Mar 8, 2022

John Weber of Wells Fargo Advisors Financial Network

DID JOHN FISHER WEBER CAUSE YOU INVESTMENT LOSSES? John Weber Of Wells Fargo Advisors Financial Network, And Formerly With Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is John Weber of Wells Fargo Advisors Financial Network? John Weber (CRD #2706600) who is currently registered with Wells Fargo Advisors Financial Network and located in Lisle, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Advisors Financial Network, John Weber was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Weber Customer Complaint John Weber 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 John Weber agreed to extend his option position to June at a higher strike price, however, the contracts were subsequently assigned and the underlying stock sold. John Weber’s customer complaint was denied and, to date, the customer has not taken any further action. John Weber Red Flags & Your Rights As An Investor Of course, John Weber 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 Weber at Wells Fargo Advisors Financial Network and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether John Weber 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 Wells Fargo Clearing Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wells Fargo Advisors Financial Network Due To John Weber If you have questions about Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, and/or John Weber 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

Louis Wargo of FSC Securities

DID LOUIS MARTIN WARGO CAUSE YOU INVESTMENT LOSSES? Louis Wargo Of FSC Securities Has 4 Customer Complaints For Alleged Broker Misconduct Who is Louis Wargo of FSC Securities? Louis Wargo (CRD #1416101) who is currently registered with FSC Securities and located in Brecksville, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Louis Wargo Customer Complaints Louis Wargo has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Louis Wargo’s customers’ complaints were denied and, to date, the customers have not taken any further action. There are currently two pending customer complaints filed against FSC Securities for investment losses caused by Louis Wargo’s alleged misconduct. Allegations Against Louis Wargo 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 he should not have been put into a variable annuity with a 72+ distribution by Louis Wargo. He further alleged he was not given complete information to make decision. Client alleged Louis Wargo’s business development company purchase was unsuitable. Claimant alleged his account was over concentrated in alternative investments by Louis Wargo. Louis Wargo Red Flags & Your Rights As An Investor Of course, Louis Wargo 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 Louis Wargo at FSC Securities on alert to review carefully the activity and performance of their accounts and question whether Louis Wargo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at FSC 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 FSC Securities Due To Louis Wargo If you have questions about FSC Securities and/or Louis Wargo 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

Eric Wegner of Cambridge Investment Research

DID ERIC EDWARD WEGNER CAUSE YOU INVESTMENT LOSSES? Eric Wegner Of Cambridge Investment Research, Cambridge Investment Research Advisors And Formerly With Capstone Advisory Group Has 7 Customer Complaints For Alleged Broker Misconduct Who is Eric Wegner of Cambridge Investment Research? Eric Wegner (CRD #2044977) who is currently registered with Cambridge Investment Research, Cambridge Investment Research Advisors and located in Delafield, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cambridge Investment Research and Cambridge Investment Research Advisors, Eric Wegner was associated with Capstone Advisory Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Eric Wegner Customer Complaints Eric Wegner has been the subject of 7 customer complaints that we know about. Five of Eric Wegner’s 7 customer complaints were settled in favor of investors. One of Eric Wegner’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Parkland Securities for investment losses caused by Eric Wegner’s alleged misconduct. Allegations Against Eric Wegner A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Arbitration statement of claim alleged misrepresentation, omission of material facts, and negligence in connection with the TIC Investments purchased by Eric Wegner. Arbitration statement of claim alleged Eric Wegner’s misrepresentation; omission of material facts; breach of fiduciary duty; negligence in connection with the real estate investment purchased. Arbitration statement of claim alleged Eric Wegner’s misrepresentation; omission of material facts; breach of fiduciary duty; negligence in connection with TIC investments purchased. Arbitration statement of claim alleged misrepresentation, omission of material facts and negligence in connection with the TIC Investment purchased allegedly by Eric Wegner. Client alleged that Eric Wegner did not disclose fees and expenses associated with two variable annuities. Eric Wegner’s alleged sale of products by firm which claimants alleged were inappropriate or unsuitable. Eric Wegner Red Flags & Your Rights As An Investor Of course, Eric Wegner 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 Eric Wegner at Cambridge Investment Research, Cambridge Investment Research Advisors and Capstone Advisory Group on alert to review carefully the activity and performance of their accounts and question whether Eric Wegner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research, Cambridge Investment Research Advisors and Capstone Advisory Group 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 Cambridge Investment Research Due To Eric Wegner If you have questions about Cambridge Investment Research, Cambridge Investment Research Advisors, Capstone Advisory Group, and/or Eric Wegner 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

David Wehrman of UBS Financial Services

DID DAVID MICHAEL WEHRMAN CAUSE YOU INVESTMENT LOSSES? David Wehrman Of UBS Financial Services Has 4 Customer Complaints For Alleged Broker Misconduct Who is David Wehrman of UBS Financial Services? David Wehrman (CRD #2941329) who is currently registered with UBS Financial Services and located in Bellevue, Washington is a subject of one of our many securities industry sales practice abuse investigations. David Wehrman Customer Complaints David Wehrman has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of David Wehrman’s 4 customer complaints were settled in favor of investors. One of David Wehrman’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against David Wehrman 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 David Wehrman’s breach of fiduciary duty, misrepresentation, negligence, unauthorized and unsuitable investment in structured product. The complaint arose out of the sale of an auction rate security (ARS) that was made prior to the widespread illiquidity in the ARS market allegedly by David Wehrman. The client alleged his instructions to liquidate his securities were not followed by David Wehrman. The client alleged that David Wehrman purchased a Lehman Structured Product without her prior approval or knowledge. The client further alleged that approximately 80% of the total account value was invested in this structured product which carried significant risk to her. David Wehrman Red Flags & Your Rights As An Investor Of course, David Wehrman 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 Wehrman at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether David Wehrman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 UBS Financial Services Due To David Wehrman If you have questions about UBS Financial Services and/or David Wehrman 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

Michael Weinand of LPL Financial

DID MICHAEL GEORGE WEINAND CAUSE YOU INVESTMENT LOSSES? Michael Weinand Of LPL Financial And Formerly With KMS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Michael Weinand of LPL Financial? Michael Weinand (CRD #2317898) who is currently registered with LPL Financial and located in Lacey, Washington is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Michael Weinand was associated with KMS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Weinand Customer Complaints Michael Weinand has been the subject of 2 customer complaints that we know about. Both of Michael Weinand’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Michael Weinand A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client email stated that they are unhappy with American Funds performance. They believed Michael Weinand allegedly was negligent and failed to move their money into bonds. Client purchased a variable life policy (face $268,000) allegedly through Michael Weinand to address the possibly precarious financial situation his wife could be in if he predeceased her by many years. Client complained to Washington insurance commissioner claiming the policy was unsuitable. Michael Weinand Red Flags & Your Rights As An Investor Of course, Michael Weinand did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Michael Weinand at LPL Financial and KMS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Michael Weinand has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and KMS 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 LPL Financial Due To Michael Weinand If you have questions about LPL Financial, KMS Financial Services, and/or Michael Weinand 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

George Warner Formerly With Chelsea Financial Services

DID GEORGE MARSHALL WARNER CAUSE YOU INVESTMENT LOSSES? George Warner Formerly With Chelsea Financial Services And Dominion Investor Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is George Warner formerly with Chelsea Financial Services? George Warner (CRD #2300570) who was formerly registered with Chelsea Financial Services and located in Staten Island, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Chelsea Financial Services, George Warner was associated with Dominion Investor Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. George Warner also had his share of regulatory problems.  In March 2021, he was investigated by FINRA into his potential participation in undisclosed private securities transactions.  Apparently, George Warner, refused to produce information or documents requested by FINRA and consented to the sanction of a permanent bar from any further association with any member firm in any capacity. George Warner Customer Complaints George Warner has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of George Warner’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Chelsea Advisory Services and Chelsea Financial Services for investment losses caused by George Warner’s alleged misconduct. Allegations Against George Warner A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged that George Warner made an error in connection with the purchase of CIT bonds versus Citi Corp. bonds. Selling away (unauthorized transactions, without approval of brokerage firm) by George Warner. George Warner Red Flags & Your Rights As An Investor Of course, George Warner did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of George Warner at Chelsea Financial Services and Dominion Investor Services on alert to review carefully the activity and performance of their accounts and question whether George Warner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Chelsea Financial Services and Dominion Investor Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Chelsea Financial Services Due To George Warner If you have questions about Chelsea Financial Services, Dominion Investor Services, and/or George Warner and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 8, 2022

Jeffrey Weiner Formerly With Pruco Securities

DID JEFFREY PAUL WEINER CAUSE YOU INVESTMENT LOSSES? Jeffrey Weiner Formerly With Pruco Securities, MML Investors Services And MSI Financial Services Has 10 Customer Complaints For Alleged Broker Misconduct Who is Jeffrey Weiner formerly with Pruco Securities? Jeffrey Weiner (CRD #2476604) who was formerly registered with Pruco Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Pruco Securities, Jeffrey Weiner was associated with MML Investors Services, MSI Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jeffrey Weiner Customer Complaints Jeffrey Weiner has been the subject of 10 customer complaints that we know about, four of those complaints were filed in the last year to recover investment losses. One of Jeffrey Weiner’s 10 customer complaints was settled in favor of investors. Nine of Jeffrey Weiner’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Jeffrey Weiner A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged the sale of her variable annuity was misrepresented by Jeffrey Weiner as she was not informed of the surrender charges. Customer alleged Jeffrey Weiner did not fully disclose the premium payment requirements when a variable life insurance policy was purchased. Customer alleged Jeffrey Weiner misrepresented the features of a variable annuity purchased. Customer alleged damages for a waiver of the surrender penalty. Customer alleged Jeffrey Weiner misrepresented the variable life insurance policy she purchased. Customer alleged then when a variable life insurance policy was purchased from Jeffrey Weiner, Mr. Weiner did not explain premiums may need to be increased in the future. The complainant alleged that Jeffrey Weiner misrepresented the VUL policy issued. The complainant stated Mr. Weiner never told him, that he would be surrendering his Whole Policy by doing a 1035 exchange into the new VUL. The complainant is looking for a return of his cash value and all of the premiums paid. The complainant alleged that Jeffrey Weiner misrepresented the Variable Universal Life policy that was issued, which was funded by a 1035 exchanged of two Universal Life Policies. The complainant stated this resulted in a $5,000 surrender charge that he was never told about. The complainant would like the transaction reversed, and put back into his old policies, with the surrender charge re-credited to the policies. The complainant alleged that Jeffrey Weiner misrepresented his Variable Universal Life policy issued. The complainant would like his policy restored to its original standards. The customer alleged that Jeffrey Weiner misled her with regards to the future premium costs of her VUL policy, in order to earn a commission, when the solicitation occurred. Jeffrey Weiner Red Flags & Your Rights As An Investor Of course, Jeffrey Weiner did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Jeffrey Weiner at Pruco Securities, MML Investors Services, and MSI Financial Services on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Weiner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities, MML Investors Services, and MSI Financial Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Pruco Securities Due To Jeffrey Weiner If you have questions about Pruco Securities, MML Investors Services, MSI Financial Services, and/or Jeffrey Weiner and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 8, 2022

David Weiniger of Lek Securities

DID DAVID JAY WEINIGER CAUSE YOU INVESTMENT LOSSES? David Weiniger Of Lek Securities Has A Customer Complaint For Alleged Broker Misconduct Who is David Weiniger of Lek Securities? David Weiniger (CRD #2368788) who is currently registered with Lek Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. David Weiniger Customer Complaint David Weiniger has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were violations of several FINRA rules including Rules 2010, 5310, and 2150. The customer complaint filed against David Weiniger’s current employer Lek Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. David Weiniger Red Flags & Your Rights As An Investor Of course, David Weiniger did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of David Weiniger at Lek Securities on alert to review carefully the activity and performance of their accounts and question whether David Weiniger has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lek Securities also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Lek Securities Due To David Weiniger If you have questions about Lek Securities and/or David Weiniger and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 8, 2022

Vincent Weir of Wells Fargo Clearing Services

DID VINCENT MALEY WEIR CAUSE YOU INVESTMENT LOSSES? Vincent Weir Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Vincent Weir of Wells Fargo Clearing Services? Vincent Weir (CRD #3118881) who is currently registered with Wells Fargo Clearing Services and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Vincent Weir Customer Complaint Vincent Weir has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were Vincent Weir placed him in unsuitable investments which resulted in losses. Vincent Weir’s customer complaint was denied and, to date, the customer has not taken any further action. Vincent Weir Red Flags & Your Rights As An Investor Of course, Vincent Weir did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Vincent Weir at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Vincent Weir has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services Due To Vincent Weir If you have questions about Wells Fargo Clearing Services and/or Vincent Weir and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 8, 2022

Jake Warrington Formerly With LPL Financial

DID JAKE WILLIAM WARRINGTON CAUSE YOU INVESTMENT LOSSES? Jake Warrington Formerly With LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Jake Warrington formerly with LPL Financial? Jake Warrington (CRD #2843126) who was formerly registered with LPL Financial and located in Parsons, Kansas is a subject of one of our many securities industry sales practice abuse investigations. Jake Warrington Customer Complaint Jake Warrington has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that they did not authorize a small additional purchase of a stock they had already owned. The customer complaint filed against Jake Warrington’s former employer LPL Financial for investment losses caused by the alleged misconduct is pending as of the date of this report. Jake Warrington Red Flags & Your Rights As An Investor Of course, Jake Warrington did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Jake Warrington at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Jake Warrington has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At LPL Financial Due To Jake Warrington If you have questions about LPL Financial and/or Jake Warrington and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading