Mar 8, 2022

Jonathan Williams Formerly With NYLIFE Securities

DID JONATHAN SPENCER WILLIAMS CAUSE YOU INVESTMENT LOSSES? Jonathan Williams Formerly With NYLIFE Securities Has 19 Customer Complaints For Alleged Broker Misconduct Who is Jonathan Williams formerly with NYLIFE Securities? Jonathan Williams (CRD #4069029) who was formerly registered with NYLIFE Securities and located in Timonium, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Jonathan Williams has also been the subject of a FINRA investigation after he was terminated by NYLIFE Securities.  Apparently, Jonathan Williams refused to cooperate with the FINRA investigators and refused to provide on-the-record testimony requested by the regulators.  Consequently, he was permanently barred from any further association with any member firm in any capacity. Jonathan Williams Customer Complaints Jonathan Williams has been the subject of 19 customer complaints that we know about. Fifteen of Jonathan Williams’ 19 customer complaints were settled in favor of investors. Four of Jonathan Williams’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Jonathan Williams 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 that he liquidated whole life policies and fixed annuities and was misled into purchasing an unsuitable investment that was sold in violation of federal and state securities registration and disclosure laws allegedly committed by Jonathan Williams. Customer alleged that Jonathan Williams misrepresented her accounts with the firm as having a total value of $200,000 with $50,000 being in cash. Further, the customer expressed concern with a monthly $200 deduction from her personal checking account. In response to an audit letter sent by the firm, the customer advised the firm that she was unaware that she was the owner of two NYLIFE brokerage accounts which were opened and listed on her policy summary report. She further stated that she did not authorize any transactions from those accounts allegedly committed by Jonathan Williams. The policyowner has also requested a thorough review of all of her policies since the account balance of her variable annuities has dropped significantly. Claimants allege that Jonathan Williams made an unauthorized transaction when he moved funds from a traditional IRA to a Roth IRA without her knowledge or authorization. She became aware of this when she received a notice of levy from the IRS for unpaid taxes incurred due to the transaction. The policyowner asked the Firm to fix this matter and conduct an audit of her policies and accounts while Mr. Williams was her agent. Policyowner alleged she is unable to identify all of the withdrawals from her accounts that were handled by Jonathan Williams. She asked for an accounting of all withdrawals and redemptions taken from her policy and accounts. Policyowner stated she had questions concerning three withdrawals made from her variable annuity policy totaling $37,901.22. The policyowner requested the company review all of her policies and provide her information regarding the questionable withdrawals which occurred when Jonathan Williams allegedly was handling her accounts. The client alleged that Jonathan Williams invested her funds in unsuitable products and charged her an excessive fee for financial planning. The customer requested the transaction history for his brokerage account stating that his brokerage account value was over $9,000 and then after was $0.00. He also stated he never received any money from that account and assumed that Jonathan Williams allegedly transferred the funds to an insurance policy that never existed. The customer voiced concerns regarding checks made payable in connection with a defined benefit pension plan for her employees to Mid Atlantic Financial, which was believed to be affiliated with New York Life allegedly committed by Jonathan Williams. The customers alleged that IRA contributions in the amount of $12,000 paid directly to Mid-Atlantic Financial were unaccounted for, which resulted in tax liabilities allegedly committed by Jonathan Williams. The customers alleged that Jonathan Williams invested their funds in unsuitable, risky, and high commission products, effectuating withdrawals from their accounts sometimes through forged documents resulting in large surrender charges and unnecessary tax consequences and penalties. The customers’ further alleged that Mr. Williams created private placement investments and certificates of deposit and stole their funds, demanding checks and payment of fees to entities under his control. The customers demanded $900,000 reimbursement for misappropriated funds and unsuitable sales. The customers requested that NYL provide them with an accounting of the $25,000 they gave Jonathan Williams allegedly, which included a check for $10,000 made payable to Jonathan Williams Financial Planning to purchase stock certificates for Lyfe Kitchen common stock. They also alleged that Mr. Williams moved $15,000 into a certificate of deposit. The policyowner alleged that Jonathan Williams made unauthorized withdrawals from her variable annuity accounts and a brokerage account. The policyowner authorized NYL to review her portfolio for discrepancies and irregularities and requested all funds misappropriated from her account by Mr. Williams be returned to her. The policyowner stated he gave Jonathan Williams allegedly four checks made payable to Mid-Atlantic Financial totaling $114,000 to purchase certificates of deposit but did not believe the CDs were ever purchased. The policyowner further stated that he incurred $2,700 in fees and charges in his variable annuity cash management account because Mr. Williams allegedly failed to provide investment advice for $39,000 deposited in the account. The policyowner requested that NYL assist him in recovering his funds. The policyowner stated she purchased certificates of deposit from Jonathan Williams allegedly that were issued by Mid-Atlantic Financial, which she assumed was “affiliated” with New York Life. The policyowner stated she purchased certificates of deposit from Jonathan Williams allegedly totaling $411,214 that were issued by Mid-Atlantic Financial, which she assumed was “affiliated” with New York Life. The policyowners alleged that funds they invested with Jonathan Williams were missing from their accounts and that Mr. Williams gave them fraudulent account numbers. They requested the firm provide an accounting of all transactions in their accounts for the period they were represented by Mr. Williams and reimbursement of all missing funds. The policyowners...

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Mar 8, 2022

Mark Williams of Forta Financial Group

DID MARK JOHN WILLIAMS CAUSE YOU INVESTMENT LOSSES? Mark Williams of Forta Financial Group And Formerly With Centaurus Financial And JP Turner & Company Capital Management Has A Customer Complaint For Alleged Broker Misconduct Who is Mark Williams of Forta Financial Group? Mark Williams (CRD #4061842) who is currently registered with Forta Financial Group and located in Carmel, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Forta Financial Group, Mark Williams was associated with Centaurus Financial, JP Turner & Company Capital Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Williams Customer Complaint Mark Williams 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 Mark Williams misrepresented and made unsuitable investments for customer. Mark Williams’ customer complaint was denied and, to date, the customer has not taken any further action. Mark Williams Red Flags & Your Rights As An Investor Of course, Mark Williams 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 Williams at Forta Financial Group, Centaurus Financial, and JP Turner & Company Capital Management on alert to review carefully the activity and performance of their accounts and question whether Mark Williams has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Forta Financial Group, Centaurus Financial, and JP Turner & Company Capital Management 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 Forta Financial Group Due To Mark Williams If you have questions about Forta Financial Group, Centaurus Financial, JP Turner & Company Capital Management, and/or Mark Williams 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

Erin Willis of Cambridge Investment Research

DID ERIN GAY WILLIS CAUSE YOU INVESTMENT LOSSES? Erin Willis Of Cambridge Investment Research And Cambridge Investment Research Advisors Has 2 Customer Complaints For Alleged Broker Misconduct Who is Erin Willis of Cambridge Investment Research? Erin Willis (CRD #2406860) who is currently registered with Cambridge Investment Research, Cambridge Investment Research Advisors and located in Annapolis, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Erin Willis Customer Complaints Erin Willis 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 Erin Willis’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Erin Willis 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 Erin Willis failed to invest her assets in correlation to her investment objectives. Client also alleged Erin Willis made changes within her account without her consent. Client alleged that there was no investment action done for their account. Additionally, client alleged that Erin Willis expressed that their account would perform better than it did. Erin Willis Red Flags & Your Rights As An Investor Of course, Erin Willis 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 Erin Willis at Cambridge Investment Research and Cambridge Investment Research Advisors on alert to review carefully the activity and performance of their accounts and question whether Erin Willis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research and Cambridge Investment Research Advisors 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 Erin Willis If you have questions about Cambridge Investment Research, Cambridge Investment Research Advisors, and/or Erin Willis 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 Winn of Cape Securities

DID MICHAEL JOSEPH WINN CAUSE YOU INVESTMENT LOSSES? Michael Winn Of Cape Securities And Formerly With First Republic Securities Company, First Republic Investment Management And Private Advisor Group Has 2 Customer Complaints For Alleged Broker Misconduct Who is Michael Winn of Cape Securities? Michael Winn (CRD #2369114) who is currently registered with Cape Securities and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cape Securities, Michael Winn was associated with First Republic Securities Company, First Republic Investment Management, Private Advisor Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Winn Customer Complaints Michael Winn has been the subject of 2 customer complaints that we know about. One of Michael Winn’s 2 customer complaints was settled in favor of investors. One of Michael Winn’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Michael Winn 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 that the investment at issue was only supposed to be for 6-8 years, and that the account was opened without his permission allegedly committed by Michael Winn. Claimant’s counsel alleged the life insurance policy was unsuitable and the surrender and other associated fees were not properly disclosed allegedly by Michael Winn. Counsel further alleged that a financial planning services agreement and related “Scope of Work” was ratified by all parties but none of the promised deliverables were ever provided or implemented. Michael Winn Red Flags & Your Rights As An Investor Of course, Michael Winn 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 Winn at Cape Securities, First Republic Securities Company, First Republic Investment Management, and Private Advisor Group on alert to review carefully the activity and performance of their accounts and question whether Michael Winn has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cape Securities, First Republic Securities Company, First Republic Investment Management, and Private Advisor 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 Cape Securities Due To Michael Winn If you have questions about Cape Securities, First Republic Securities Company, First Republic Investment Management, Private Advisor Group, and/or Michael Winn 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

Pamela Wise of Merrill Lynch Pierce Fenner & Smith

DID PAMELA S. WISE CAUSE YOU INVESTMENT LOSSES? Pamela Wise Of Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Pamela Wise of Merrill Lynch Pierce Fenner & Smith? Pamela Wise (CRD #2904307) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Washington, District of Columbia is a subject of one of our many securities industry sales practice abuse investigations. Pamela Wise Customer Complaint Pamela Wise 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 the customer alleged misrepresentation. Pamela Wise’s customer complaint was denied and, to date, the customer has not taken any further action. Pamela Wise Red Flags & Your Rights As An Investor Of course, Pamela Wise 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 Pamela Wise at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Pamela Wise 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 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 Merrill Lynch Pierce Fenner & Smith Due To Pamela Wise If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Pamela Wise 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

Jason Wolter of Morgan Stanley

DID JASON W. WOLTER CAUSE YOU INVESTMENT LOSSES? Jason Wolter Of Morgan Stanley And Formerly With J.P. Morgan Securities And Deutsche Bank Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Jason Wolter of Morgan Stanley? Jason Wolter (CRD #2934037) who is currently registered with Morgan Stanley and located in Greenwich, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Jason Wolter was associated with J.P. Morgan Securities, Deutsche Bank Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jason Wolter Customer Complaint Jason Wolter 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 client alleged unauthorized trading regarding municipal bond, mutual fund, structured product and ETF investments. The customer complaint filed against Jason Wolter’s current employer Deutsche Bank Securities and J.P. Morgan Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Jason Wolter Red Flags & Your Rights As An Investor Of course, Jason Wolter 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 Jason Wolter at Morgan Stanley, J.P. Morgan Securities, and Deutsche Bank Securities on alert to review carefully the activity and performance of their accounts and question whether Jason Wolter has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley, J.P. Morgan Securities, and Deutsche Bank 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 Morgan Stanley Due To Jason Wolter If you have questions about Morgan Stanley, J.P. Morgan Securities, Deutsche Bank Securities, and/or Jason Wolter 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 Wiskus of NYLIFE Securities

DID MARK ALAN WISKUS CAUSE YOU INVESTMENT LOSSES? Mark Wiskus Of NYLIFE Securities And Eagle Strategies Has 2 Customer Complaints For Alleged Broker Misconduct Who is Mark Wiskus of NYLIFE Securities? Mark Wiskus (CRD #4121608) who is currently registered with NYLIFE Securities, Eagle Strategies and located in Pella, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Mark Wiskus Customer Complaints Mark Wiskus has been the subject of 2 customer complaints that we know about. Both of Mark Wiskus’ customer complaints were settled in favor of investors. Allegations Against Mark Wiskus 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 a trade request was not executed in a timely manner by Mark Wiskus to and resulted in decreased value on their trade proceeds. Customer alleged that when she purchased her variable annuity policy, the prospective tax penalties for withdrawals of the investment principal were not disclosed to her by Mark Wiskus. Mark Wiskus Red Flags & Your Rights As An Investor Of course, Mark Wiskus 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 Wiskus at NYLIFE Securities and Eagle Strategies on alert to review carefully the activity and performance of their accounts and question whether Mark Wiskus 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 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 NYLIFE Securities Due To Mark Wiskus If you have questions about NYLIFE Securities, Eagle Strategies, and/or Mark Wiskus 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

Gary Wolfe of Northwestern Mutual Investment Services

DID GARY STEVEN WOLFE CAUSE YOU INVESTMENT LOSSES? Gary Wolfe Of Northwestern Mutual Investment Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Gary Wolfe of Northwestern Mutual Investment Services? Gary Wolfe (CRD #1979358) who is currently registered with Northwestern Mutual Investment Services and located in Sugar Land, Texas is a subject of one of our many securities industry sales practice abuse investigations. Gary Wolfe Customer Complaints Gary Wolfe has been the subject of 2 customer complaints that we know about. Both of Gary Wolfe’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Gary Wolfe 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 Gary Wolfe only presented variable life insurance and did not explain the risks or offer alternative insurance plans. The customer alleged that Gary Wolfe misrepresented the variable custom universal life policy. Gary Wolfe Red Flags & Your Rights As An Investor Of course, Gary Wolfe 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 Gary Wolfe at Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Gary Wolfe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment 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 Northwestern Mutual Investment Services Due To Gary Wolfe If you have questions about Northwestern Mutual Investment Services and/or Gary Wolfe 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

Scott Wolfrum Formerly With Huntleigh Securities

DID SCOTT THOMAS WOLFRUM CAUSE YOU INVESTMENT LOSSES? Scott Wolfrum Formerly With Huntleigh Securities And David A. Noyes & Company Has 3 Customer Complaints For Alleged Broker Misconduct Who is Scott Wolfrum formerly with Huntleigh Securities? Scott Wolfrum (CRD #2187550) who was formerly registered with Huntleigh Securities and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to Huntleigh Securities, Scott Wolfrum was associated with David A. Noyes & Company and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Scott Wolfrum has had his own regulatory problems.  In March 2021, United States Securities and Exchange Commission (SEC) filed a cease-and-desist proceeding which resulted in a Cease and Desist Order, fine, penalty, an order of disgorgement for allegedly recommending that is advisory clients invest in Foundry Mezzanine Opportunity Fund without disclosing his conflicts of interest, including the fact that his family members had a financial interest in 2 of the funds holdings and that Scott Wolfrum received over $175,000 in finder’s fees related to the funds activities. Scott Wolfrum Customer Complaints Scott Wolfrum has been the subject of 3 customer complaints that we know about. Two of Scott Wolfrum’s 3 customer complaints were settled in favor of investors. One of Scott Wolfrum’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Scott Wolfrum 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 annuity unsuitable and concentration of annuities in account by Scott Wolfrum. Client alleged that instructions to move to a cash position were not followed by Scott Wolfrum. Complainant alleged that Scott Wolfrum’s purchase of a private placement was made without complainant’s approval. Scott Wolfrum Red Flags & Your Rights As An Investor Of course, Scott Wolfrum 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 Scott Wolfrum at Huntleigh Securities and David A. Noyes & Company on alert to review carefully the activity and performance of their accounts and question whether Scott Wolfrum has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Huntleigh Securities and David A. Noyes & Company 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 Huntleigh Securities Due To Scott Wolfrum If you have questions about Huntleigh Securities, David A. Noyes & Company, and/or Scott Wolfrum 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 Wolpert of MML Investors Services

DID MARK DAVID WOLPERT CAUSE YOU INVESTMENT LOSSES? Mark Wolpert Of MML Investors Services And Formerly With MSI Financial Services Has 4 Customer Complaints For Alleged Broker Misconduct Who is Mark Wolpert of MML Investors Services? Mark Wolpert (CRD #2692529) who is currently registered with MML Investors Servicesand located in Plymouth, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Mark Wolpert was associated with MSI Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Wolpert has had his own regulatory problems.  In July 2019, he consented to a cease-and-desist order, civil monetary penalty, order of restitution, and fine for allegedly making a recommendation to a customer to purchase a life insurance policy without having a reasonable grounds to believe.  The recommendation was suitable for the customer and also making inaccurate statements about the life insurance policy. Mark Wolpert Customer Complaints Mark Wolpert has been the subject of 4 customer complaints that we know about. One of Mark Wolpert’s 4 customer complaints was settled in favor of investors. Three of Mark Wolpert’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Mark Wolpert 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 when Mark Wolpert recommended a transfer of funds from a variable annuity into a managed account, he did not provide information regarding the loss of supplemental riders within the annuity. Customer alleged the caliber and frequency of trades, facilitated by Mark Wolpert, within his advisory account is not appropriate. Customer alleged the investments made by Mark Wolpert within his advisory account were not suitable. The customer indicated that Mark Wolpert allegedly lied and pressured her into exchanging her existing life insurance policy into a new one. Mark Wolpert Red Flags & Your Rights As An Investor Of course, Mark Wolpert 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 Wolpert at MML Investors Services and MSI Financial Services on alert to review carefully the activity and performance of their accounts and question whether Mark Wolpert has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 MML Investors Services Due To Mark Wolpert If you have questions about MML Investors Services, MSI Financial Services, and/or Mark Wolpert 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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