Mar 8, 2022

Ronald Richer of Garden State Securities

DID RONALD RICHER CAUSE YOU INVESTMENT LOSSES? Ronald Richer Formerly With Garden State Securities, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Ronald Richer formerly with Garden State Securities, Inc.? Ronald Richer (CRD #2988381) who was formerly registered with Garden State Securities, Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Ronald Richer has also been the subject of 3 regulatory investigations by FINRA, the states of Michigan and Wisconsin. The FINRA investigation resulted in a permanent bar in all capacities for allegedly borrowing $15,000 from the senior customer without providing prior notice to, and receiving written approval from, his member firm. Ronald Richer Customer Complaints Ronald Richer has been the subject of 4 customer complaints that we know about. Three of Ronald Richer’s 4 customer complaints were settled in favor of investors. One of Ronald Richer’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Ronald Richer A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Ronald Richer’s alleged unauthorized trade. Unauthorized trading, negligence, failure to supervise allegedly by Ronald Richer. Ronald Richer’s alleged unsuitability, breach of fiduciary responsibility. Ronald Richer’s alleged unsuitable recommendations. Ronald Richer Red Flags & Your Rights As An Investor Of course, Ronald Richer 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 Ronald Richer at Garden State Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Ronald Richer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Garden State Securities, Inc. 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 Garden State Securities, Inc. Due To Ronald Richer If you have questions about Garden State Securities, Inc. and/or Ronald Richer and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 8, 2022

Daniel Richardson of Morgan Stanley

DID DANIEL RICHARDSON CAUSE YOU INVESTMENT LOSSES? Daniel Richardson Of Morgan Stanley Has One Customer Complaint For Alleged Broker Misconduct Who is Daniel Richardson of Morgan Stanley? Daniel Richardson (CRD #2693621) who is currently registered with Morgan Stanley and located in Palm Harbor, Florida is a subject of one of our many securities industry sales practice abuse investigations. Daniel Richardson Customer Complaint Daniel Richardson 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 the investments in his accounts were unsuitable because they were too conservative in nature for his moderate risk tolerance. Daniel Richardson’s customer complaint was denied and, to date, the customer has not taken any further action. Daniel Richardson Red Flags & Your Rights As An Investor Of course, Daniel Richardson 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 Daniel Richardson at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Daniel Richardson 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 Daniel Richardson If you have questions about Morgan Stanley and/or Daniel Richardson and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 8, 2022

Mark Richards of Madison Avenue Securities

DID MARK RICHARDS CAUSE YOU INVESTMENT LOSSES? Mark Richards Of Madison Avenue Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Mark Richards of Madison Avenue Securities, LLC? Mark Richards (CRD #2730478) who is currently registered with Madison Avenue Securities, LLC and located in Albuquerque, New Mexico is a subject of one of our many securities industry sales practice abuse investigations. Mark Richards Customer Complaints Mark Richards has been the subject of 2 customer complaints that we know about. One of Mark Richards’ 2 customer complaints was settled in favor of investors. One of Mark Richards’ customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Mark Richards A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant purchased two alternative investments for $260,000. Claimant alleged Mark Richards failed to disclose risk and illiquid nature of investments. Claimant also invested in a third party managed account that lost value. Customer alleged Mark Richards’ misleading and unethical investment practices related to the decline in the stock market in their investments. Mark Richards Red Flags & Your Rights As An Investor Of course, Mark Richards 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 Richards at Madison Avenue Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Mark Richards has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Madison Avenue Securities, LLC 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 Madison Avenue Securities, LLC Due To Mark Richards If you have questions about Madison Avenue Securities, LLC and/or Mark Richards and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 8, 2022

Stephen Rice of Colorado Financial Service

DID STEPHEN RICE CAUSE YOU INVESTMENT LOSSES? Stephen Rice Of Colorado Financial Service Corp. Has One Customer Complaint For Alleged Broker Misconduct Who is Stephen Rice of Colorado Financial Service Corp.? Stephen Rice (CRD #2023704) who is currently registered with Colorado Financial Service Corp. and located in Burlingame, California is a subject of one of our many securities industry sales practice abuse investigations. Stephen Rice Customer Complaint Stephen Rice has been the subject ofat least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were product suitability concerns. Stephen Rice’s customer complaint was settled in favor of the investors. Stephen Rice Red Flags & Your Rights As An Investor Of course, Stephen Rice 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 Stephen Rice at Colorado Financial Service Corp. on alert to review carefully the activity and performance of their accounts and question whether Stephen Rice has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Colorado Financial Service Corp. 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 Colorado Financial Service Corp. Due To Stephen Rice If you have questions about Colorado Financial Service Corp. and/or Stephen Rice and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 8, 2022

Richard Reynolds of Worden Capital Management

DID RICHARD REYNOLDS CAUSE YOU INVESTMENT LOSSES? Richard Reynolds Of Worden Capital Management LLC And Formerly With Rockwell Global Capital Has 11 Customer Complaints For Alleged Broker Misconduct Who is Richard Reynolds of Worden Capital Management LLC? Richard Reynolds (CRD #2162706) who is currently registered with Worden Capital Management LLC and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Worden Capital Management LLC, Richard Reynolds was associated with Rockwell Global Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Reynolds Customer Complaints Richard Reynolds has been the subject of 11 customer complaints that we know about. Nine of Richard Reynolds’ 11 customer complaints were settled in favor of investors. Two of Richard Reynolds’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Richard Reynolds A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Richard Reynolds’ alleged churning, improper use of margin, unsuitability, and high commissions. Client alleged via verbal complaint unsuitability on the purchase of Washington Mutual Inc. Customer alleged losses due to Richard Reynolds’ failure to reduce margin debt. Customer alleged that a commission of $8,000 was not authorized by him allegedly made by Richard Reynolds. Richard Reynolds’ alleged negligence and negligent supervision. Statutory and common law fraud, misrepresentation, negligence, breach of contract and breach of fiduciary duty allegedly by Richard Reynolds. Unsuitable investment recommendations by Richard Reynolds. Summary of claim alleged churning, over-concentration and unauthorized trading by Richard Reynolds. The issue initiated a third party complaint, Janney Montgomery received a Power of Attorney from complainant who acted on behalf of customer. Claimant alleged that Richard Reynolds made unsuitable recommendations. Unauthorized trading, suitability, churning and misrepresentations allegedly by Richard Reynolds. Richard Reynolds Red Flags & Your Rights As An Investor Of course, Richard Reynolds 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 Richard Reynolds at Worden Capital Management LLC and Rockwell Global Capital on alert to review carefully the activity and performance of their accounts and question whether Richard Reynolds has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Worden Capital Management LLC and Rockwell Global Capital 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 Worden Capital Management LLC Due To Richard Reynolds If you have questions about Worden Capital Management LLC, Rockwell Global Capital, and/or Richard Reynolds and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 8, 2022

Antonio Reyna of Securities America

DID ANTONIO REYNA CAUSE YOU INVESTMENT LOSSES? Antonio Reyna Of Securities America, Inc. And Securities America Advisors Has One Customer Complaint For Alleged Broker Misconduct Who is Antonio Reyna of Securities America, Inc.? Antonio Reyna (CRD #2284509) who is currently registered with Securities America, Inc., Securities America Advisors and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Antonio Reyna Customer Complaint Antonio Reyna has been the subject ofat least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were the plaintiff identified Mr. Reyna as a “supervisory defendant” and alleged that the supervisory defendants were negligent in their supervision of a representative who Plaintiff alleged misappropriated her funds. The customer complaint filed against Antonio Reyna’s former employer LPL Financial for investment losses caused by the alleged misconduct is pending as of the date of this report. Antonio Reyna Red Flags & Your Rights As An Investor Of course, Antonio Reyna 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 Antonio Reyna at Securities America, Inc. and Securities America Advisors on alert to review carefully the activity and performance of their accounts and question whether Antonio Reyna has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America, Inc. and Securities America Advisors 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 Securities America, Inc. Due To Antonio Reyna If you have questions about Securities America, Inc., Securities America Advisors, and/or Antonio Reyna and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 8, 2022

Jon Reppert of Madison Avenue Securities

DID JON REPPERT CAUSE YOU INVESTMENT LOSSES? Jon Reppert Formerly With Madison Avenue Securities, LLC And Kalos Capital Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jon Reppert formerly with Madison Avenue Securities, LLC? Jon Reppert (CRD #1474315) who was formerly registered with Madison Avenue Securities, LLC and located in Addison, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Madison Avenue Securities, LLC, Jon Reppert was associated with Kalos Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jon Reppert Customer Complaints Jon Reppert has been the subject of 2 customer complaints that we know about. Both of Jon Reppert’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Jon Reppert A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The complainant alleged that the variable life insurance policy purchased was misrepresented by Jon Reppert. The complainant alleged that the proceeds of her life insurance policy loan were taken by Jon Reppert, who she also alleged was involved with forgeries related to changes made to the complainant’s life insurance policy. Jon Reppert Red Flags & Your Rights As An Investor Of course, Jon Reppert 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 Jon Reppert at Madison Avenue Securities, LLC and Kalos Capital on alert to review carefully the activity and performance of their accounts and question whether Jon Reppert has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Madison Avenue Securities, LLC and Kalos Capital Spectrum Advisors 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 Madison Avenue Securities, LLC Due To Jon Reppert If you have questions about Madison Avenue Securities, LLC, Kalos Capital, and/or Jon Reppert and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 8, 2022

Thomas Reyes of Raymond James Financial Services

DID THOMAS REYES CAUSE YOU INVESTMENT LOSSES? Thomas Reyes Of Raymond James Financial Services, Inc., Raymond James Financial Services Advisors And Formerly With First National Capital Markets Has 3 Customer Complaints For Alleged Broker Misconduct Who is Thomas Reyes of Raymond James Financial Services, Inc.? Thomas Reyes (CRD #3168338) who is currently registered with Raymond James Financial Services, Inc., Raymond James Financial Services Advisors and located in Omaha, Nebraska is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, Thomas Reyes was associated with First National Capital Markets and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Thomas Reyes Customer Complaints Thomas Reyes has been the subject of 3 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of Thomas Reyes’ 3 customer complaints was settled in favor of investors. Two of Thomas Reyes’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Thomas Reyes A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged that she invested in a variable annuity, about which she was misinformed allegedly by Thomas Reyes. Client alleged Thomas Reyes misrepresented contract at the time of the sale. Client alleged Thomas Reyes’ unauthorized trading and an unsuitable investment, misrepresentation of the investment. Thomas Reyes Red Flags & Your Rights As An Investor Of course, Thomas Reyes 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 Reyes at Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, and First National Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Thomas Reyes has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, and First National Capital Markets 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 Financial Services, Inc. Due To Thomas Reyes If you have questions about Raymond James Financial Services, Inc., Raymond James Financial Services Advisors, First National Capital Markets, and/or Thomas Reyes and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 8, 2022

Bradley Renberg of Ameriprise Financial Services

DID BRADLEY RENBERG CAUSE YOU INVESTMENT LOSSES? Bradley Renberg Of Ameriprise Financial Services, LLC Has 4 Customer Complaints For Alleged Broker Misconduct Who is Bradley Renberg of Ameriprise Financial Services, LLC? Bradley Renberg (CRD #2155253) who is currently registered with Ameriprise Financial Services, LLC and located in West Des Moines, Iowa is a subject of one of our many securities industry sales practice abuse investigations. Bradley Renberg Customer Complaints Bradley Renberg has been the subject of 4 customer complaints that we know about. One of Bradley Renberg’s 4 customer complaints resulted in an arbitration award in favor of the investor. Two of Bradley Renberg’s 4 customer complaints were settled in favor of investors. One of Bradley Renberg’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Bradley Renberg A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged that they were recommended unsuitable investments and transactions including high-risk investments in the energy and retail sectors by Bradley Renberg. Claimants alleged Bradley Renberg’s unsuitable investment recommendations, misrepresentation, breach of fiduciary duty and excessive trading in connection with various transactions. Customer placed an order for 10,000 Circuit City @ 39 1/4. Afterwards, he wanted to cancel order and placed order for 10,000 @ 39 3/4. Cancellation did not occur resulting in 19,000 shares purchased. Customer alleged Bradley Renberg’s unauthorized purchase of 9000 shares. Subsequently sold 9000 shares for loss. Filed for arbitration alleging breach of contract, breach of fiduciary duty, violation of securities laws, omission of fact, unauthorized purchase and negligence. The clients alleged Bradley Renberg recommended unsuitable investments and executed unauthorized trades. Bradley Renberg Red Flags & Your Rights As An Investor Of course, Bradley Renberg 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 Bradley Renberg at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Bradley Renberg has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC 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 Ameriprise Financial Services, LLC Due To Bradley Renberg If you have questions about Ameriprise Financial Services, LLC and/or Bradley Renberg and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Mar 8, 2022

Sayke Reilley of Oppenheimer & Co.

DID SAYKE REILLEY CAUSE YOU INVESTMENT LOSSES? Sayke Reilley Of Oppenheimer & Co. Inc. And Formerly With Liberty Partners Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Sayke Reilley of Oppenheimer & Co. Inc.? Sayke Reilley (CRD #2814096) who is currently registered with Oppenheimer & Co. Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co. Inc., Sayke Reilley was associated with Liberty Partners Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Sayke Reilley Customer Complaints Sayke Reilley has been the subject of 2 customer complaints that we know about. One of Sayke Reilley’s 2 customer complaints was settled in favor of investors. One of Sayke Reilley’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Sayke Reilley 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 instructions were not followed by Sayke Reilley. Client alleged that Sayke Reilley made unauthorized transactions in his account. Sayke Reilley Red Flags & Your Rights As An Investor Of course, Sayke Reilley 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 Sayke Reilley at Oppenheimer & Co. Inc. and Liberty Partners Financial Services on alert to review carefully the activity and performance of their accounts and question whether Sayke Reilley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. Inc. and Liberty Partners 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 Oppenheimer & Co. Inc. Due To Sayke Reilley If you have questions about Oppenheimer & Co. Inc., Liberty Partners Financial Services, and/or Sayke Reilley and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading