Mar 8, 2022

Thomas Shumosic of Kestra Advisory Services

DID THOMAS FRANCIS SHUMOSIC CAUSE YOU INVESTMENT LOSSES? Thomas Shumosic Of Kestra Investment Services, Kestra Advisory Services And Formerly With Cadaret Grant & Co. Has A Customer Complaint For Alleged Broker Misconduct Who is Thomas Shumosic of Kestra Advisory Services? Thomas Shumosic (CRD #1913737) who is currently registered with Kestra Investment Services, Kestra Advisory Services and located in Wilmington, Delaware is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kestra Investment Services and Kestra Advisory Services, Thomas Shumosic was associated with Cadaret Grant & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Thomas Shumosic Customer Complaint Thomas Shumosic 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 unsuitability and misrepresentation. Thomas Shumosic’s customer complaint was denied and, to date, the customer has not taken any further action. Thomas Shumosic Red Flags & Your Rights As An Investor Of course, Thomas Shumosic 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 Shumosic at Kestra Investment Services, Kestra Advisory Services, and Cadaret Grant & Co. on alert to review carefully the activity and performance of their accounts and question whether Thomas Shumosic has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kestra Investment Services, Kestra Advisory Services, and Cadaret Grant & Co. 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 Kestra Investment Services Due To Thomas Shumosic If you have questions about Kestra Investment Services, Kestra Advisory Services, Cadaret Grant & Co., and/or Thomas Shumosic 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

James Shrader of Robert W. Baird & Co.

DID JAMES MICHAEL SHRADER CAUSE YOU INVESTMENT LOSSES? James Shrader Of Robert W. Baird & Co. Has 4 Customer Complaints For Alleged Broker Misconduct Who is James Shrader of Robert W. Baird & Co.? James Shrader (CRD #1562368) who is currently registered with Robert W. Baird & Co.and located in Cedar Rapids, Iowa is a subject of one of our many securities industry sales practice abuse investigations. James Shrader Customer Complaints James Shrader 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 James Shrader’s 4 customer complaints were settled in favor of investors. One of James Shrader’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 Robert W. Baird & Co. for investment losses caused by James Shrader’s alleged misconduct. Allegations Against James Shrader 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 James Shrader failed to warn her of risk of her ETN and ETF purchases. Client’s daughter-in-law alleged that on her behalf account James Shrader’s performance was poor and requested reimbursement. James Shrader Red Flags & Your Rights As An Investor Of course, James Shrader 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 Shrader at Robert W. Baird & Co. on alert to review carefully the activity and performance of their accounts and question whether James Shrader has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Robert W. Baird & Co. 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 Robert W. Baird & Co. Due To James Shrader If you have questions about Robert W. Baird & Co. and/or James Shrader 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

Charles Shields of Wells Fargo Clearing Services

DID CHARLES DANIEL SHIELDS JR CAUSE YOU INVESTMENT LOSSES? Charles Shields Of Wells Fargo Clearing Services Has 3 Customer Complaints For Alleged Broker Misconduct Who is Charles Shields of Wells Fargo Clearing Services? Charles Shields (CRD #2067177) who is currently registered with Wells Fargo Clearing Services and located in Radnor, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Charles Shields Customer Complaints Charles Shields has been the subject of 3 customer complaints that we know about. Two of Charles Shields’ customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Wells Fargo Clearing Services for investment losses caused by Charles Shields’ alleged misconduct. Allegations Against Charles Shields 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 Charles Shields allegedly did not provide appropriate investment recommendations and executed transactions without authority. Pennsylvania resident complained of performance of account and questioned why client with little investment experience invested in risky securities allegedly by Charles Shields. Account value has declined since opened. Asked for information regarding asset allocation and performance. Plaintiff alleged that Charles Shields failed to take reasonable steps to ensure Plaintiff’s identity and authorization when opening a brokerage account. Charles Shields Red Flags & Your Rights As An Investor Of course, Charles Shields 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 Charles Shields at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Charles Shields 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 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 Clearing Services Due To Charles Shields If you have questions about Wells Fargo Clearing Services and/or Charles Shields 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

Troy Sheets of MML Investors Services

DID TROY EDWARD SHEETS CAUSE YOU INVESTMENT LOSSES? Troy Sheets Of MML Investors Services Has A Customer Complaint For Alleged Broker Misconduct Who is Troy Sheets of MML Investors Services? Troy Sheets (CRD #4124051) who is currently registered with MML Investors Services and located in Bettendorf, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Troy Sheets Customer Complaint Troy Sheets 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 the variable annuity that she purchased was misrepresented. She would like her money returned, less any surrender charges. Troy Sheets’ customer complaint was denied and, to date, the customer has not taken any further action. Troy Sheets Red Flags & Your Rights As An Investor Of course, Troy Sheets 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 Sheets at MML Investors Services on alert to review carefully the activity and performance of their accounts and question whether Troy Sheets has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors 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 MML Investors Services Due To Troy Sheets If you have questions about MML Investors Services and/or Troy Sheets 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

Angelia Shay of Eagle Strategies

DID ANGELIA ZENTNER SHAY CAUSE YOU INVESTMENT LOSSES? Angelia Shay Of Eagle Strategies And NYLIFE Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Angelia Shay of Eagle Strategies? Angelia Shay (CRD #2477463) who is currently registered with Eagle Strategies, NYLIFE Securities and located in Glen Allen, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Angelia Shay Customer Complaint Angelia Shay 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 he was assured that the cash value of his variable universal life insurance policy (VUL) could be used to pay premiums on a new fixed policy.  Instead the cash value of the VUL was forfeited. Angelia Shay’s customer complaint was settled in favor of the investors. Angelia Shay Red Flags & Your Rights As An Investor Of course, Angelia Shay 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 Angelia Shay at Eagle Strategies and NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Angelia Shay has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Eagle Strategies and NYLIFE 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 Eagle Strategies Due To Angelia Shay If you have questions about Eagle Strategies, NYLIFE Securities, and/or Angelia Shay 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

James Shawver of Peak Brokerage Services

DID JAMES PATRICK SHAWVER CAUSE YOU INVESTMENT LOSSES? James Shawver Of Peak Brokerage Services And Formerly With Independent Financial Group Has 3 Customer Complaints For Alleged Broker Misconduct Who is James Shawver of Peak Brokerage Services? James Shawver (CRD #2571148) who is currently registered with Peak Brokerage Services and located in Boynton Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Peak Brokerage Services, James Shawver was associated with Independent Financial Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Shawver Customer Complaints James Shawver has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of James Shawver’s 3 customer complaints was settled in favor of investors. One of James Shawver’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 Independent Financial Group for investment losses caused by James Shawver’s alleged misconduct. Allegations Against James Shawver A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged James Shawver’s investments were not suitable, resulting in losses. Customer alleged James Shawver failed to follow instructions. The client alleged that James Shawver’s annuities purchased, which have declined in value, were unsuitable. James Shawver Red Flags & Your Rights As An Investor Of course, James Shawver 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 Shawver at Peak Brokerage Services and Independent Financial Group on alert to review carefully the activity and performance of their accounts and question whether James Shawver has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Peak Brokerage Services and Independent Financial 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 Peak Brokerage Services Due To James Shawver If you have questions about Peak Brokerage Services, Independent Financial Group, and/or James Shawver 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

Larry Shaw of Morgan Stanley

DID LARRY JOEL SHAW CAUSE YOU INVESTMENT LOSSES? Larry Shaw Of Morgan Stanley Has 4 Customer Complaints For Alleged Broker Misconduct Who is Larry Shaw of Morgan Stanley? Larry Shaw (CRD #2226294) who is currently registered with Morgan Stanley and located in San Mateo, California is a subject of one of our many securities industry sales practice abuse investigations. Larry Shaw Customer Complaints Larry Shaw has been the subject of 4 customer complaints that we know about. One of Larry Shaw’s 4 customer complaints was settled in favor of investors. Three of Larry Shaw’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Larry Shaw 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 Larry Shaw’s failure to follow instructions with respect to liquidation of limited partnerships. The client alleged Larry Shaw misrepresented the annuity he purchased by stating he would get the market return of the securities or a guaranteed 6% annual compounding returns whichever was greater at the end of ten years. The client alleged Larry Shaw misrepresented the annuity by telling her she was guaranteed a 7 percent return if it was locked up for ten years. Client alleged that he did not authorize the sale of the eight other positions in his account allegedly made by Larry Shaw – only the sale of the Affymetrix stock was authorized. Larry Shaw Red Flags & Your Rights As An Investor Of course, Larry Shaw 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 Larry Shaw at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Larry Shaw 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 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 Morgan Stanley Due To Larry Shaw If you have questions about Morgan Stanley and/or Larry Shaw 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

Gerald Sharpe of Aegis Capital

DID GERALD RICHARD SHARPE JR CAUSE YOU INVESTMENT LOSSES? Gerald Sharpe Of Aegis Capital And Formerly With National Securities Has 4 Customer Complaints For Alleged Broker Misconduct Who is Gerald Sharpe of Aegis Capital? Gerald Sharpe (CRD #2109210) who is currently registered with Aegis Capital and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Gerald Sharpe was associated with National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gerald Sharpe Customer Complaints Gerald Sharpe has been the subject of 4 customer complaints that we know about. Three of Gerald Sharpe’s 4 customer complaints were settled in favor of investors. One of Gerald Sharpe’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Gerald Sharpe 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 Gerald Sharpe made misrepresentations of material facts to induce client to purchase a listed stock. Claimant alleged Gerald Sharpe’s Unsuitability, Negligence, Gross Negligence, Breach of Contract, Breach of Fiduciary Duty, Unauthorized Trading. Unsuitable recommendations allegedly by Gerald Sharpe. Gerald Sharpe Red Flags & Your Rights As An Investor Of course, Gerald Sharpe 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 Gerald Sharpe at Aegis Capital and National Securities on alert to review carefully the activity and performance of their accounts and question whether Gerald Sharpe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital and National 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 Aegis Capital Due To Gerald Sharpe If you have questions about Aegis Capital, National Securities, and/or Gerald Sharpe 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

Jacob Shapira of Morgan Stanley

DID JACOB GERSHON SHAPIRA CAUSE YOU INVESTMENT LOSSES? Jacob Shapira Of Morgan Stanley Has 5 Customer Complaints For Alleged Broker Misconduct Who is Jacob Shapira of Morgan Stanley? Jacob Shapira (CRD #1890969) who is currently registered with Morgan Stanley and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Jacob Shapira Customer Complaints Jacob Shapira has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Jacob Shapira’s 5 customer complaints resulted in an arbitration award in favor of the investor. Two of Jacob Shapira’s customer complaints were settled in favor of investors. One of Jacob Shapira’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 Morgan Stanley for investment losses caused by Jacob Shapira’s alleged misconduct. Allegations Against Jacob Shapira A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged Jacob Shapira recommended investment pattern involving short term trading, extensive use of margin and highly speculative investments, unsuitability, breach of fiduciary duty and unauthorized margin trading. Claimant alleged, inter alia, Jacob Shapira’s unsuitability with respect to investments. Clients alleged that the Puerto Rico bonds, structured products, etc. purchased in account by Jacob Shapira were unsuitable for them. The client alleged Jacob Shapira’s unsuitability with respect to investments. Jacob Shapira Red Flags & Your Rights As An Investor Of course, Jacob Shapira 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 Jacob Shapira at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jacob Shapira 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 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 Morgan Stanley Due To Jacob Shapira If you have questions about Morgan Stanley and/or Jacob Shapira 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 Putney of FBL Marketing Services

DID BRIAN JOSEPH PUTNEY CAUSE YOU INVESTMENT LOSSES? Brian Putney Of FBL Marketing Services, LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Brian Putney of FBL Marketing Services, LLC? Brian Putney (CRD #1728063) who is currently registered with FBL Marketing Services, LLC and located in St. Ansgar, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Brian Putney Customer Complaint Brian Putney 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 a fixed annuity was surrendered by her ex-husband (owner at the time) after a court order awarded the contract to her. Brian Putney’s customer complaint was denied and, to date, the customer has not taken any further action. Brian Putney Red Flags & Your Rights As An Investor Of course, Brian Putney 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 Putney at FBL Marketing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Brian Putney has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at FBL Marketing Services, LLC 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 FBL Marketing Services, LLC Due To Brian Putney If you have questions about FBL Marketing Services, LLC and/or Brian Putney 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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