Mar 8, 2022

Charles Sergewick of Merrill Lynch Pierce Fenner & Smith

DID CHARLES LEO SERGEWICK CAUSE YOU INVESTMENT LOSSES? Charles Sergewick Of Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Charles Sergewick of Merrill Lynch Pierce Fenner & Smith? Charles Sergewick (CRD #1672773) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Toms River, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Charles Sergewick Customer Complaints Charles Sergewick 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. Both of Charles Sergewick’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Charles Sergewick A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The client alleged Charles Sergewick did not explain the features of his annuity to him. The customer alleged Charles Sergewick’s unsuitable investment recommendations. Charles Sergewick Red Flags & Your Rights As An Investor Of course, Charles Sergewick 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 Sergewick at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Charles Sergewick has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith 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 Merrill Lynch Pierce Fenner & Smith Due To Charles Sergewick If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Charles Sergewick and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Mark Senofonte of Cetera Investment Services

DID MARK ANGELO SENOFONTE CAUSE YOU INVESTMENT LOSSES? Mark Senofonte Of Cetera Investment Services And Cetera Investment Advisers Has 6 Customer Complaints For Alleged Broker Misconduct Who is Mark Senofonte of Cetera Investment Services? Mark Senofonte (CRD #2038108) who is currently registered with Cetera Investment Services, Cetera Investment Advisers and located in Edison, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Mark Senofonte Customer Complaints Mark Senofonte has been the subject of 6 customer complaints that we know about. Two of Mark Senofonte’s 6 customer complaints were settled in favor of investors. Three of Mark Senofonte’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Cetera Investment Services for investment losses caused by Mark Senofonte’s alleged misconduct. Allegations Against Mark Senofonte 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 accounts were closed and cashed in without her permission and funds were stolen/fraud allegedly by Mark Senofonte. Client alleged Mark Senofonte’s misrepresentation and losses. Demand for damages caused by misrepresentation, suitability, and failure to supervise Mark Senofonte. Mark Senofonte’s alleged misrepresentation and unauthorized purchase. The state of New Jersey alleged that Mark Senofonte failed to provide full disclosure at the time of sale. Mark Senofonte Red Flags & Your Rights As An Investor Of course, Mark Senofonte did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Mark Senofonte at Cetera Investment Services and Cetera Investment Advisers on alert to review carefully the activity and performance of their accounts and question whether Mark Senofonte has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Investment Services and Cetera Investment Advisers 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 Cetera Investment Services Due To Mark Senofonte If you have questions about Cetera Investment Services, Cetera Investment Advisers, and/or Mark Senofonte and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Steven Seimears of Ameriprise Financial Services

DID STEVEN GORDON SEIMEARS CAUSE YOU INVESTMENT LOSSES? Steven Seimears Of Ameriprise Financial Services And Formerly With Wells Fargo Clearing Services And Freedom Investors Has A Customer Complaint For Alleged Broker Misconduct Who is Steven Seimears of Ameriprise Financial Services? Steven Seimears (CRD #3014553) who is currently registered with Ameriprise Financial Services and located in Meridian, Idaho is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, Steven Seimears was associated with Wells Fargo Clearing Services, Freedom Investors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Steven Seimears Customer Complaint Steven Seimears 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 complainant alleged misrepresentation of a stock he purchased and on which he subsequently incurred losses. Steven Seimears’ customer complaint was denied and, to date, the customer has not taken any further action. Steven Seimears Red Flags & Your Rights As An Investor Of course, Steven Seimears did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Steven Seimears at Ameriprise Financial Services, Wells Fargo Clearing Services, and Freedom Investors on alert to review carefully the activity and performance of their accounts and question whether Steven Seimears has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, Wells Fargo Clearing Services, and Freedom Investors 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 Ameriprise Financial Services Due To Steven Seimears If you have questions about Ameriprise Financial Services, Wells Fargo Clearing Services, Freedom Investors, and/or Steven Seimears 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

Patrick Seiler of Raymond James & Associates

DID PATRICK MICHAEL SEILER CAUSE YOU INVESTMENT LOSSES? Patrick Seiler Of Raymond James & Associates Has 2 Customer Complaints For Alleged Broker Misconduct Who is Patrick Seiler of Raymond James & Associates? Patrick Seiler (CRD #2670659) who is currently registered with Raymond James & Associates and located in Newtown, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Patrick Seiler Customer Complaints Patrick Seiler has been the subject of 2 customer complaints that we know about. Both of Patrick Seiler’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Patrick Seiler 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 Patrick Seiler mismanaged account utilizing a Securities Based Line of Credit. The customer alleged that Patrick Seiler made misrepresentations about investments. Patrick Seiler Red Flags & Your Rights As An Investor Of course, Patrick Seiler 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 Patrick Seiler at Raymond James & Associates on alert to review carefully the activity and performance of their accounts and question whether Patrick Seiler has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates 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 Raymond James & Associates Due To Patrick Seiler If you have questions about Raymond James & Associates and/or Patrick Seiler 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 Segel of MML Investors Services

DID BRIAN LEE SEGEL CAUSE YOU INVESTMENT LOSSES? Brian Segel Of MML Investors Services And Formerly With Eagle Strategies And NYLIFE Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Brian Segel of MML Investors Services? Brian Segel (CRD #1610632) who is currently registered with MML Investors Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Brian Segel was associated with Eagle Strategies, NYLIFE Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brian Segel Customer Complaint Brian Segel 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 two Variable Annuity policies she purchased did not take into consideration the lack of liquidity that she would be allowing for herself.  Considering the three additional fixed policies she had also recently purchased. Brian Segel’s customer complaint was settled in favor of the investors. Brian Segel Red Flags & Your Rights As An Investor Of course, Brian Segel 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 Segel at MML Investors Services, Eagle Strategies, and NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Brian Segel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services, 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 MML Investors Services Due To Brian Segel If you have questions about MML Investors Services, Eagle Strategies, NYLIFE Securities, and/or Brian Segel 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

Shay Scruggs of Rockefeller Financial

DID SHAY W. SCRUGGS CAUSE YOU INVESTMENT LOSSES? Shay Scruggs Of Rockefeller Financial And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Shay Scruggs of Rockefeller Financial? Shay Scruggs (CRD #4173046) who is currently registered with Rockefeller Financial and located in Dallas, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Rockefeller Financial, Shay Scruggs was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Shay Scruggs Customer Complaint Shay Scruggs 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 unsuitability of certain investments, and that such investments resulted in principal losses. The customer complaint filed against Shay Scruggs’ former employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Shay Scruggs Red Flags & Your Rights As An Investor Of course, Shay Scruggs 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 Shay Scruggs at Rockefeller Financial and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Shay Scruggs has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Rockefeller Financial and UBS Financial 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 Rockefeller Financial Due To Shay Scruggs If you have questions about Rockefeller Financial, UBS Financial Services, and/or Shay Scruggs 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

Cindy Scott of Charles Schwab & Co.

DID CINDY SCOTT CAUSE YOU INVESTMENT LOSSES? Cindy Scott Of Charles Schwab & Co. And Formerly With J.P. Morgan Securities And Fisher Investments Has A Customer Complaint For Alleged Broker Misconduct Who is Cindy Scott of Charles Schwab & Co.? Cindy Scott (CRD #2918260) who is currently registered with Charles Schwab & Co.and located in Westlake, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Charles Schwab & Co., Cindy Scott was associated with J.P. Morgan Securities, Fisher Investments and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cindy Scott Customer Complaint Cindy Scott 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 client alleged that Cindy Scott failed to follow his instructions to invest funds into the Schwab Intelligent Portfolio Premium (SIPP) account under a Dollar-Cost-Averaging (DCA) strategy. The customer complaint filed against Cindy Scott’s current employer Charles Schwab & Co. for investment losses caused by the alleged misconduct is pending as of the date of this report. Cindy Scott Red Flags & Your Rights As An Investor Of course, Cindy Scott 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 Cindy Scott at Charles Schwab & Co., J.P. Morgan Securities, and Fisher Investments on alert to review carefully the activity and performance of their accounts and question whether Cindy Scott has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & Co., J.P. Morgan Securities, and Fisher Investments 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 Charles Schwab & Co. Due To Cindy Scott If you have questions about Charles Schwab & Co., J.P. Morgan Securities, Fisher Investments, and/or Cindy Scott 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

Michael Schwartz of Cetera Advisor Networks

DID MICHAEL WAYNE SCHWARTZ CAUSE YOU INVESTMENT LOSSES? Michael Schwartz Of Cetera Advisor Networks And Formerly With Royal Alliance Associates Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Schwartz of Cetera Advisor Networks? Michael Schwartz (CRD #2669252) who is currently registered with Cetera Advisor Networks and located in Brooklyn, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisor Networks, Michael Schwartz was associated with Royal Alliance Associates and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Schwartz Customer Complaint Michael Schwartz 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 variable annuities purchased were misrepresented and unsuitable. Michael Schwartz’s customer complaint was denied and, to date, the customer has not taken any further action. Michael Schwartz Red Flags & Your Rights As An Investor Of course, Michael Schwartz 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 Schwartz at Cetera Advisor Networks and Royal Alliance Associates on alert to review carefully the activity and performance of their accounts and question whether Michael Schwartz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks and Royal Alliance Associates 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 Cetera Advisor Networks Due To Michael Schwartz If you have questions about Cetera Advisor Networks, Royal Alliance Associates, and/or Michael Schwartz 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

Samuel Sloane formerly with Morgan Stanley

DID SAMUEL WYLIE SLOANE CAUSE YOU INVESTMENT LOSSES? Samuel Sloane Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Samuel Sloane formerly with Morgan Stanley? Samuel Sloane (CRD #2318085) who was formerly registered with Morgan Stanley and located in Ft. Worth, Texas is a subject of one of our many securities industry sales practice abuse investigations. Samuel Sloane was also the subject of a FINRA investigation into whether he converted a customer’s trust assets while serving as a trustee.  According to FINRA, Samuel Sloane refused to cooperate with the investigation and provide any documents or information requested by FINRA.  As a result, he was permanently barred from any further association with any member firm in any capacity. Samuel Sloane Customer Complaint Samuel Sloane 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 claimant, the beneficiary of a trust, alleged that the FA, while serving as trustee, took assets from a trust, through withdrawals and fees. Samuel Sloane’s customer complaint was denied and, to date, the customer has not taken any further action. Samuel Sloane Red Flags & Your Rights As An Investor Of course, Samuel Sloane 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 Samuel Sloane at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Samuel Sloane has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Samuel Sloane If you have questions about Morgan Stanley and/or Samuel Sloane 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

Robert Skinner Formerly With First Republic Securities Company

DID ROBERT JOHN SKINNER JR CAUSE YOU INVESTMENT LOSSES? Robert Skinner Formerly With First Republic Securities Company Has A Customer Complaint For Alleged Broker Misconduct Who is Robert Skinner Formerly With First Republic Securities Company? Robert Skinner (CRD #2680849) who was formerly registered with First Republic Securities Company and located in Palo Alto, California is a subject of one of our many securities industry sales practice abuse investigations. Robert Skinner Customer Complaint Robert Skinner 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 client alleged, inter alia, that the registered representative recommended unsuitable positions in violation of FINRA rules. The customer complaint filed against Robert Skinner’s former employer First Republic Securities Company for investment losses caused by the alleged misconduct is pending as of the date of this report. Robert Skinner Red Flags & Your Rights As An Investor Of course, Robert Skinner 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 Robert Skinner at First Republic Securities Company on alert to review carefully the activity and performance of their accounts and question whether Robert Skinner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Republic Securities Company 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 First Republic Securities Company Due To Robert Skinner If you have questions about First Republic Securities Company and/or Robert Skinner 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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