Mar 8, 2022

Roderick Rodriguez of Infinex Investments

DID RODERICK RODRIGUEZ CAUSE YOU INVESTMENT LOSSES? Roderick Rodriguez Of Infinex Investments And Formerly With Citigroup Global Markets And Essex National Securities Has 3 Customer Complaints For Alleged Broker Misconduct Who is Roderick Rodriguez of Infinex Investments? Roderick Rodriguez (CRD #2680445) who is currently registered with Infinex Investments and located in Bronx, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Infinex Investments, Roderick Rodriguez was associated with Citigroup Global Markets, Essex National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Roderick Rodriguez Customer Complaints Roderick Rodriguez has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. All 3 of Roderick Rodriguez’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Roderick Rodriguez A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client’s investment was illiquid. Client stated Roderick Rodriguez allegedly provided her with a date of intended liquidity. Client called the REIT company who indicated they could change the terms of the agreement and did not advise the broker to indicate a potential liquidity date. Client indicated she would not have invested had she known the full liquidity procedure, and was denied an emergency refund. Client was upset that money was locked up, and indicated Roderick Rodriguez allegedly did not tell him the truth regarding these 2 REIT company’s refund policies. Roderick Rodriguez Red Flags & Your Rights As An Investor Of course, Roderick 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 Roderick Rodriguez at Infinex Investments, Citigroup Global Markets, and Essex National Securities on alert to review carefully the activity and performance of their accounts and question whether Roderick Rodriguez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Infinex Investments, Citigroup Global Markets, and Essex National 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 Infinex Investments Due To Roderick Rodriguez If you have questions about Infinex Investments, Citigroup Global Markets, Essex National Securities, and/or Roderick 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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Mar 8, 2022

Joseph Rodriguez of Hennion & Walsh

DID JOSEPH ISMAEL RODRIGUEZ CAUSE YOU INVESTMENT LOSSES? Joseph Rodriguez Of Hennion & Walsh And Hennion Walsh Asset Management Has A Customer Complaint For Alleged Broker Misconduct Who is Joseph Rodriguez of Hennion & Walsh? Joseph Rodriguez (CRD #3093506) who is currently registered with Hennion & Walsh, Hennion Walsh Asset Management and located in Parsippany, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Joseph Rodriguez Customer Complaint Joseph Rodriguez 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 unsuitable investment recommendations.  Joseph Rodriguez’s customer complaint was settled in favor of the investors. Joseph Rodriguez Red Flags & Your Rights As An Investor Of course, Joseph 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 Joseph Rodriguez at Hennion & Walsh and Hennion Walsh Asset Management on alert to review carefully the activity and performance of their accounts and question whether Joseph Rodriguez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Hennion & Walsh and Hennion Walsh Asset Management 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 Hennion & Walsh Due To Joseph Rodriguez If you have questions about Hennion & Walsh, Hennion Walsh Asset Management, and/or Joseph 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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Mar 8, 2022

Richard Rugel of Pruco Securities

DID RICHARD JAMES RUGEL CAUSE YOU INVESTMENT LOSSES? Richard Rugel Of Pruco Securities And Formerly With Allstate Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Richard Rugel of Pruco Securities? Richard Rugel (CRD #3200986) who is currently registered with Pruco Securities and located in Latham, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Pruco Securities, Richard Rugel was associated with Allstate Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Rugel Customer Complaint Richard Rugel 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 Richard Rugel misrepresented the variable annuity sold to him which replaced his previous variable annuity by indicating the new variable annuity would provide greater guaranteed income for the customer. Richard Rugel’s customer complaint was settled in favor of the investors. Richard Rugel Red Flags & Your Rights As An Investor Of course, Richard Rugel 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 Rugel at Pruco Securities and Allstate Financial Services on alert to review carefully the activity and performance of their accounts and question whether Richard Rugel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Pruco Securities and Allstate 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 Pruco Securities Due To Richard Rugel If you have questions about Pruco Securities, Allstate Financial Services, and/or Richard Rugel 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

Joseph Ruggiere of Alexander Capital

DID JOSEPH MATTHEW RUGGIERE CAUSE YOU INVESTMENT LOSSES? Joseph Ruggiere Of Alexander Capital Has A Customer Complaint For Alleged Broker Misconduct Who is Joseph Ruggiere of Alexander Capital? Joseph Ruggiere (CRD #2548108) who is currently registered with Alexander Capital and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Joseph Ruggiere Customer Complaint Joseph Ruggiere 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 fraudulent misrepresentation by selling him a product he was not allowed to sell. The customer complaint filed against Joseph Ruggiere’s current employer Alexander Capital for investment losses caused by the alleged misconduct is pending as of the date of this report. Joseph Ruggiere Red Flags & Your Rights As An Investor Of course, Joseph Ruggiere 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 Joseph Ruggiere at Alexander Capital on alert to review carefully the activity and performance of their accounts and question whether Joseph Ruggiere has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Alexander Capital 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 Alexander Capital Due To Joseph Ruggiere If you have questions about Alexander Capital and/or Joseph Ruggiere 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

Nicholas Rogers of Morgan Stanley

DID NICHOLAS ANTHONY ROGERS CAUSE YOU INVESTMENT LOSSES? Nicholas Rogers Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Nicholas Rogers of Morgan Stanley? Nicholas Rogers (CRD #2509837) who is currently registered with Morgan Stanley and located in Burlingame, California is a subject of one of our many securities industry sales practice abuse investigations. Nicholas Rogers Customer Complaint Nicholas Rogers 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 claimants alleged, inter alia, misrepresentation with respect to recommendation to liquidate investment. The customer complaint filed against Nicholas Rogers’ current employer Morgan Stanley Smith Barney for investment losses caused by the alleged misconduct is pending as of the date of this report. Nicholas Rogers Red Flags & Your Rights As An Investor Of course, Nicholas Rogers 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 Nicholas Rogers at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Nicholas Rogers 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 Nicholas Rogers If you have questions about Morgan Stanley and/or Nicholas Rogers 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

Massimo Romano of Wells Fargo Clearing Services

DID MASSIMO A. ROMANO CAUSE YOU INVESTMENT LOSSES? Massimo Romano Of Wells Fargo Clearing Services And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Massimo Romano of Wells Fargo Clearing Services? Massimo Romano (CRD #4324267) who is currently registered with Wells Fargo Clearing Services and located in Woodbury, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Massimo Romano was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Massimo Romano Customer Complaint Massimo Romano 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 claimants alleged that Massimo Romano made unauthorized trades, executed unnecessary annuity switches, and misrepresented facts about withdrawals claimants made from their accounts. The period of time encompassing the alleged sales practice issues is not specified by claimants. Massimo Romano’s customer complaint was settled in favor of the investors. Massimo Romano Red Flags & Your Rights As An Investor Of course, Massimo Romano 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 Massimo Romano at Wells Fargo Clearing Services and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Massimo Romano has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services and UBS 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 Wells Fargo Clearing Services Due To Massimo Romano If you have questions about Wells Fargo Clearing Services, UBS Financial Services, and/or Massimo Romano 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

Peter Ruggiere of Dawson James Securities

DID PETER GEORGE RUGGIERE CAUSE YOU INVESTMENT LOSSES? Peter Ruggiere Of Dawson James Securities Has 5 Customer Complaints For Alleged Broker Misconduct Who is Peter Ruggiere of Dawson James Securities? Peter Ruggiere (CRD #2248318) who is currently registered with Dawson James Securities and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Peter Ruggiere Customer Complaints Peter Ruggiere has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Peter Ruggiere’s 5 customer complaints resulted in an arbitration award in favor of the investor. One of Peter Ruggiere’s 5 customer complaints was settled in favor of investors. One of Peter Ruggiere’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 Newbridge Securities for investment losses caused by Peter Ruggiere’s alleged misconduct. Allegations Against Peter Ruggiere A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Churning allegedly by Peter Ruggiere. Client alleged Peter Ruggiere’s misrepresentation. Peter Ruggiere’s alleged purchase of unsuitable securities and misrepresentations relative to the purchase of those securities. Negligence, breach of fiduciary duty, breach of contract, negligent misrepresentations and omissions and lost opportunity. Peter Ruggiere’s alleged suitability, performance, use of margin. The statement of claim alleged that the respondent representatives recommended unsuitable transactions, made misrepresentations, and conducted excessive trading. Peter Ruggiere Red Flags & Your Rights As An Investor Of course, Peter Ruggiere 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 Peter Ruggiere at Dawson James Securities on alert to review carefully the activity and performance of their accounts and question whether Peter Ruggiere has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Dawson James 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 Dawson James Securities Due To Peter Ruggiere If you have questions about Dawson James Securities and/or Peter Ruggiere 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

Peter Rukeyser of UBS Financial Services

DID PETER LLOYD RUKEYSER CAUSE YOU INVESTMENT LOSSES? Peter Rukeyser Of UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Peter Rukeyser of UBS Financial Services? Peter Rukeyser (CRD #2500523) who is currently registered with UBS Financial Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Peter Rukeyser Customer Complaint Peter Rukeyser 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 unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. The customer complaint filed against Peter Rukeyser’s current employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Peter Rukeyser Red Flags & Your Rights As An Investor Of course, Peter Rukeyser 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 Peter Rukeyser at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Peter Rukeyser 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 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 UBS Financial Services Due To Peter Rukeyser If you have questions about UBS Financial Services and/or Peter Rukeyser 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

Christopher Russo of National Securities

DID CHRISTOPHER RUSSO CAUSE YOU INVESTMENT LOSSES? Christopher Russo Of National Securities Has 3 Customer Complaints For Alleged Broker Misconduct Who is Christopher Russo of National Securities? Christopher Russo (CRD #2744913) who is currently registered with National Securities and located in Westbury, New York is a subject of one of our many securities industry sales practice abuse investigations. Christopher Russo Customer Complaints Christopher Russo has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Christopher Russo’s 3 customer complaints was settled in favor of investors. One of Christopher Russo’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 National Securities for investment losses caused by Christopher Russo’s alleged misconduct. Allegations Against Christopher Russo A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unauthorized trading by Christopher Russo. Client alleged poor account performance and losses by Christopher Russo. Unsuitable investment recommendations made by Christopher Russo. Christopher Russo Red Flags & Your Rights As An Investor Of course, Christopher Russo 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 Christopher Russo at National Securities on alert to review carefully the activity and performance of their accounts and question whether Christopher Russo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National 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 National Securities Due To Christopher Russo If you have questions about National Securities and/or Christopher Russo 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

Laurence Russo of Joseph Gunnar & Co.

DID LAURENCE JORDAN RUSSO CAUSE YOU INVESTMENT LOSSES? Laurence Russo Of Joseph Gunnar & Co. And Formerly With IFS Securities, Newport Coast Securities And WestPark Capital Has 2 Customer Complaints For Alleged Broker Misconduct Who is Laurence Russo of Joseph Gunnar & Co.? Laurence Russo (CRD #2763277) who is currently registered with Joseph Gunnar & Co.and located in Fort Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Joseph Gunnar & Co., Laurence Russo was associated with IFS Securities, Newport Coast Securities, WestPark Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Laurence Russo Customer Complaints Laurence Russo has been the subject of 2 customer complaints that we know about. Both of Laurence Russo’s 2 customer complaints were settled in favor of investors. Allegations Against Laurence Russo 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 Laurence Russo made unsuitable investment recommendations, breached his fiduciary duty and made misrepresentations. Client alleged unsuitability and negligent fraud by Laurence Russo. Laurence Russo Red Flags & Your Rights As An Investor Of course, Laurence Russo 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 Laurence Russo at Joseph Gunnar & Co., IFS Securities, Newport Coast Securities, and WestPark Capital on alert to review carefully the activity and performance of their accounts and question whether Laurence Russo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Joseph Gunnar & Co., IFS Securities, Newport Coast Securities, and WestPark 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 Joseph Gunnar & Co. Due To Laurence Russo If you have questions about Joseph Gunnar & Co., IFS Securities, Newport Coast Securities, WestPark Capital, and/or Laurence Russo 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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