Mar 8, 2022

Matthew Pfeiffer of IFP Securities

DID MATTHEW JOSEPH PFEIFFER CAUSE YOU INVESTMENT LOSSES? Matthew Pfeiffer Of IFP Securities And Formerly With Key Investment Services Has A Customer Complaint For Alleged Broker Misconduct Who is Matthew Pfeiffer of IFP Securities? Matthew Pfeiffer (CRD #3106722) who is currently registered with IFP Securities and located in Camillus, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to IFP Securities, Matthew Pfeiffer was associated with Key Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Matthew Pfeiffer Customer Complaint Matthew Pfeiffer has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were client hand delivered letter to KeyBank branch alleging misrepresentation in March 2020 purchase of Polaris Platinum III annuity.  Matthew Pfeiffer’s customer complaint was denied and, to date, the customer has not taken any further action. Matthew Pfeiffer Red Flags & Your Rights As An Investor Of course, Matthew Pfeiffer 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 Matthew Pfeiffer at IFP Securities and Key Investment Services on alert to review carefully the activity and performance of their accounts and question whether Matthew Pfeiffer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at IFP Securities and Key Investment 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 IFP Securities Due To Matthew Pfeiffer If you have questions about IFP Securities, Key Investment Services, and/or Matthew Pfeiffer 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

Kevin Phillips Formerly With Securities America

DID KEVIN SCOTT PHILLIPS CAUSE YOU INVESTMENT LOSSES? Kevin Phillips Formerly With Securities America And J.W. Cole Financial Has 4 Customer Complaints For Alleged Broker Misconduct Who is Kevin Phillips formerly with Securities America? Kevin Phillips (CRD #1591468) who was formerly registered with Securities America and located in Phoenix, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to Securities America, Kevin Phillips was associated with J.W. Cole Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kevin Phillips Customer Complaints Kevin Phillips has been the subject of 4 customer complaints that we know about. Two of Kevin Phillips’ 4 customer complaints were settled in favor of investors. Two of Kevin Phillips’ customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Kevin Phillips 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 Kevin Phillips made unsuitable recommendations to purchase two private placement REITs and an energy sector investment. Client alleged Kevin Phillips misrepresented the mutual funds into which she invested. Client claimed agent never told her about penalty fees or administrative fees. Client wanted a full refund of what she invested. Client alleged that Kevin Phillips failed to adequately advise him of the risk associated with a recommended REIT. Client alleged Kevin Phillips misrepresented the nature of his real estate investment trust purchase. Kevin Phillips Red Flags & Your Rights As An Investor Of course, Kevin Phillips 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 Kevin Phillips at Securities America and J.W. Cole Financial on alert to review carefully the activity and performance of their accounts and question whether Kevin Phillips has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America and J.W. Cole Financial 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 Securities America Due To Kevin Phillips If you have questions about Securities America, J.W. Cole Financial, and/or Kevin Phillips 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

Alexander Phillips of UBS Financial Services

DID ALEXANDER HOUGHTON PHILLIPS CAUSE YOU INVESTMENT LOSSES? Alexander Phillips Of UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Alexander Phillips of UBS Financial Services? Alexander Phillips (CRD #1730948) who is currently registered with UBS Financial Services and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations. Alexander Phillips Customer Complaints Alexander Phillips 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. One of Alexander Phillips’ customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by Alexander Phillips’ alleged misconduct. Allegations Against Alexander Phillips A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged Alexander Phillips’ failure to follow instructions to timely execute. The client alleged he told Alexander Phillips that he wanted to be in a defensive position and he was surprised to discover he was not as represented. Alexander Phillips Red Flags & Your Rights As An Investor Of course, Alexander Phillips 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 Alexander Phillips at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Alexander Phillips 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 Alexander Phillips If you have questions about UBS Financial Services and/or Alexander Phillips 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

William Riley Formerly With Silver Oak Securities

DID WILLIAM EUGENE RILEY JR CAUSE YOU INVESTMENT LOSSES? William Riley Formerly With Silver Oak Securities Has 6 Customer Complaints For Alleged Broker Misconduct Who is William Riley formerly with Silver Oak Securities? William Riley (CRD #1493287) who was formerly registered with Silver Oak Securities and located in Fort Worth, Texas is a subject of one of our many securities industry sales practice abuse investigations. William Riley Customer Complaints William Riley has been the subject of 6 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of William Riley’s 6 customer complaints were settled in favor of investors. One of William Riley’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Riley Wealth Advisors for investment losses caused by William Riley’s alleged misconduct. Allegations Against William Riley A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: William Riley’s alleged failure to follow instructions. William Riley’s unauthorized trading, unsuitable investments, & violation of Oklahoma securities laws. William Riley’s alleged suitability, breach of fiduciary, failure to supervise. Unsuitable investment recommendations allegedly made by William Riley. William Riley’s alleged unsuitable investments, demanding payment for the loss and attorney’s fees. William Riley Red Flags & Your Rights As An Investor Of course, William Riley 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 William Riley at Silver Oak Securities on alert to review carefully the activity and performance of their accounts and question whether William Riley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Silver Oak Securities 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 Silver Oak Securities Due To William Riley If you have questions about Silver Oak Securities and/or William Riley 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

Randy Risdon of Merrill Lynch Pierce Fenner & Smith

DID RANDY K. RISDON CAUSE YOU INVESTMENT LOSSES? Randy Risdon Of Merrill Lynch Pierce Fenner & Smith And Formerly With American Trust Investment Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Randy Risdon of Merrill Lynch Pierce Fenner & Smith? Randy Risdon (CRD #2436168) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Rolling Meadows, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Randy Risdon was associated with American Trust Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Randy Risdon Customer Complaints Randy Risdon 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. One of Randy Risdon’s 2 customer complaints was settled in favor of the investors. One of Randy Risdon’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Randy Risdon A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The customer alleged Randy Risdon’s misrepresentation. Randy Risdon’s alleged churning; suitability; misrepresentation; omission of facts. Randy Risdon Red Flags & Your Rights As An Investor Of course, Randy Risdon 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 Randy Risdon at Merrill Lynch Pierce Fenner & Smith and American Trust Investment Services on alert to review carefully the activity and performance of their accounts and question whether Randy Risdon 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 and American Trust Investment 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 Merrill Lynch Pierce Fenner & Smith Due To Randy Risdon If you have questions about Merrill Lynch Pierce Fenner & Smith, American Trust Investment Services, and/or Randy Risdon 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

Emilio Rivera of MML Investors Services

DID EMILIO ENRIQUE RIVERA CAUSE YOU INVESTMENT LOSSES? Emilio Rivera Of MML Investors Services And Formerly With NYLIFE Securities, AXA Advisors And Eagle Strategies Has 2 Customer Complaints For Alleged Broker Misconduct Who is Emilio Rivera of MML Investors Services? Emilio Rivera (CRD #4258690) who is currently registered with MML Investors Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Emilio Rivera was associated with NYLIFE Securities, AXA Advisors, Eagle Strategies and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Emilio Rivera Customer Complaints Emilio Rivera has been the subject of 2 customer complaints that we know about. Both of Emilio Rivera’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Emilio Rivera 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 Emilio Rivera’s misrepresentation relating to the liquidity of an auction rate securities purchase. Customer alleged Emilio Rivera misrepresented the terms of his variable life policy when he purchased it and requested a full refund of premiums paid. Emilio Rivera Red Flags & Your Rights As An Investor Of course, Emilio Rivera 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 Emilio Rivera at MML Investors Services, NYLIFE Securities, AXA Advisors, and Eagle Strategies on alert to review carefully the activity and performance of their accounts and question whether Emilio Rivera has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services, NYLIFE Securities, AXA Advisors, 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 MML Investors Services Due To Emilio Rivera If you have questions about MML Investors Services, NYLIFE Securities, AXA Advisors, Eagle Strategies, and/or Emilio Rivera 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 Robertson of Morgan Stanley

DID MICHAEL ALAN ROBERTSON CAUSE YOU INVESTMENT LOSSES? Michael Robertson Of Morgan Stanley Has 4 Customer Complaints For Alleged Broker Misconduct Who is Michael Robertson of Morgan Stanley? Michael Robertson (CRD #1634076) who is currently registered with Morgan Stanley and located in Greensboro, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Michael Robertson Customer Complaints Michael Robertson has been the subject of 4 customer complaints that we know about. One of Michael Robertson’s 4 customer complaints was settled in favor of investors. Three of Michael Robertson’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Michael Robertson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Allegations of Michael Robertson’s excessive buying and selling of securities, unsuitability and unauthorized trades. Client alleged, inter alia, that Michael Robertson’s purchases of two annuities were misrepresented. Client verbally alleged he wanted to sell REIT investments and Michael Robertson recommended against it. REITs subsequently declined in value. The client alleged that he was reassured that a specific manager would be managing his account and that he would not lose money. The client also alleged that Michael Robertson recommended the purchase of the managed account because he could extract more in fees than a mutual fund. Michael Robertson Red Flags & Your Rights As An Investor Of course, Michael Robertson 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 Robertson at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Michael Robertson 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 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 Morgan Stanley Due To Michael Robertson If you have questions about Morgan Stanley and/or Michael Robertson 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

Paolo Rocca of Fidelity Brokerage Services

DID PAOLO DIEGO ROCCA CAUSE YOU INVESTMENT LOSSES? Paolo Rocca Of Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors And Formerly With Strategic Advisers Has 2 Customer Complaints For Alleged Broker Misconduct Who is Paolo Rocca of Fidelity Brokerage Services? Paolo Rocca (CRD #2326803) who is currently registered with Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Paolo Rocca was associated with Strategic Advisers and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Paolo Rocca Customer Complaints Paolo Rocca 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. One of Paolo Rocca’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Fidelity Brokerage Services for investment losses caused by Paolo Rocca’s alleged misconduct. Allegations Against Paolo Rocca 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 she instructed Paolo Rocca to deposit a check to her core cash account, but instead it was invested in an annuity without her knowledge. The customer alleged that he incurred a significant tax liability as a result of the liquidation of holdings to fund a managed account, contrary to the representations made by Paolo Rocca. Paolo Rocca Red Flags & Your Rights As An Investor Of course, Paolo Rocca 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 Paolo Rocca at Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors and Strategic Advisers on alert to review carefully the activity and performance of their accounts and question whether Paolo Rocca has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors and Strategic Advisers also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Fidelity Brokerage Services Due To Paolo Rocca If you have questions about Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Strategic Advisers, and/or Paolo Rocca 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 Rockowitz of Madison Global Partners

DID BRIAN DAVID ROCKOWITZ CAUSE YOU INVESTMENT LOSSES? Brian Rockowitz Of Madison Global Partners, Madison Global Advisors And Formerly With Aegis Capital Has 4 Customer Complaints For Alleged Broker Misconduct Who is Brian Rockowitz of Madison Global Partners? Brian Rockowitz (CRD #1892992) who is currently registered with Madison Global Partners, Madison Global Advisors and located in Hauppauge, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Madison Global Partners and Madison Global Advisors, Brian Rockowitz was associated with Aegis Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brian Rockowitz Customer Complaints Brian Rockowitz has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Brian Rockowitz’s 4 customer complaints were settled in favor of investors. One of Brian Rockowitz’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Aegis Capital for investment losses caused by Brian Rockowitz’s alleged misconduct. Allegations Against Brian Rockowitz A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Brian Rockowitz’s alleged unsuitable investment recommendations resulting in account losses. Claimant alleged Brian Rockowitz’s unsuitability, breach of contract, breach of fiduciary duty. Client alleged that Brian Rockowitz was not available when the client called him to request a stop loss. Customer alleged after the fact that four solicited trades failed to meet strategy for growth and protection of assets allegedly by Brian Rockowitz. Brian Rockowitz Red Flags & Your Rights As An Investor Of course, Brian Rockowitz 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 Rockowitz at Madison Global Partners, Madison Global Advisors, and Aegis Capital on alert to review carefully the activity and performance of their accounts and question whether Brian Rockowitz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Madison Global Partners, Madison Global Advisors, and Aegis 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 Madison Global Partners Due To Brian Rockowitz If you have questions about Madison Global Partners, Madison Global Advisors, Aegis Capital, and/or Brian Rockowitz 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

Richard Rodriguez formerly with Calton & Associates

DID RICHARD A. RODRIGUEZ JR CAUSE YOU INVESTMENT LOSSES? Richard Rodriguez Formerly With Calton & Associates And Concorde Investment Services Has 5 Customer Complaints For Alleged Broker Misconduct Who is Richard Rodriguez formerly with Calton & Associates? Richard Rodriguez (CRD #2973254) who was formerly registered with Calton & Associates and located in Fruitland Park, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Calton & Associates, Richard Rodriguez was associated with Concorde Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Rodriguez Customer Complaints Richard Rodriguez has been the subject of 5 customer complaints that we know about. Three of Richard Rodriguez’s 5 customer complaints were settled in favor of investors. One of Richard Rodriguez’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Concorde Investment Services for investment losses caused by Richard Rodriguez’s alleged misconduct. Allegations Against Richard Rodriguez A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Richard Rodriguez’s alleged Breach of Fiduciary Duty, Breach of Contract and Negligence. Client claimed they were not told about the liquidity features and risk of non-traded REIT purchases allegedly made by Richard Rodriguez. Richard Rodriguez’s unsuitable mutual fund recommendation alleged by client. Richard Rodriguez Red Flags & Your Rights As An Investor Of course, Richard Rodriguez 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 Rodriguez at Calton & Associates and Concorde Investment Services on alert to review carefully the activity and performance of their accounts and question whether Richard Rodriguez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Calton & Associates and Concorde 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 Calton & Associates Due To Richard Rodriguez If you have questions about Calton & Associates, Concorde Investment Services, and/or Richard Rodriguez 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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