Mar 8, 2022

John Arndt of Raymond James Financial Services

DID JOHN DANIEL ARNDT CAUSE YOU INVESTMENT LOSSES? John Arndt Of Raymond James Financial Services And Raymond James Financial Services Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is John Arndt of Raymond James Financial Services? John Arndt (CRD #5390741) who is currently registered with Raymond James Financial Services, Raymond James Financial Services Advisors and located in Overland Park, Kansas is a subject of one of our many securities industry sales practice abuse investigations. John Arndt Customer Complaint John Arndt 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 breach of fiduciary duty, negligence, breach of contract, fraud, misrepresentation, failure to supervise, failure to execute, negligent hiring, and violations of the conduct rules of FINRA. John Arndt’s customer complaint was settled in favor of the investors. John Arndt Red Flags & Your Rights As An Investor Of course, John Arndt 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 Arndt at Raymond James Financial Services and Raymond James Financial Services Advisors on alert to review carefully the activity and performance of their accounts and question whether John Arndt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services and Raymond James Financial Services Advisors 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 Raymond James Financial Services Due To John Arndt If you have questions about Raymond James Financial Services, Raymond James Financial Services Advisors, and/or John Arndt 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.

Continue Reading

Mar 8, 2022

Thomas Arnold of NYLIFE Securities

DID THOMAS GAGE ARNOLD CAUSE YOU INVESTMENT LOSSES? Thomas Arnold Of NYLIFE Securities And Eagle Strategies Has A Customer Complaint For Alleged Broker Misconduct Who is Thomas Arnold of NYLIFE Securities? Thomas Arnold (CRD #6247762) who is currently registered with NYLIFE Securities, Eagle Strategies and located in Vienna, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Thomas Arnold Customer Complaint Thomas Arnold 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 funds were lost as a result of trade requests not being processed in a timely manner. Thomas Arnold’s customer complaint was settled in favor of the investors. Thomas Arnold Red Flags & Your Rights As An Investor Of course, Thomas Arnold 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 Arnold at NYLIFE Securities and Eagle Strategies on alert to review carefully the activity and performance of their accounts and question whether Thomas Arnold 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 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 NYLIFE Securities Due To Thomas Arnold If you have questions about NYLIFE Securities, Eagle Strategies, and/or Thomas Arnold 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.

Continue Reading

Mar 8, 2022

Jose Ascencio of Raymond James Financial Services

DID JOSE MARQUEZ ASCENCIO CAUSE YOU INVESTMENT LOSSES? Jose Ascencio Of Raymond James Financial Services And Raymond James Financial Services Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Jose Ascencio of Raymond James Financial Services? Jose Ascencio (CRD #4490072) who is currently registered with Raymond James Financial Services, Raymond James Financial Services Advisors and located in Orland, California is a subject of one of our many securities industry sales practice abuse investigations. Jose Ascencio Customer Complaint Jose Ascencio 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 José Ascencio recommended and unsuitable investment strategy. Jose Ascencio’s customer complaint was denied and, to date, the customer has not taken any further action. Jose Ascencio Red Flags & Your Rights As An Investor Of course, Jose Ascencio did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Jose Ascencio at Raymond James Financial Services and Raymond James Financial Services Advisors on alert to review carefully the activity and performance of their accounts and question whether Jose Ascencio has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services and Raymond James Financial Services Advisors 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 Raymond James Financial Services Due To Jose Ascencio If you have questions about Raymond James Financial Services, Raymond James Financial Services Advisors, and/or Jose Ascencio 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.

Continue Reading

Mar 8, 2022

Lawrence Avery of LPL Financial

DID LAWRENCE HENRY AVERY CAUSE YOU INVESTMENT LOSSES? Lawrence Avery Of LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Lawrence Avery of LPL Financial? Lawrence Avery (CRD #4388940) who is currently registered with LPL Financial and located in Traverse City, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Lawrence Avery Customer Complaint Lawrence Avery 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 misrepresentation of a business development company investment. Lawrence Avery’s customer complaint was denied and, to date, the customer has not taken any further action. Lawrence Avery Red Flags & Your Rights As An Investor Of course, Lawrence Avery 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 Lawrence Avery at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Lawrence Avery 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 Lawrence Avery If you have questions about LPL Financial and/or Lawrence Avery 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.

Continue Reading

Mar 8, 2022

Mario Ayala of Edward Jones

DID MARIO GUILLERMO AYALA CAUSE YOU INVESTMENT LOSSES? Mario Ayala Of Edward Jones And Formerly With BB&T Securities And BB&T Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is Mario Ayala of Edward Jones? Mario Ayala (CRD #5598025) who is currently registered with Edward Jones and located in Mesquite, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Edward Jones, Mario Ayala was associated with BB&T Securities, BB&T Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mario Ayala Customer Complaint Mario Ayala 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 Mario Ayala misrepresented the return on a market-linked CD that customer purchased and claims breach of contract, violations of the deceptive practices act and fraud. Mario Ayala’s customer complaint was settled in favor of the investors. Mario Ayala Red Flags & Your Rights As An Investor Of course, Mario Ayala 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 Mario Ayala at Edward Jones, BB&T Securities, and BB&T Investment Services and on alert to review carefully the activity and performance of their accounts and question whether Mario Ayala has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Edward Jones, BB&T Securities, and BB&T Investment 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 Edward Jones Due To Mario Ayala If you have questions about Edward Jones, BB&T Securities, BB&T Investment Services, and/or Mario Ayala 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.

Continue Reading

Mar 8, 2022

Justin Bailey of Nationwide Investment Services

DID JUSTIN TIMOTHY BAILEY CAUSE YOU INVESTMENT LOSSES? Justin Bailey Of Nationwide Investment Services, Nationwide Investment Advisors And Formerly With CUSO Financial Services And Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Justin Bailey of Nationwide Investment Services? Justin Bailey (CRD #5320803) who is currently registered with Nationwide Investment Services, Nationwide Investment Advisors and located in Columbus, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Nationwide Investment Services and Nationwide Investment Advisors, Justin Bailey was associated with CUSO Financial Services, Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Justin Bailey Customer Complaint Justin Bailey 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 Justin Bailey assured her there would be no tax implication to change her portfolio. Justin Bailey’s customer complaint was settled in favor of the investors. Justin Bailey Red Flags & Your Rights As An Investor Of course, Justin Bailey 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 Justin Bailey at Nationwide Investment Services, Nationwide Investment Advisors, CUSO Financial Services, and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Justin Bailey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Nationwide Investment Services, Nationwide Investment Advisors, CUSO Financial Services, and 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 Nationwide Investment Services Due To Justin Bailey If you have questions about Nationwide Investment Services, Nationwide Investment Advisors, CUSO Financial Services, Wells Fargo Clearing Services, and/or Justin Bailey 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.

Continue Reading

Mar 8, 2022

Ronald Bailey Formerly With Mutual Of America Life Insurance

DID RONALD COY BAILEY JR CAUSE YOU INVESTMENT LOSSES? Ronald Bailey Formerly With Mutual Of America Life Insurance, Mutual Of America Securities And NYLIFE Securities Has 4 Customer Complaints For Alleged Broker Misconduct Who is Ronald Bailey formerly with Mutual Of America Life Insurance? Ronald Bailey (CRD #6270312) who was formerly registered with Mutual Of America Life Insurance, Mutual Of America Securities and located in Anchorage, Alaska is a subject of one of our many securities industry sales practice abuse investigations. Prior to Mutual Of America Life Insurance and Mutual Of America Securities, Ronald Bailey was associated with NYLIFE Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ronald Bailey Customer Complaints Ronald Bailey has been the subject of 4 customer complaints that we know about, three of those complaints were filed in the last year to recover investment losses. Three of Ronald Bailey’s 4 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against NYLIFE Securities for investment losses caused by Ronald Bailey’s alleged misconduct. Allegations Against Ronald Bailey A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The customer alleged that after he declined to purchase New York Life investments, Ronald Bailey promised a 10% dividend on an investment in a seafood company. The client further alleged that the company became insolvent and he lost his initial investment. The customer alleged that several products recommended by Ronald Bailey had been misrepresented. These products include two variable universal life insurance products issued and four variable annuities issued. Ronald Bailey Red Flags & Your Rights As An Investor Of course, Ronald Bailey 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 Ronald Bailey at Mutual Of America Life Insurance, Mutual Of America Securities and NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Ronald Bailey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Mutual Of America Life Insurance, Mutual Of America Securities and NYLIFE Securities 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 Mutual Of America Life Insurance Due To Ronald Bailey If you have questions about Mutual Of America Life Insurance, Mutual Of America Securities, NYLIFE Securities, and/or Ronald Bailey 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.

Continue Reading

Mar 8, 2022

Troy Baily Formerly With SagePoint Financial

DID TROY ROBERT BAILY CAUSE YOU INVESTMENT LOSSES? Troy Baily Formerly With SagePoint Financial Has 2 Customer Complaints For Alleged Broker Misconduct Who is Troy Baily formerly with SagePoint Financial? Troy Baily (CRD #4458930) who was formerly registered with SagePoint Financial and located in Omaha, Nebraska is a subject of one of our many securities industry sales practice abuse investigations. Troy Baily has also been the subject of a FINRA investigation in which he consented to the sanctions and entry of findings that he engaged in undisclosed and unapproved private securities transactions in Future Income Payments, LLC (FIP).  As a result, Troy Baily consented to a six-month suspension and $5, 000 fine for his alleged activity. Troy Baily Customer Complaints Troy Baily has been the subject of 2 customer complaints that we know about. One of Troy Baily’s 2 customer complaints was settled in favor of investors. One of Troy Baily’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Troy Baily A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The customer alleged that after he declined to purchase New York Life investments, Ronald Bailey promised a 10% dividend on an investment in a seafood company. The client further alleged that the company became insolvent and he lost his initial investment. The customer alleged that several products recommended by Ronald Bailey had been misrepresented. These products include two variable universal life insurance products issued and four variable annuities issued. Troy Baily Red Flags & Your Rights As An Investor Of course, Troy Baily 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 Troy Baily at SagePoint Financial on alert to review carefully the activity and performance of their accounts and question whether Troy Baily has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SagePoint 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 SagePoint Financial Due To Troy Baily If you have questions about SagePoint Financial and/or Troy Baily 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.

Continue Reading

Mar 8, 2022

Ricky Bain of CFD Investments

DID RICKY L. BAIN CAUSE YOU INVESTMENT LOSSES? Ricky Bain Of CFD Investments And Creative Financial Designs Has A Customer Complaint For Alleged Broker Misconduct Who is Ricky Bain of CFD Investments? Ricky Bain (CRD #4525494) who is currently registered with CFD Investments, Creative Financial Designs and located in Lees Summit, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Ricky Bain Customer Complaint Ricky Bain 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 a lack of due diligence by the broker in connection with a private placement investment. Ricky Bain’s customer complaint was denied and, to date, the customer has not taken any further action. Ricky Bain Red Flags & Your Rights As An Investor Of course, Ricky Bain 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 Ricky Bain at CFD Investments and Creative Financial Designs on alert to review carefully the activity and performance of their accounts and question whether Ricky Bain has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at CFD Investments and Creative Financial Designs 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 CFD Investments Due To Ricky Bain If you have questions about CFD Investments, Creative Financial Designs, and/or Ricky Bain 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.

Continue Reading

Mar 8, 2022

Tracy Randle of Wells Fargo Clearing Services

DID TRACY RANDLE CAUSE YOU INVESTMENT LOSSES? Tracy Randle Of Wells Fargo Clearing Services, LLC And Formerly With SunTrust Investment Services Has One Customer Complaint For Alleged Broker Misconduct Who is Tracy Randle of Wells Fargo Clearing Services, LLC? Tracy Randle (CRD #2089183) who is currentlyregistered with Wells Fargo Clearing Services, LLC and located in Arlington, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Tracy Randle was associated with SunTrust Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Tracy Randle Customer Complaint Tracy Randle 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 the client complained the financial advisor liquidated certain assets without her authorization. Tracy Randle’s customer complaint was settled in favor of investors. Tracy Randle Red Flags & Your Rights As An Investor Of course, Tracy Randle 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 Tracy Randle at Wells Fargo Clearing Services, LLC and SunTrust Investment Services on alert to review carefully the activity and performance of their accounts and question whether Tracy Randle has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC and SunTrust Investment 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, LLC Due To Tracy Randle If you have questions about Wells Fargo Clearing Services, LLC, SunTrust Investment Services, and/or Tracy Randle 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.

Continue Reading