Mar 8, 2022

Brian Segel of MML Investors Services

DID BRIAN LEE SEGEL CAUSE YOU INVESTMENT LOSSES? Brian Segel Of MML Investors Services And Formerly With Eagle Strategies And NYLIFE Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Brian Segel of MML Investors Services? Brian Segel (CRD #1610632) 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, Brian Segel was associated with Eagle Strategies, NYLIFE Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brian Segel Customer Complaint Brian Segel 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 the two Variable Annuity policies she purchased did not take into consideration the lack of liquidity that she would be allowing for herself.  Considering the three additional fixed policies she had also recently purchased. Brian Segel’s customer complaint was settled in favor of the investors. Brian Segel Red Flags & Your Rights As An Investor Of course, Brian Segel 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 Segel at MML Investors Services, Eagle Strategies, and NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Brian Segel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services, Eagle Strategies, and NYLIFE 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 MML Investors Services Due To Brian Segel If you have questions about MML Investors Services, Eagle Strategies, NYLIFE Securities, and/or Brian Segel 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

Shay Scruggs of Rockefeller Financial

DID SHAY W. SCRUGGS CAUSE YOU INVESTMENT LOSSES? Shay Scruggs Of Rockefeller Financial And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct Who is Shay Scruggs of Rockefeller Financial? Shay Scruggs (CRD #4173046) who is currently registered with Rockefeller Financial and located in Dallas, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Rockefeller Financial, Shay Scruggs was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Shay Scruggs Customer Complaint Shay Scruggs 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 unsuitability of certain investments, and that such investments resulted in principal losses. The customer complaint filed against Shay Scruggs’ former employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Shay Scruggs Red Flags & Your Rights As An Investor Of course, Shay Scruggs 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 Shay Scruggs at Rockefeller Financial and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Shay Scruggs has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Rockefeller Financial 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 Rockefeller Financial Due To Shay Scruggs If you have questions about Rockefeller Financial, UBS Financial Services, and/or Shay Scruggs 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

Cindy Scott of Charles Schwab & Co.

DID CINDY SCOTT CAUSE YOU INVESTMENT LOSSES? Cindy Scott Of Charles Schwab & Co. And Formerly With J.P. Morgan Securities And Fisher Investments Has A Customer Complaint For Alleged Broker Misconduct Who is Cindy Scott of Charles Schwab & Co.? Cindy Scott (CRD #2918260) who is currently registered with Charles Schwab & Co.and located in Westlake, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Charles Schwab & Co., Cindy Scott was associated with J.P. Morgan Securities, Fisher Investments and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Cindy Scott Customer Complaint Cindy Scott 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 alleged that Cindy Scott failed to follow his instructions to invest funds into the Schwab Intelligent Portfolio Premium (SIPP) account under a Dollar-Cost-Averaging (DCA) strategy. The customer complaint filed against Cindy Scott’s current employer Charles Schwab & Co. for investment losses caused by the alleged misconduct is pending as of the date of this report. Cindy Scott Red Flags & Your Rights As An Investor Of course, Cindy Scott 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 Cindy Scott at Charles Schwab & Co., J.P. Morgan Securities, and Fisher Investments on alert to review carefully the activity and performance of their accounts and question whether Cindy Scott has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & Co., J.P. Morgan Securities, and Fisher Investments 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 Charles Schwab & Co. Due To Cindy Scott If you have questions about Charles Schwab & Co., J.P. Morgan Securities, Fisher Investments, and/or Cindy Scott 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 Schwartz of Cetera Advisor Networks

DID MICHAEL WAYNE SCHWARTZ CAUSE YOU INVESTMENT LOSSES? Michael Schwartz Of Cetera Advisor Networks And Formerly With Royal Alliance Associates Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Schwartz of Cetera Advisor Networks? Michael Schwartz (CRD #2669252) who is currently registered with Cetera Advisor Networks and located in Brooklyn, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisor Networks, Michael Schwartz was associated with Royal Alliance Associates and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Schwartz Customer Complaint Michael Schwartz 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 variable annuities purchased were misrepresented and unsuitable. Michael Schwartz’s customer complaint was denied and, to date, the customer has not taken any further action. Michael Schwartz Red Flags & Your Rights As An Investor Of course, Michael Schwartz 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 Schwartz at Cetera Advisor Networks and Royal Alliance Associates on alert to review carefully the activity and performance of their accounts and question whether Michael Schwartz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks and Royal Alliance 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 Cetera Advisor Networks Due To Michael Schwartz If you have questions about Cetera Advisor Networks, Royal Alliance Associates, and/or Michael Schwartz 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

Samuel Sloane formerly with Morgan Stanley

DID SAMUEL WYLIE SLOANE CAUSE YOU INVESTMENT LOSSES? Samuel Sloane Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Samuel Sloane formerly with Morgan Stanley? Samuel Sloane (CRD #2318085) who was formerly registered with Morgan Stanley and located in Ft. Worth, Texas is a subject of one of our many securities industry sales practice abuse investigations. Samuel Sloane was also the subject of a FINRA investigation into whether he converted a customer’s trust assets while serving as a trustee.  According to FINRA, Samuel Sloane refused to cooperate with the investigation and provide any documents or information requested by FINRA.  As a result, he was permanently barred from any further association with any member firm in any capacity. Samuel Sloane Customer Complaint Samuel Sloane 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 claimant, the beneficiary of a trust, alleged that the FA, while serving as trustee, took assets from a trust, through withdrawals and fees. Samuel Sloane’s customer complaint was denied and, to date, the customer has not taken any further action. Samuel Sloane Red Flags & Your Rights As An Investor Of course, Samuel Sloane 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 Samuel Sloane at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Samuel Sloane 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 Samuel Sloane If you have questions about Morgan Stanley and/or Samuel Sloane 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

Robert Skinner Formerly With First Republic Securities Company

DID ROBERT JOHN SKINNER JR CAUSE YOU INVESTMENT LOSSES? Robert Skinner Formerly With First Republic Securities Company Has A Customer Complaint For Alleged Broker Misconduct Who is Robert Skinner Formerly With First Republic Securities Company? Robert Skinner (CRD #2680849) who was formerly registered with First Republic Securities Company and located in Palo Alto, California is a subject of one of our many securities industry sales practice abuse investigations. Robert Skinner Customer Complaint Robert Skinner 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 alleged, inter alia, that the registered representative recommended unsuitable positions in violation of FINRA rules. The customer complaint filed against Robert Skinner’s former employer First Republic Securities Company for investment losses caused by the alleged misconduct is pending as of the date of this report. Robert Skinner Red Flags & Your Rights As An Investor Of course, Robert Skinner 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 Robert Skinner at First Republic Securities Company on alert to review carefully the activity and performance of their accounts and question whether Robert Skinner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Republic Securities Company 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 First Republic Securities Company Due To Robert Skinner If you have questions about First Republic Securities Company and/or Robert Skinner 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

Mark Sitter of KCD Financial

DID MARK RAYMOND SITTER CAUSE YOU INVESTMENT LOSSES? Mark Sitter Of KCD Financial And Formerly With Capital Financial Services Has 6 Customer Complaints For Alleged Broker Misconduct Who is Mark Sitter of KCD Financial? Mark Sitter (CRD #1810591) who is currently registered with KCD Financial and located in Shenandoah, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to KCD Financial, Mark Sitter was associated with Capital Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Sitter Customer Complaints Mark Sitter has been the subject of 6 customer complaints that we know about. Three of Mark Sitter’s 6 customer complaints were settled in favor of investors.  Three of Mark Sitter’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Mark Sitter 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 unsuitable investments by Mark Sitter. Client alleged Mark Sitter’s misrepresentation, breach of fiduciary duty, failure to supervise. Client alleged Mark Sitter misrepresented the nature of an investment suitable for a portfolio. Customer alleged Mark Sitter made unsuitable investment recommendations. Customer alleged Mark Sitter’s unsuitable investment recommendations The client alleged that her Merrill Lynch Focus Twenty Fund investment by Mark Sitter did not have very little risk. Mark Sitter Red Flags & Your Rights As An Investor Of course, Mark Sitter 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 Sitter at KCD Financial and Capital Financial Services on alert to review carefully the activity and performance of their accounts and question whether Mark Sitter has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at KCD Financial and Capital 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 KCD Financial Due To Mark Sitter If you have questions about KCD Financial, Capital Financial Services, and/or Mark Sitter 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

Douglas Simanski formerly with NEXT Financial Group

DID DOUGLAS P. SIMANSKI CAUSE YOU INVESTMENT LOSSES? Douglas Simanski Formerly With NEXT Financial Group Has 24 Customer Complaints For Alleged Broker Misconduct Who is Douglas Simanski formerly with NEXT Financial Group? Douglas Simanski (CRD #2606998) who was formerly registered with NEXT Financial Group and located in Altoona, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Douglas Simanski has also been the subject of multiple regulatory investigations, including, investigations by United States Securities and Exchange Commission, and FINRA.  He entered into a consent agreement to a permanent bar, without admitting or denying the allegations, that he engaged in a scheme to defraud his clients by making material misrepresentations to induce his clients to send money to him personally to invest in companies that he claimed to own and operate.  However, Douglas Simanski allegedly did not invest the money as promised and instead use the money to pay other investors and for his personal expenses. Douglas Simanski Customer Complaints Douglas Simanski has been the subject of 24 customer complaints that we know about. Twenty-one of Douglas Simanski’s 24 customer complaints were settled in favor of investors. Two of Douglas Simanski’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against NEXT Financial Group for investment losses caused by Douglas Simanski’s alleged misconduct. Allegations Against Douglas Simanski 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 Douglas Simanski importuned them to loan $175,000 to Payless Rent a Car, which reputedly paid 5% interest, payable at the end of the year. Claimants believed the representative took the funds for his own use. Claimants alleged that through Douglas Simanski they were sold a tax-free investment with a guaranteed 10% yield compounded annually, which they later deemed to be fraudulent. Client sent a letter after being contacted by the firm confirming that client invested $40,000 in a 5-year, 5% interest investment allegedly through Douglas Simanski. The investment was an unapproved activity conducted by registered representative away from the firm. Client sent a letter after being contacted by the firm, confirming that client invested $50,000 in an investment with a 10% tax free return. The investment was an unapproved activity allegedly conducted by Douglas Simanski away from the firm. Customer alleged Douglas Simanski convinced her to purchase a Pennsylvania Tax Free Investment Fund, which supposedly would generate tax-free income of between 3% and 5%. Customer invested $130,000 in the Pennsylvania Tax Free Investment Fund, which was non-existent and believed representative converted or otherwise used the proceeds from customer’s investment for representative’s personal benefit. Customer alleged Douglas Simanski invested her in a high risk variable annuity which was unsuitable and failed to disclose the extensive rider fees associated with the investment. Customer alleged $231,665 was provided to Douglas Simanski to be placed in appropriate investment vehicles. Customer believed registered representative unlawfully diverted the funds to an account in the name of registered representative and said funds were used for registered representative’s own personal gain and funds have been depleted. Customer alleged he invested $890,000 in a 10% “tax-free” fixed income security or bond which would pay interest annually and have a maturity date of two years. Customer believed this investment was non-existent and Douglas Simanski converted funds to his personal benefit. Customer alleged that Douglas Simanski recommended customer invest $120,000 was invested in a “CD” for 36 months at 1.7% interest. The funds were misappropriated. Customer alleged Douglas Simanski recommended a $100,000 new investment in a purported coal company. Representative promised they would earn $5,000 annual interest for five years, which could be taken as cash or reinvested and customers could get their money out after a five year period. Representative recommended customer invest another $175,000 into the purported coal company based on the same terms as before. Customer believed all investments in the purported coal company were lost. Customer alleged Douglas Simanski made fraudulent recommendations, false promises of guaranteed returns, affirmative misrepresentations, and omissions by convincing customer to “invest” 3.45 million in a Black Diamond Mine project. Customer alleged Douglas Simanski importuned customer to purchase a $200,000 note from Payless Rent a Car which reputedly paid 5% interest. Customer paid representative by personal check, the note was for 5 years, with interest to be paid annually. Customer expected to receive interest of $10,000 but no payment was ever received. Customer believed representative may have taken all funds to his own or his family’s use. Customer alleged a check for $100,000 was given to Douglas Simanski which was to be invested in the Black Diamond Mining Company. This investment offered a 5 year, 5% secured or guaranteed note to investors. Customer believed this note was non-existent and representative converted or otherwise used the proceeds from investment for his personal use. Customer alleged Douglas Simanski persuaded them to invest $80,000 into a special project and funds were misappropriated. Customer alleged Douglas Simanski recommended they take money out of their annuity and invest it in a safe, tax-free investment for a five year period that would earn $5,000 annual interest which could be taken as cash or reinvested. Money was withdrawn from an annuity, incurred $6,000 in taxes and customers wrote a check for $104,000 to “E*Trade.” Customers believed all investments in this account were lost. Customer alleged that she wrote a $100,000 check to E*Trade for an investment with Douglas Simanski and she was recently advised that the invested amount no longer exists. Customer’s attorney alleged devastating financial losses that came about as the result of the conduct of registered representative. Client invested in various tax free investments allegedly through Douglas Simanski. The investments were an unapproved activity conducted by registered representative away from the Firm. Customer’s attorney alleged devastating financial losses that came about as the result of the conduct of Douglas Simanski. Client wrote checks to registered representative for certain...

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Mar 8, 2022

Ruth Simons of MML Investors Services

DID RUTH SIMONS CAUSE YOU INVESTMENT LOSSES? Ruth Simons Of MML Investors Services And Formerly With MSI Financial Services And New England Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Ruth Simons of MML Investors Services? Ruth Simons (CRD #1463385) who is currently registered with MML Investors Services and located in Mechanicsburg, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Ruth Simons was associated with MSI Financial Services, New England Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ruth Simons Customer Complaint Ruth Simons 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 variable universal life policy issued was not accurately explained by their representative. The complainants stated that the cash value rapidly declined, even though premiums had been paid for over 20 years. Ruth Simons’ customer complaint was denied and, to date, the customers have not taken any further action. Ruth Simons Red Flags & Your Rights As An Investor Of course, Ruth Simons 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 Ruth Simons at MML Investors Services, MSI Financial Services, and New England Securities on alert to review carefully the activity and performance of their accounts and question whether Ruth Simons has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services, MSI Financial Services, and New England 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 MML Investors Services Due To Ruth Simons If you have questions about MML Investors Services, MSI Financial Services, New England Securities, and/or Ruth Simons 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

Yvonne Silguero of LPL Financial

DID YVONNE LARA SILGUERO CAUSE YOU INVESTMENT LOSSES? Yvonne Silguero Of LPL Financial Has 2 Customer Complaints For Alleged Broker Misconduct Who is Yvonne Silguero of LPL Financial? Yvonne Silguero (CRD #3211495) who is currently registered with LPL Financial and located in McAllen, Texas is a subject of one of our many securities industry sales practice abuse investigations. Yvonne Silguero Customer Complaints Yvonne Silguero has been the subject of 2 customer complaints that we know about. One arbitration award was entered against LPL Financial for Yvonne Silguero’s alleged misconduct causing investors losses. There is currently one pending customer complaint filed against LPL Financial for investment losses caused by Yvonne Silguero’s alleged misconduct. Allegations Against Yvonne Silguero 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 Yvonne Silguero’s negligence, gross negligence, misrepresentation, omission of material facts, breach of fiduciary duty through failure to supervise, and breach of contract. Yvonne Silguero was a subject of the customer’s complaint against her member firm and a bank that asserted the following causes of action: breach of contract and warranties; violation of Texas State Securities Statutes; negligent supervision; violation of the Texas Business and Commerce Codes; violation of consumer protection statutes, negligent misrepresentations, unjust enrichment, and breach of duties; unsuitable investment recommendations and violations of FINRA Rules. Yvonne Silguero Red Flags & Your Rights As An Investor Of course, Yvonne Silguero 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 Yvonne Silguero at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Yvonne Silguero has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL 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 LPL Financial Due To Yvonne Silguero If you have questions about LPL Financial and/or Yvonne Silguero 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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