Mar 8, 2022

Jeffrey Wiseman Formerly With Morgan Stanley

DID JEFFREY DAVID WISEMAN CAUSE YOU INVESTMENT LOSSES? Jeffrey Wiseman Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Jeffrey Wiseman formerly with Morgan Stanley? Jeffrey Wiseman (CRD #2012653) who was formerly registered with Morgan Stanley and located in Oxnard, California is a subject of one of our many securities industry sales practice abuse investigations. Jeffrey Wiseman Customer Complaint Jeffrey Wiseman 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 Jeffrey Wiseman solicited outside investment opportunities not authorized by firm. The customer complaint filed against Jeffrey Wiseman’s former employer Morgan Stanley for investment losses caused by the alleged misconduct is pending as of the date of this report. Jeffrey Wiseman Red Flags & Your Rights As An Investor Of course, Jeffrey Wiseman 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 Wiseman at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Wiseman 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 Jeffrey Wiseman If you have questions about Morgan Stanley and/or Jeffrey Wiseman 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

Wesley Wong of Wells Fargo Advisors Financial Network

DID WESLEY WONG CAUSE YOU INVESTMENT LOSSES? Wesley Wong Of Wells Fargo Advisors Financial Network And Formerly With UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Wesley Wong of Wells Fargo Advisors Financial Network? Wesley Wong (CRD #2202301) who is currently registered with Wells Fargo Advisors Financial Network and located in Westlake Village, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Advisors Financial Network, Wesley Wong was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Wesley Wong Customer Complaints Wesley Wong has been the subject of 2 customer complaints that we know about. One arbitration award was entered against UBS Financial Services for Wesley Wong’s alleged misconduct causing investors losses. One of Wesley Wong’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Wesley Wong 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 Wesley Wong did not liquidate his account as instructed. The client alleged that Wesley Wong failed to follow instructions to liquidate her account, negligence and breach of fiduciary duty. Wesley Wong Red Flags & Your Rights As An Investor Of course, Wesley Wong 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 Wesley Wong at Wells Fargo Advisors Financial Network and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Wesley Wong 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 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 Wells Fargo Advisors Financial Network Due To Wesley Wong If you have questions about Wells Fargo Advisors Financial Network, UBS Financial Services, and/or Wesley Wong 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

Bruce Worthington Formerly With Founders Financial Securities

DID BRUCE COLIN WORTHINGTON CAUSE YOU INVESTMENT LOSSES? Bruce Worthington Formerly With Founders Financial Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Bruce Worthington formerly with Founders Financial Securities? Bruce Worthington (CRD #2193895) who was formerly registered with Founders Financial Securities and located in Middleton, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Bruce Worthington has also been the subject of 2 investigations by the regulators of the securities industry.  In 2019, the Massachusetts securities division investigated him in connection with allegations that he misappropriated funds from at least one investor and he consented to a permanent bar, cease-and-desist order, censure, disgorgement and restitution.  He was also the subject of a FINRA investigation but failed to respond to the FINRA request for information and, consequently, was permanently barred in any capacity from any further association with any member firm in the securities industry. Bruce Worthington Customer Complaint Bruce Worthington 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 Bruce Worthington made certain withdrawals from client accounts to invest in “structured note.” Client believed advisor may have misappropriated the funds. Bruce Worthington’s customer complaint was settled in favor of the investors. Bruce Worthington Red Flags & Your Rights As An Investor Of course, Bruce Worthington 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 Bruce Worthington at Founders Financial Securities on alert to review carefully the activity and performance of their accounts and question whether Bruce Worthington has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Founders Financial 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 Founders Financial Securities Due To Bruce Worthington If you have questions about Founders Financial Securities and/or Bruce Worthington 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 Wright of Principal Securities

DID STEVEN JAY WRIGHT CAUSE YOU INVESTMENT LOSSES? Steven Wright Of Principal Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Steven Wright of Principal Securities? Steven Wright (CRD #2093028) who is currently registered with Principal Securities and located in Roseville, California is a subject of one of our many securities industry sales practice abuse investigations. Steven Wright Customer Complaint Steven Wright 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 Steven Wright failed as a supervisor, and breached the fiduciary duty owed to her. Steven Wright’s customer complaint was settled in favor of the investors. Steven Wright Red Flags & Your Rights As An Investor Of course, Steven Wright 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 Wright at Principal Securities on alert to review carefully the activity and performance of their accounts and question whether Steven Wright has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Principal 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 Principal Securities Due To Steven Wright If you have questions about Principal Securities and/or Steven Wright 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 Wurdemann of RBC Capital Markets

DID BRIAN M. WURDEMANN CAUSE YOU INVESTMENT LOSSES? Brian Wurdemann Of RBC Capital Markets And Formerly With UBS Financial Services Has 7 Customer Complaints For Alleged Broker Misconduct Who is Brian Wurdemann of RBC Capital Markets? Brian Wurdemann (CRD #4206425) who is currently registered with RBC Capital Markets and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, Brian Wurdemann was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brian Wurdemann Customer Complaints Brian Wurdemann has been the subject of 7 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One arbitration award was entered against UBS Financial Services for Brian Wurdemann’s alleged misconduct causing investors losses. Three of Brian Wurdemann’s 6 customer complaints were settled in favor of investors. One of Brian Wurdemann’s customers’ complaints was denied and, to date, the customer has not taken any further action. There are currently two pending customer complaints filed against UBS Financial Services and Merrill Lynch for investment losses caused by Brian Wurdemann’s alleged misconduct. Allegations Against Brian Wurdemann 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 Brian Wurdemann mispresented the nature of three mutual fund investments. Claimants alleged, inter alia, Brian Wurdemann’s misrepresentation with respect to investments Client alleged that Brian Wurdemann failed to properly advise him of risks and failed to minimize losses. The customer alleged unsuitable investment recommendations and misrepresentation by Brian Wurdemann. Client alleged that Brian Wurdemann was instructed to close out the rate lock swap for the client. Client alleged this did not happen and cost $36,000 in additional costs. Client’s son who had authority alleged short positions recommended by Brian Wurdemann were not suitable for his 77 year old father.  Brian Wurdemann Red Flags & Your Rights As An Investor Of course, Brian Wurdemann 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 Wurdemann at RBC Capital Markets and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Brian Wurdemann has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets and 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 RBC Capital Markets Due To Brian Wurdemann If you have questions about RBC Capital Markets, UBS Financial Services, and/or Brian Wurdemann 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 Wurzer of Morgan Stanley

DID STEVEN PAUL WURZER CAUSE YOU INVESTMENT LOSSES? Steven Wurzer Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Steven Wurzer of Morgan Stanley? Steven Wurzer (CRD #2429427) who is currently registered with Morgan Stanley and located in Fargo, North Dakota is a subject of one of our many securities industry sales practice abuse investigations. Steven Wurzer Customer Complaint Steven Wurzer 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 Claimant alleged unsuitability with respect to energy stock investments. The customer complaint filed against Steven Wurzer’s current employer Morgan Stanley for investment losses caused by the alleged misconduct is pending as of the date of this report. Steven Wurzer Red Flags & Your Rights As An Investor Of course, Steven Wurzer 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 Wurzer at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Steven Wurzer 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 Steven Wurzer If you have questions about Morgan Stanley and/or Steven Wurzer 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

Joe Abbott of Wells Fargo Clearing Services

DID JOE MARK ABBOTT CAUSE YOU INVESTMENT LOSSES? Joe Abbott Of Wells Fargo Clearing Services And Formerly With BBVA Securities And BBVA Wealth Solutions Has A Customer Complaint For Alleged Broker Misconduct Who is Joe Abbott of Wells Fargo Clearing Services? Joe Abbott (CRD #4452950) who is currently registered with Wells Fargo Clearing Services and located in Lubbock, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Joe Abbott was associated with BBVA Securities, BBVA Wealth Solutions and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joe Abbott Customer Complaint Joe Abbott 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 co-trustee purchased Indexed Annuity. Other Co-trustee complained about the purchase alleging the purchase was unsuitable. Joe Abbott’s customer complaint was denied and, to date, the customers have not taken any further action. Joe Abbott Red Flags & Your Rights As An Investor Of course, Joe Abbott 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 Joe Abbott at Wells Fargo Clearing Services, BBVA Securities, and BBVA Wealth Solutions on alert to review carefully the activity and performance of their accounts and question whether Joe Abbott has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, BBVA Securities, and BBVA Wealth Solutions 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 Joe Abbott If you have questions about Wells Fargo Clearing Services, BBVA Securities, BBVA Wealth Solutions, and/or Joe Abbott 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

Francis Abanga of Citigroup Global Markets

DID FRANCIS ASUGYA ABANGA CAUSE YOU INVESTMENT LOSSES? Francis Abanga Of Citigroup Global Markets And Formerly With J.P. Morgan Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Francis Abanga of Citigroup Global Markets? Francis Abanga (CRD #5430296) who is currently registered with Citigroup Global Markets and located in Bronx, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Citigroup Global Markets, Francis Abanga was associated with J.P. Morgan Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Francis Abanga Customer Complaint Francis Abanga 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 individual brokerage account should have been converted to joint account. Francis Abanga’s customer complaint was settled in favor of the investors. Francis Abanga Red Flags & Your Rights As An Investor Of course, Francis Abanga 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 Francis Abanga at Citigroup Global Markets and J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Francis Abanga has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Citigroup Global Markets and J.P. Morgan 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 Citigroup Global Markets Due To Francis Abanga If you have questions about Citigroup Global Markets, J.P. Morgan Securities, and/or Francis Abanga 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

Donald Young of Ameriprise Financial Services

DID DONALD ALAN YOUNG CAUSE YOU INVESTMENT LOSSES? Donald Young Of Ameriprise Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Donald Young of Ameriprise Financial Services? Donald Young (CRD #1669091) who is currently registered with Ameriprise Financial Services and located in Hingham, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Donald Young Customer Complaint Donald Young 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 that Donald Young deposited her funds to her ex-husband’s account without her consent. Donald Young’s customer complaint was denied and, to date, the customer has not taken any further action. Donald Young Red Flags & Your Rights As An Investor Of course, Donald Young 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 Donald Young at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Donald Young has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise 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 Ameriprise Financial Services Due To Donald Young If you have questions about Ameriprise Financial Services and/or Donald Young 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

John Young of UBS Financial Services

DID JOHN W. YOUNG CAUSE YOU INVESTMENT LOSSES? John Young Of UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is John Young of UBS Financial Services? John Young (CRD #2626571) who is currently registered with UBS Financial Services and located in Bethesda, Maryland is a subject of one of our many securities industry sales practice abuse investigations. John Young Customer Complaints John Young has been the subject of 2 customer complaints that we know about. Both of John Young’s customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against John Young 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 his written instructions to purchase two securities were not acted upon and instead a government bond was purchased without authorization allegedly by John Young. The client alleged the asset allocation was not suitable for the different investment objectives. The client further alleged a lack of risk management and diversification by John Young. John Young Red Flags & Your Rights As An Investor Of course, John Young 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 Young at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether John Young 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 John Young If you have questions about UBS Financial Services and/or John Young 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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