Mar 8, 2022

Michael Quach of J.P. Morgan Securities

DID MICHAEL QUACH CAUSE YOU INVESTMENT LOSSES? Michael Quach Of J.P. Morgan Securities LLC Has 4 Customer Complaints For Alleged Broker Misconduct Who is Michael Quach of J.P. Morgan Securities LLC? Michael Quach (CRD #2227871) who is currently registered with J.P. Morgan Securities LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Michael Quach Customer Complaints Michael Quach has been the subject of 4 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. All 4 of Michael Quach’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Michael Quach 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 Michael Quach’s failure to follow instructions regarding managed account investment. Client alleged Michael Quach’s poor recommendation/poor advice regarding mutual fund investment. Client alleged Michael Quach’s suitability violations regarding managed account investment. Client claimed he lost money in an unauthorized investment allegedly made by Michael Quach. Michael Quach Red Flags & Your Rights As An Investor Of course, Michael Quach 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 Quach at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Michael Quach has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan 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 J.P. Morgan Securities LLC Due To Michael Quach If you have questions about J.P. Morgan Securities LLC and/or Michael Quach 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

Miles Pure of Raymond James & Associates

DID MILES PURE CAUSE YOU INVESTMENT LOSSES? Miles Pure Of Raymond James & Associates, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Miles Pure of Raymond James & Associates, Inc.? Miles Pure (CRD #2475647) who is currently registered with Raymond James & Associates, Inc. and located in Naples, Florida is a subject of one of our many securities industry sales practice abuse investigations. Miles Pure Customer Complaints Miles Pure has been the subject of 2 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One arbitration award was entered against Merrill Lynch Pierce Fenner & Smith in the amount of $1,336,463 for Miles Pure’s alleged misconduct causing investors losses. One of Miles Pure’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Miles Pure A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Miles Pure’s alleged breach of fiduciary duty, negligence, fraud, breach of contract. Client alleged Miles Pure did not honor trade instructions. Miles Pure Red Flags & Your Rights As An Investor Of course, Miles Pure 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 Miles Pure at Raymond James & Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Miles Pure has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates, 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 Raymond James & Associates, Inc. Due To Miles Pure If you have questions about Raymond James & Associates, Inc. and/or Miles Pure 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

John Pumphrey of R.M. Duncan Securities

DID JOHN PUMPHREY CAUSE YOU INVESTMENT LOSSES? John Pumphrey Formerly With R.M. Duncan Securities, Inc. And Crews & Associates Has One Customer Complaint For Alleged Broker Misconduct Who is John Pumphrey formerly with R.M. Duncan Securities, Inc.? John Pumphrey (CRD #2013833) who was formerly registered with R.M. Duncan Securities, Inc. and located in Little Rock, Arkansas is a subject of one of our many securities industry sales practice abuse investigations. Prior to R.M. Duncan Securities, Inc., John Pumphrey was associated with Crews & Associates and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. John Pumphrey Customer Complaint John Pumphrey 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 unsuitable recommendations in specified products and unauthorized trading. John Pumphrey’s customer complaint was settled in favor of the investors. John Pumphrey Red Flags & Your Rights As An Investor Of course, John Pumphrey 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 Pumphrey at R.M. Duncan Securities, Inc. and Crews & Associates on alert to review carefully the activity and performance of their accounts and question whether John Pumphrey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at R.M. Duncan Securities, Inc. and Crews & 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 R.M. Duncan Securities, Inc. Due To John Pumphrey If you have questions about R.M. Duncan Securities, Inc., Crews & Associates, and/or John Pumphrey 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

Scott Pugan of Wells Fargo Clearing Services

DID SCOTT PUGAN CAUSE YOU INVESTMENT LOSSES? Scott Pugan Of Wells Fargo Clearing Services, LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Scott Pugan of Wells Fargo Clearing Services, LLC? Scott Pugan (CRD #1739836) who is currently registered with Wells Fargo Clearing Services, LLC and located in Trinity, Florida is a subject of one of our many securities industry sales practice abuse investigations. Scott Pugan Customer Complaint Scott Pugan 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 client alleged the financial advisor misled him with regard to a Puerto Rico bond purchase, which resulted in losses. Scott Pugan’s customer complaint was denied and, to date, the customer has not taken any further action. Scott Pugan Red Flags & Your Rights As An Investor Of course, Scott Pugan 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 Pugan at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Scott Pugan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services, LLC Due To Scott Pugan If you have questions about Wells Fargo Clearing Services, LLC and/or Scott Pugan 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

Jerri Pratt of Morgan Stanley

DID JERRI PRATT CAUSE YOU INVESTMENT LOSSES? Jerri Pratt Of Morgan Stanley Has One Customer Complaint For Alleged Broker Misconduct Who is Jerri Pratt of Morgan Stanley? Jerri Pratt (CRD #1507048) who is currently registered with Morgan Stanley and located in Las Vegas, Nevada is a subject of one of our many securities industry sales practice abuse investigations. Jerri Pratt Customer Complaint Jerri Pratt 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 failure to follow instructions with respect to the transactions related to the termination of managed account. An arbitration award was entered against Morgan Stanley for the alleged misconduct causing investors losses. Jerri Pratt Red Flags & Your Rights As An Investor Of course, Jerri Pratt 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 Jerri Pratt at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jerri Pratt 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 Jerri Pratt If you have questions about Morgan Stanley and/or Jerri Pratt 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

Donald Porterfield of Merrill Lynch Pierce Fenner & Smith

DID DONALD PORTERFIELD CAUSE YOU INVESTMENT LOSSES? Donald Porterfield Of Merrill Lynch Pierce Fenner & Smith Inc. Has 7 Customer Complaints For Alleged Broker Misconduct Who is Donald Porterfield of Merrill Lynch Pierce Fenner & Smith Inc.? Donald Porterfield (CRD #1700761) who is currently registered with Merrill Lynch Pierce Fenner & Smith Inc. and located in Kansas City, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Donald Porterfield Customer Complaints Donald Porterfield has been the subject of 7 customer complaints that we know about. One arbitration award was entered against Morgan Stanley for Donald Porterfield’s alleged misconduct causing investors losses. Two of Donald Porterfield’s 7 customer complaints were settled in favor of investors. Four of Donald Porterfield’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Donald Porterfield 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, inter alia, Donald Porterfield’s excessive trading and suitability with respect to investments in her accounts. Client’s attorney alleged, inter alia, that Donald Porterfield’s investments purchased in the client’s account were unsuitable. Customer alleged unauthorized trading by Donald Porterfield. The customer alleged Donald Porterfield’s misrepresentation. The customer alleged unauthorized trading by Donald Porterfield. The customer alleged Donald Porterfield’s unauthorized trading. Donald Porterfield Red Flags & Your Rights As An Investor Of course, Donald Porterfield 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 Porterfield at Merrill Lynch Pierce Fenner & Smith Inc. on alert to review carefully the activity and performance of their accounts and question whether Donald Porterfield 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 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 Merrill Lynch Pierce Fenner & Smith Inc. Due To Donald Porterfield If you have questions about Merrill Lynch Pierce Fenner & Smith Inc. and/or Donald Porterfield 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

Paul Porter of Wells Fargo Clearing Services

DID PAUL PORTER CAUSE YOU INVESTMENT LOSSES? Paul Porter Of Wells Fargo Clearing Services, LLC Has 4 Customer Complaints For Alleged Broker Misconduct Who is Paul Porter of Wells Fargo Clearing Services, LLC? Paul Porter (CRD #4327476) who is currently registered with Wells Fargo Clearing Services, LLC and located in West Chester, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Paul Porter Customer Complaints Paul Porter has been the subject of 4 customer complaints that we know about. Two of Paul Porter’s 4 customer complaints were settled in favor of investors. Two of Paul Porter’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Paul Porter 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 Paul Porter failed to move investments to cash when requested. Client verbally alleged stock was sold without her knowledge after she explicitly told Paul Porter she never wanted to sell unless she made the decision. Client’s attorney alleged Paul Porter’s investments were unsuitable. Arbitration allegations: Claimant brought forth allegations of misrepresentation, suitability, negligence, breach of fiduciary duty and fraud against Paul Porter for investments made in his accounts. Claimant sought compensatory damages as well as punitive damages. The client alleged that Paul Porter’s purchase of Fannie Mae was not authorized. Paul Porter Red Flags & Your Rights As An Investor Of course, Paul Porter 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 Paul Porter at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Paul Porter has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing 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 Wells Fargo Clearing Services, LLC Due To Paul Porter If you have questions about Wells Fargo Clearing Services, LLC and/or Paul Porter 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

Paul Pompar of Lincoln Financial Advisors

DID PAUL POMPAR CAUSE YOU INVESTMENT LOSSES? Paul Pompar Of Lincoln Financial Advisors Corp. And Formerly With H. Beck Has One Customer Complaint For Alleged Broker Misconduct Who is Paul Pompar of Lincoln Financial Advisors Corp.? Paul Pompar (CRD #1596043) who is currently registered with Lincoln Financial Advisors Corp. and located in Salisbury, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Prior to Lincoln Financial Advisors Corp., Paul Pompar was associated with H. Beck and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Paul Pompar Customer Complaint Paul Pompar 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 that Paul Pompar misrepresented risks associated with REITs. Paul Pompar’s customer complaint was denied and, to date, the customer has not taken any further action. Paul Pompar Red Flags & Your Rights As An Investor Of course, Paul Pompar 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 Paul Pompar at Lincoln Financial Advisors Corp. and H. Beck on alert to review carefully the activity and performance of their accounts and question whether Paul Pompar has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lincoln Financial Advisors Corp. and H. Beck 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 Lincoln Financial Advisors Corp. Due To Paul Pompar If you have questions about Lincoln Financial Advisors Corp., H. Beck, and/or Paul Pompar 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

Donald Pollard of Wright Investors’ Service Distributors

DID DONALD POLLARD CAUSE YOU INVESTMENT LOSSES? Donald Pollard Of Wright Investors’ Service Distributors Inc., BMI Capital International, Lakeridge Capital, Eastgate Securities And Formerly With Curtis Point Capital, Dalmore Group And CBC Securities Has One Customer Complaint For Alleged Broker Misconduct Who is Donald Pollard of Wright Investors’ Service Distributors Inc.? Donald Pollard (CRD #2181631) who is currently registered with Wright Investors’ Service Distributors Inc., BMI Capital International, Lakeridge Capital, Eastgate Securities and located in Shelton, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wright Investors’ Service Distributors Inc., BMI Capital International, Lakeridge Capital, and Eastgate Securities, Donald Pollard was associated with Curtis Point Capital, Dalmore Group, CBC Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Donald Pollard has had his own share of regulatory problems. This year he was suspended for 2 months and fined $10,000 by FINRA for allegedly backdating documents that were submitted to FINRA in response to requests from FINRA for evidence of supervisory review and approval of the outside business activity lists. Donald Pollard was a principal of the firm at the time and initialed 2 of the list that were backdated. Donald Pollard Customer Complaint Donald Pollard 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 negligence, breach of fiduciary duty, breach of contract. The customer complaint filed against Donald Pollard’s former employer Capital Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Donald Pollard Red Flags & Your Rights As An Investor Of course, Donald Pollard 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 Pollard at Wright Investors’ Service Distributors Inc., BMI Capital International, Lakeridge Capital, Eastgate Securities, Curtis Point Capital, Dalmore Group, and CBC Securities on alert to review carefully the activity and performance of their accounts and question whether Donald Pollard has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wright Investors’ Service Distributors Inc., BMI Capital International, Lakeridge Capital, Eastgate Securities, Curtis Point Capital, Dalmore Group, and CBC 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 Wright Investors’ Service Distributors Inc. Due To Donald Pollard If you have questions about Wright Investors’ Service Distributors Inc., BMI Capital International, Lakeridge Capital, Eastgate Securities, Curtis Point Capital, Dalmore Group, CBC Securities, and/or Donald Pollard 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 Polito of LPL Financial

DID THOMAS POLITO CAUSE YOU INVESTMENT LOSSES? Thomas Polito Of LPL Financial LLC And Formerly With Capital One Investing, Capital One Advisors And Capital One Financial Advisors Has One Customer Complaint For Alleged Broker Misconduct Who is Thomas Polito of LPL Financial? Thomas Polito (CRD #2601033) who is currently registered with LPL Financial LLC and located in Woodbury, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Thomas Polito was associated with Capital One Investing, Capital One Advisors, Capital One Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Thomas Polito Customer Complaint Thomas Polito has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that the complainant, the customer’s son, alleged his mother’s investment was not suitable for her. He further alleged the financial advisor violated several industry ethical standards by recommending this product to his mother. Thomas Polito’s customer complaint was denied and, to date, the customer has not taken any further action. Thomas Polito Red Flags & Your Rights As An Investor Of course, Thomas Polito 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 Polito at LPL Financial LLC, Capital One Investing, Capital One Advisors, Capital One Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Thomas Polito has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC, Capital One Investing, Capital One Advisors, Capital One Financial 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 LPL Financial LLC Due To Thomas Polito If you have questions about LPL Financial LLC, Capital One Investing, Capital One Advisors, Capital One Financial Advisors, and/or Thomas Polito 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