852217) was formerly registered with Cabot Lodge Securities, LLC and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Cabot Lodge Securities, LLC, James Kirchner was associated with IFS Securities and David A. Noyes & Company and 2other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. David A. Noyes & Company Broker Misconduct In his career, James Kirchner has been the subject of 10 customer complaints that we know about, 8 of those complaints were filed in the last two years against Jane Kirchner’s former employer, David A. Noyes to recover investment losses. One of the customer complaints proceeds to arbitration resulted in an Award in favor of the customer.  Five of James Kirchner’s 10 customer complaints were settled in favor of investors. There are currently three pending customer complaints filed against James Kirchner’s former employer David A. Noyes for investment losses caused by his alleged misconduct. Allegations Against James Kirchner   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged that alternative investments recommended by James Kirchner were unsuitable investment recommendations. Customers alleged that James Kirchner’s recommendation that they invest in private placements were unsuitable investment recommendations. The claimant alleged that James Kirchner did not explain the nature, mechanics, or risks of a margin account and, consequently, the unexpected losses he suffered upon forced liquidations due to margin calls. Claimants in 3 separate arbitrations alleged that alternative investment recommendations made by James Kirchner or unsuitable investment recommendations. James Kirchner Red Flags & Your Rights as An Investor Of course, James Kirchner 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 Kirchnerat Cabot Lodge Securities, LLC, IFS Securities, and David A. Noyes & Company on alert to review carefully the activity and performance of their accounts and question whether James Kirchnerhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at David A. Noyes & Company about James Kirchner 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 Cabot Lodge Securities LLC, IFS Securities, And David A.  Noyes & Co. If you have questions about Cabot Lodge Securities, LLC, IFS Securities, David A. Noyes & Company and/or James Kirchnerand 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

Ernest Robinson of Dawson James Securities, Inc

DID ERNEST CHARLES ROBINSON JR CAUSE YOU INVESTMENT LOSSES? Ernest Charles Robinson Jr With Dawson James Securities, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Ernest C. Robinson Jr with Dawson James Securities, Inc.? Ernest Robinson (CRD #2730058) who is currently registered with Dawson James Securities, Inc. and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Dawson James Securities, Inc., Ernest Robinson was associated with 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ernest Robinson also had his regulatory problem with the State of Florida Department of Banking and Finance for allegedly selling unregistered securities.  He was ordered to cease-and-desist and fined for that alleged misconduct. Dawson James Securities, Inc. Broker Misconduct In his career, Ernest Robinson has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last two years to recover investment losses. One of Ernest Robinson’s 3 customer complaints was settled in favor of investors. There are currently 2 pending customer complaints filed against Ernest Robinson’s current employer Dawson James Securities, Inc. for investment losses caused by his alleged misconduct. Allegations Against Ernest Robinson A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleged that Ernest Robinson falsified records, made misrepresentations, recommended unsuitable transactions, engaged in unauthorized trading, and churned his account. The claimant alleged breach of fiduciary duty and negligence in the management of his account. The claimant alleged material promissory misstatements and unsuitable investment recommendations. Ernest Robinson Red Flags & Your Rights as An Investor Of course, Ernest Robinson 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 Ernest Robinson at Dawson James Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Ernest Robinson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Dawson James Securities, Inc. about Ernest Robinsonalso 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 Dawson James Securities, Inc. If you have questions about Dawson James Securities, Inc. and/or Ernest Robinson 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

Edward Winokur of Oppenheimer & Co. Inc

DID EDWARD LEE WINOKUR CAUSE YOU INVESTMENT LOSSES? Edward Lee Winokur Of Oppenheimer & Co. Inc. And Formerly with Ameriprise Financial Services, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct In the Past Year Who is Edward L. Winokur with Oppenheimer & Co. Inc.? Edward Winokur (CRD #2979697) who is currently registered with Oppenheimer & Co. Inc. and located in Tampa, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Oppenheimer & Co. Inc., Edward Winokur was associated with Ameriprise Financial Services, Inc. and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ameriprise Financial Services, Inc. Broker Misconduct In his career, Edward Winokur has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. One of Edward Winokur’scustomer complaints was recently denied and to date, the customer has not taken any further action There is currently one pending customer complaint filed against Edward Winokur’s current employer Oppenheimer & Co. Inc. for investment losses caused by his alleged misconduct. Allegations Against Edward Winokur   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 that his account was churned by Edward Winokur’s trading activity in mutual funds, municipal bonds, and unit investment trusts. The claimant alleged that his financial advisor made excessive purchases of poorly performing stocks, bonds, and mutual funds. Edward Winokur Red Flags & Your Rights as An Investor Of course, Edward Winokur 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 Edward Winokurat Oppenheimer & Co. Inc. and Ameriprise Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Edward Winokur has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, Inc. also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses At Oppenheimer & Co. Inc.  And Ameriprise Financial Services, Inc. If you have questions about Oppenheimer & Co. Inc., Ameriprise Financial Services, Inc.and/or Edward Winokurand 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

Adam Epstein of UBS Financial Services INC

DID ADAM F. EPSTEIN CAUSE YOU INVESTMENT LOSSES? Adam F. Epstein with UBS Financial Services Inc. Has 2 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Adam F. Epstein with UBS Financial Services Inc.? Adam Epstein (CRD #4043653) who is currently registered with UBS Financial Services Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.   Prior to UBS Financial Services Inc., Adam Epstein was associated with Credit Suisse Securities (USA) LLC and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. UBS Financial Services Inc. Broker Misconduct In his career, Adam Epstein has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. Two of Adam Epstein’s 4 customer complaints were denied by his former employer, and to date, the customers have not taken any further action.  There are currently 2 pending customer complaints filed against Adam Epstein’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct. Allegations Against Adam Epstein A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The former customer alleges that the financial advisor did not follow his instructions to liquidate positions in his accounts. The customer alleged that her instructions to liquidate her retirement accounts were not executed by Adam Epstein on a timely basis. Two customers and separate arbitration’s alleged that Adam Epstein misrepresented and recommended an unsuitable investment strategy known as the UBS Yield Enhancement Strategy, a.k.a. UBS-YES option overlay strategy in  UBS wrap fee accounts Adam Epstein Red Flags & Your Rights as An Investor Of course, Adam Epstein 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 Adam Epsteinat UBS Financial Services Inc. and Credit Suisse Securities (USA) LLC alert to review carefully the activity and performance of their accounts and question whether Adam Epstein has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. and Credit Suisse Securities (USA) 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 UBS Financial Services Inc. If you have questions about UBS Financial Services Inc., Credit Suisse Securities (USA) LLC, and/or Adam Epstein 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

Willard Pugh of National Securities Corporation

DID WILLARD LOUIS PUGH CAUSE YOU INVESTMENT LOSSES? Willard Louis Pugh with National Securities Corporation Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Willard L. Pugh with National Securities Corporation? Willard Pugh (CRD #1757428) who is currently registered with National Securities Corporation and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations.   Prior to National Securities Corporation, Willard Pugh was associated with Dawson James Securities, Inc. and 10 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Dawson James Securities, Inc. Broker Misconduct In his career, Willard Pugh has been the subject of 2 customer complaints that we know about, both of those complaints were filed against his former employer, Dawson James Securities, Inc. in the last year to recover investment losses. Both customer complaints filed against Willard Pugh’s current employer National Securities Corporation for investment losses caused by his alleged misconduct are pending. Allegations Against Willard Pugh A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Customers alleged that William Pugh been an unsuitable investment recommendation related to a UDF REIT and over-concentrated their accounts in real estate securities. Customers alleged that William Pugh been an unsuitable investment recommendation related to a UDF REIT and over-concentrated their accounts in real estate securities.  Further, customer complains that the financial advisor failed to do adequate due diligence with regard to the products offered and sold to them. Willard Pugh Red Flags & Your Rights as An Investor Of course, Willard Pugh 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 Willard Pughat National Securities Corporation and Dawson James Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Willard Pughhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about William Pugh at Dawson James Securities, 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 National Securities Corporation And Dawson James Securities, Inc. If you have questions about National Securities Corporation, Dawson James Securities, Inc., and/or Willard Pugh 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

Richard Rokala of The Oak Ridge Financial Services Group, Inc

DID RICHARD WILLIAM ROKALA JR CAUSE YOU INVESTMENT LOSSES? Richard William Rokala Jr with The Oak Ridge Financial Services Group, Inc. Has 3 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Richard W. Rokala Jr with The Oak Ridge Financial Services Group, Inc.? Richard Rokala (CRD #2646330) who is currently registered with The Oak Ridge Financial Services Group, Inc. and located in Golden Valley, Minnesota is a subject of one of our many securities industry sales practice abuse investigations.   Prior to The Oak Ridge Financial Services Group, Inc., Richard Rokala was associated with Dougherty & Company, LLC and 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. The Oak Ridge Financial Services Group, Inc. And Dougherty & Co., LLC Broker Misconduct In his career, Richard Rokala has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last 2 years to recover investment losses. All of Richard Rokala’s 3 customer complaints were settled in favor of investors. Allegations Against Richard Rokala 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 relating to over-the-counter stocks. The claimant alleges churning, unauthorized trading, unsuitable investment recommendations, and negligence relating to investments in corporate and municipal bonds, common stocks, and exchange-traded funds. The claimant alleges churning, unauthorized trading, unsuitable investment recommendations, and negligence in connection with the bond and stock transactions. Richard Rokala Red Flags & Your Rights as An Investor Of course, Richard Rokala 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 Richard Rokalaat The Oak Ridge Financial Services Group, Inc. and Dougherty & Company, LLC on alert to review carefully the activity and performance of their accounts and question whether Richard Rokalahas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The Oak Ridge Financial Services Group, Inc. and Dougherty & Company, 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 The Oak Ridge Financial Services Group, Inc.  And Dougherty & Company, LLC If you have questions about The Oak Ridge Financial Services Group, Inc., Dougherty & Company, LLC and/or Richard Rokalaand 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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